Barclays PLC Form 8.5 (EPT/NON-RI) Capricorn Energy plc (2795Z)
September 13 2022 - 5:46AM
UK Regulatory
TIDMBARC TIDMCNE
RNS Number : 2795Z
Barclays PLC
13 September 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
(a) Name of exempt principal trader: BARCLAYS CAPITAL
SECURITIES LTD
----------------------------------------------------
(b) Name of offeror/offeree in relation to whose CAPRICORN ENERGY
PLC
---------------------
relevant securities this form relates:
------------------------------- ---------------------------------------------------- ----------- ------
(c) Name of the party to the offer with which Tullow Oil plc
exempt
---------------------
principal trader is connected
------------------------------- ---------------------------------------------------- ----------- ------
(d) Date position held/dealing undertaken: 12 September
2022
------------------------------- ---------------------------------------------------- ---------------------
(e) In addition to the company in 1(b) above, YES:
is the exempt principal
trader making disclosures in respect of TULLOW OIL
any other party to the offer? PLC
------------------------------- ---------------------------------------------------- -------------------
2. POSITIONS OF THE EXEMPT
PRINCIPAL TRADER
(a) Interests and short positions in the relevant securities
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 (%)
--------------------------------------------------------------- ----------- ------- ----------- ------
(1) Relevant securities
owned
and/or controlled: 7,079,586 2.25% 515,961 0.16%
(2) Cash-settled derivatives:
259,764 0.08% 6,889,212 2.19%
(3) Stock-settled derivatives
(including options)
and agreements
to purchase/sell: 0 0.00% 0 0.00%
TOTAL: 7,339,350 2.33% 7,405,173 2.35%
(b) Rights to subscribe for new securities (including directors
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 86,334 2.4230 GBP 2.368 GBP
---------------- ---------------- -------------- --------------
21/13p ordinary Sale 150,580 2.4200 GBP 2.374 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 SWAP Decreasing 1,064 2.4190 GBP
Short
-------------- ------------- ----------- -----------
21/13p ordinary SWAP Decreasing 1,127 2.4140 GBP
Short
-------------- ------------- ----------- -----------
21/13p ordinary SWAP Decreasing 1,282 2.4098 GBP
Short
-------------- ------------- ----------- -----------
21/13p ordinary SWAP Decreasing 1,386 2.3824 GBP
Short
-------------- ------------- ----------- -----------
21/13p ordinary SWAP Decreasing 2,019 2.4064 GBP
Short
-------------- ------------- ----------- -----------
21/13p ordinary SWAP Decreasing 2,567 2.3974 GBP
Short
-------------- ------------- ----------- -----------
21/13p ordinary SWAP Decreasing 3,055 2.4180 GBP
Short
-------------- ------------- ----------- -----------
21/13p ordinary SWAP Decreasing 4,820 2.4178 GBP
Short
-------------- ------------- ----------- -----------
21/13p ordinary SWAP Decreasing 5,491 2.4094 GBP
Short
-------------- ------------- ----------- -----------
21/13p ordinary SWAP Decreasing 6,913 2.4003 GBP
Short
-------------- ------------- ----------- -----------
21/13p ordinary SWAP Decreasing 10,874 2.3971 GBP
Short
-------------- ------------- ----------- -----------
21/13p ordinary SWAP Decreasing 15,076 2.4004 GBP
Short
-------------- ------------- ----------- -----------
21/13p ordinary SWAP Decreasing 15,246 2.3975 GBP
Short
-------------- ------------- ----------- -----------
21/13p ordinary SWAP Decreasing 15,363 2.3906 GBP
Short
-------------- ------------- ----------- -----------
21/13p ordinary SWAP Decreasing 17,944 2.3966 GBP
Short
-------------- ------------- ----------- -----------
21/13p ordinary SWAP Decreasing 23,659 2.4102 GBP
Short
-------------- ------------- ----------- -----------
21/13p ordinary CFD Increasing 244 2.4200 GBP
Short
-------------- ------------- ----------- -----------
21/13p ordinary CFD Increasing 1,627 2.3976 GBP
Short
-------------- ------------- ----------- -----------
21/13p ordinary CFD Increasing 41,150 2.4174 GBP
Short
-------------- ------------- ----------- -----------
(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 relevant Product description Exercising/ exercised Number Exercise
against of price per
security securities unit
-------------- ------------- -------------- ------------ ------------ -----------
(d) Other dealings (including subscribing for new securities)
Class Nature Details Price
of 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 NO
Positions) attached?
---------------------------------------------------
Date of disclosure: 13 Sep 2022
Contact name: Large Holdings Regulatory Operations
020 3134
Telephone number: 7213
---------------- ------ ------------ -----------
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