Barclays PLC Form 8.5 (EPT/NON-RI) CAPRICORN ENERGY PLC (6283Z)
September 15 2022 - 6:52AM
UK Regulatory
TIDMBARC TIDMCNE
RNS Number : 6283Z
Barclays PLC
15 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 BARCLAYS CAPITAL SECURITIES
trader: LTD
-------------------------------------------
(b) Name of offeror/offeree in relation CAPRICORN ENERGY PLC
to whose
------------------------------------------
relevant securities this form relates:
-------------- --------------------------------------------------------- ---------- -------------- --------------
(c) Name of the party to the offer TULLOW OIL PLC
with which exempt
------------------------------------------
principal trader is connected
-------------- ------------------------------------------- ------------ ---------- -------------- --------------
(d) Date position held/dealing undertaken: 14 September 2022
-------------- --------------------------------------------------------- ------------------------------------------
(e) In addition to the company in 1(b) YES:
above, is the exempt principal
trader making disclosures in respect TULLOW OIL PLC
of any other party to the offer?
-------------- --------------------------------------------------------- -------------------------- --------------
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: 6,883,400 2.18% 516,178 0.16%
(2) Cash-settled derivatives:
259,764 0.08% 6,683,256 2.12%
(3) Stock-settled derivatives
(including options)
and agreements to
purchase/sell: 0 0.00% 0 0.00%
TOTAL: 7,143,164 2.27% 7,199,434 2.29%
(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 Purchase/sale Total Highest Lowest
of relevant number price per price per
of unit unit
security securities paid/received paid/received
-------------- ------------- --------------- ----------- ------------ ---------- -------------- --------------
21/13p ordinary Purchase 230,798 2.4320 2.3758 GBP
GBP
21/13p ordinary Sale 156,423 2.4340 2.376 GBP
GBP
---------------------------- ------------------------ -------------- --------------
(b) Cash-settled derivative transactions
-------------- --------------------------------------------------------- ---------- -------------- --------------
Class Product Nature Number Price per
of of dealing of
relevant description reference unit
security securities
-------------- ------------- --------------- ----------- ------------ ---------- -------------- --------------
21/13p ordinary SWAP Decreasing Short 3,139 2.4069 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary CFD Increasing Short 2 2.3750 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Short 1,287 2.4060 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Short 1,360 2.4196 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Short 1,851 2.4300 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Short 2,261 2.4086 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Short 2,927 2.4184 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Short 3,280 2.4159 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Short 3,375 2.4065 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Short 4,418 2.4219 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Short 4,441 2.4074 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Short 4,927 2.3867 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary CFD Increasing Short 5,685 2.4056 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary CFD Increasing Short 6,371 2.3760 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Short 23,163 2.4148 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Short 27,233 2.4137 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Short 36,418 2.4190 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary CFD Increasing Short 44,616 2.3761 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Short 54,596 2.3816 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Short 55,746 2.3839 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 which received
etc
option per unit
relates
------------- --------------- ----------- ------------ ---------- -------------- --------------
(ii) Exercising
Class of relevant Product description Exercising/ Number Exercise
exercised 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: 15 Sep
2022
Contact name: Large Holdings Regulatory
Operations
Telephone number: 020 3134 7213
------------------------ -------------- --------------
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