Barclays PLC Form 8.5 (EPT/NON-RI) CAPRICORN ENERGY PLC (7779Z)
September 16 2022 - 5:57AM
UK Regulatory
TIDMBARC TIDMCNE
RNS Number : 7779Z
Barclays PLC
16 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 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: 15 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: 6,905,026 2.19% 525,348 0.17%
(2) Cash-settled derivatives:
259,764 0.08% 6,714,396 2.13%
(3) Stock-settled derivatives
(including options)
and agreements to
purchase/sell: 0 0.00% 0 0.00%
TOTAL: 7,164,790 2.27% 7,239,744 2.30%
(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 86,537 2.3800 2.3378 GBP
GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary Sale 74,081 2.3440 2.33 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 CFD Decreasing Short 9 2.3377 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Decreasing Short 1,775 2.3298 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary CFD Decreasing Short 2,021 2.3436 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Decreasing Short 5,801 2.3364 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary CFD Decreasing Short 26,031 2.3378 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Short 13,456 2.3300 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Short 16,354 2.3692 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Short 27,090 2.3358 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Short 36,771 2.3347 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: 16 Sep
2022
Contact name: Large Holdings Regulatory Operations
Telephone number: 020 3134 7213
------------------------ -------------- --------------
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