Barclays PLC Form 8.5 (EPT/NON-RI) CAPRICORN ENERGY PLC (5146C)
October 11 2022 - 7:13AM
UK Regulatory
TIDMBARC TIDMCNE
RNS Number : 5146C
Barclays PLC
11 October 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: 10 October 2022
-------------- --------------------------------------------------------- ------------------------------------------
(e) In addition to the company in YES:
1(b) 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: 5,760,718 1.83% 560,880 0.18%
(2) Cash-settled derivatives:
278,764 0.09% 5,645,744 1.79%
(3) Stock-settled derivatives
(including options)
and agreements
to purchase/sell: 0 0.00% 0 0.00%
TOTAL: 6,039,482 1.92% 6,206,624 1.97%
(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 56,144 2.4520 2.4396
GBP GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary Sale 54,345 2.4560 2.436 GBP
GBP
---------------------------- ------------------------ -------------- --------------
(b) Cash-settled derivative
transactions
-------------- ------------------------------------------- ------------ ---------- -------------- --------------
Class Product Nature Number Price
of of dealing of per
relevant description reference unit
security securities
-------------- ------------- --------------- ----------- ------------ ---------- -------------- --------------
21/13p ordinary SWAP Decreasing Short 273 2.4560
GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary CFD Decreasing Short 303 2.4473
GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary CFD Decreasing Short 398 2.4400
GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Decreasing Short 999 2.4520
GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Decreasing Short 1,445 2.4507
GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Decreasing Short 2,756 2.4432
GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Decreasing Short 3,766 2.4511
GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Decreasing Short 7,351 2.4499
GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Decreasing Short 7,493 2.4422
GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Decreasing Short 8,137 2.4447
GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Decreasing Short 8,533 2.4418
GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Decreasing Short 8,541 2.4484
GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary CFD Decreasing Short 9,401 2.4518
GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary CFD Decreasing Short 16,541 2.4485
GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Short 249 2.4481
GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Short 357 2.4488
GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Short 3,810 2.4381
GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Short 5,968 2.4399
GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Short 9,312 2.4400
GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Opening Short 1,704 2.4401
GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Opening Short 4,001 2.4424
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 etc to received
which
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 of Details Price
of relevant 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: 11 Oct
2022
Contact name: Large Holdings Regulatory
Operations
Telephone number: 020 3134 7213
------------------------ -------------- --------------
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