Barclays PLC Form 8.5 (EPT/NON-RI)CAPRICORN ENERGY PLC (6582C)
October 12 2022 - 6:14AM
UK Regulatory
TIDMBARC TIDMCNE
RNS Number : 6582C
Barclays PLC
12 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 11 October 2022
undertaken:
-------------- ------------------------------------------- ------------ ------------------------------------------
(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: 5,755,465 1.83% 563,333 0.18%
(2) Cash-settled derivatives:
281,034 0.09% 5,631,216 1.79%
(3) Stock-settled derivatives
(including options)
and agreements to
purchase/sell: 0 0.00% 0 0.00%
TOTAL: 6,036,499 1.92% 6,194,549 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 price
of relevant number price per per unit
of unit
security securities paid/received paid/received
-------------- ------------- --------------- ----------- ------------ ---------- -------------- --------------
21/13p ordinary Purchase 98,005 2.4430 2.421 GBP
GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary Sale 105,711 2.4449 2.4232 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 5 2.4280 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary CFD Decreasing Short 223 2.4449 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Decreasing Short 954 2.4360 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary CFD Decreasing Short 1,663 2.4266 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Decreasing Short 2,496 2.4344 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary CFD Decreasing Short 3,070 2.4241 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary CFD Decreasing Short 3,071 2.4280 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Decreasing Short 3,616 2.4280 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Decreasing Short 5,681 2.4339 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Decreasing Short 10,705 2.4334 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary CFD Decreasing Short 14,257 2.4326 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Decreasing Short 23,041 2.4306 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Decreasing Short 24,019 2.4328 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Long 116 2.4385 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Long 239 2.4372 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Long 809 2.4264 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Long 1,106 2.4356 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Short 493 2.4280 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Short 5,087 2.4399 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Short 5,335 2.4279 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Short 12,213 2.4266 GBP
---------------------------- ------------------------ -------------- --------------
21/13p ordinary SWAP Increasing Short 31,587 2.4300 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: 12 Oct
2022
Contact name: Large Holdings Regulatory
Operations
Telephone number: 020 3134 7213
------------------------ -------------- --------------
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