Barclays PLC Form 8.5 (EPT/NON-RI) Capricorn Energy plc (0707R)
July 01 2022 - 9:10AM
UK Regulatory
TIDMBARC TIDMCNE
RNS Number : 0707R
Barclays PLC
01 July 2022
FORM 8.5 (EPT/NON-RI)
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY
AN
EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY
("RI") STATUS
(OR WHERE RI STATUS IS NOT APPLICABLE)
Rule 8.5 of the Takeover Code (the "Code")
1. KEY INFORMATION
Name of exempt principal trader: BARCLAYS CAPITAL
(a) SECURITIES LTD
-----------------------------------------------------
Name of offeror/offeree in relation to CAPRICORN ENERGY
(b) whose PLC
----------------------
relevant securities this form relates:
------- ----------------------------------------------------- ---------- ------
Name of the party to the offer with which Tullow Oil plc
(c) exempt
----------------------
principal trader is connected
------- -------------------------------------------- ------- ---------- ------
Date position held/dealing undertaken: 30 June 2022
(d)
------- ----------------------------------------------------- ----------------------
In addition to the company in 1(b) above, YES:
(e) is the exempt principal
trader making disclosures in respect of TULLOW OIL PLC
any other party to the offer?
------- ----------------------------------------------------- ------------------
2. POSITIONS OF THE EXEMPT
PRINCIPAL TRADER
Interests and short positions in the relevant securities
(a) of the offeror or offeree
to which the disclosure relates following the dealing (if
any)
Class of relevant security: 21/13p ordinary
--------------------- ------------------
Interests Short Positions
--------------------- ------------------
Number (%) Number (%)
--------------------------------------- ------------ ------- ---------- ------
Relevant securities
(1) owned
and/or controlled: 8,521,563 2.70% 724,200 0.23%
Cash-settled derivatives:
(2)
500,764 0.16% 8,477,207 2.69%
Stock-settled derivatives
(3) (including options)
and agreements to
purchase/sell: 0 0.00% 0 0.00%
TOTAL: 9,022,327 2.86% 9,201,407 2.92%
Rights to subscribe for new securities (including directors
(b) and other executive
options)
Class of relevant security in relation
to
-------
which subscription right exists
----------------------------------------------------- -------------------------------
Details, including nature of the rights
-------
concerned and relevant percentages:
----------------------------------------------------- -------------------------------
3. DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL
TRADER
(a) Purchases and sales
------------------ ---------------------------------- -------------- --------------
Class of relevant Purchase/sale Total number Highest price Lowest price
of per unit per unit
security securities paid/received paid/received
21/13p ordinary Purchase 159,930 2.1800 GBP 2.1601 GBP
21/13p ordinary Sale 348,366 2.1801 GBP 2.164 GBP
---------------- ---------------- -------------- --------------
(b) Cash-settled derivative transactions
---------------- -------------------------------------------------- -----------
Class of Product Nature of Number Price per
dealing of
relevant description reference unit
security securities
---------------- -------------- -------------- ------------ -----------
21/13p ordinary CFD Decreasing 6,158 2.1740 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary SWAP Decreasing 7,534 2.1779 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary CFD Decreasing 10,280 2.1682 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary CFD Decreasing 11,529 2.1800 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary CFD Decreasing 13,549 2.1673 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary CFD Decreasing 45,097 2.1798 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary CFD Decreasing 191,779 2.1800 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary SWAP Increasing 1,047 2.1814 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary SWAP Increasing 1,049 2.1560 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary SWAP Increasing 2,239 2.1741 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary SWAP Increasing 3,106 2.1774 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary SWAP Increasing 4,087 2.1881 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary SWAP Increasing 4,155 2.1748 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary SWAP Increasing 5,637 2.1839 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary SWAP Increasing 9,297 2.1800 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary SWAP Increasing 13,191 2.1716 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary SWAP Increasing 14,247 2.1785 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary SWAP Increasing 26,814 2.1717 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary SWAP Increasing 83,435 2.1799 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary SWAP Opening Short 4,410 2.1861 GBP
---------------- ---------------- ------------ -----------
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class Product Writing, Number Exercise Type Expiry Option
of description purchasing, of price date money
relevant selling, securities per unit paid/
security varying to received
etc which
option per unit
relates
------------- -------------- ------------ -------------- ----- ------------ -----------
(ii) Exercising
Class of Product description Exercising/ Number Exercise
relevant exercised against of price per
security securities unit
----------- ------------- -------------- ------------ ------------ -----------
(d) Other dealings (including subscribing for new securities)
Class of Nature Details Price
relevant of Dealings per unit
(if
security applicable)
----------- ------------- -------------- ------------ ------------ -----------
4. OTHER INFORMATION
(a) Indemnity and other dealings arrangements
Details of any indemnity or option arrangement, or any agreement
or understanding,
formal or informal, relating to relevant securities which may be
an inducement to deal
or refrain from dealing entered into by the exempt principal trader
making the disclosure and any party
to the offer or any person acting in concert with a party
to the offer:
--------------------------------------------------------------------------------------------- -----------
NONE
----------------------------------------------------------------------------------------------------------
(b) Agreements, arrangements or understandings relating to
options or derivatives
Details of any agreement, arrangement or understanding, formal or
informal, between
the exempt principal trader making the disclosure and any other person
relating to:
(i) the voting rights of any relevant securities under
any option; or
(ii) the voting rights of future acquisition or disposal of any relevant
securities to which
any derivative is referenced:
------------------------------------------ ------------ -------------- ----- ------------ -----------
NONE
----------------------------------------------------------------------------------------------------------
(c) Attachments
Is a Supplemental Form 8 (Open Positions) NO
attached?
------------------------------------------------
Date of disclosure: 1 Jul 2022
Contact name: Large Holdings Regulatory Operations
Telephone number: 020 3134 7213
--------------------- ------------ -----------
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