Barclays PLC Form 8.5 (EPT/NON-RI) Capricorn Energy plc (3551E)
October 27 2022 - 6:16AM
UK Regulatory
TIDMBARC TIDMCNE
RNS Number : 3551E
Barclays PLC
27 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 trader: BARCLAYS CAPITAL
SECURITIES LTD
---------------------------------------------------
(b) Name of offeror/offeree in relation to CAPRICORN ENERGY
whose 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: 26 October 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: 5,964,464 1.89% 680,998 0.22%
(2) Cash-settled derivatives:
305,395 0.10% 5,766,850 1.83%
(3) Stock-settled
derivatives (including
options)
and agreements
to purchase/sell: 0 0.00% 0 0.00%
TOTAL: 6,269,859 1.99% 6,447,848 2.05%
(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 Purchase/sale Total Highest price Lowest price
relevant number per unit per unit
of
security securities paid/received paid/received
---------------- -------------- ------------ --------------- ---------------
21/13p ordinary Purchase 131,306 2.4620 GBP 2.442 GBP
---------------- -------------- --------------- ---------------
21/13p ordinary Sale 34,625 2.4675 GBP 2.448 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 1,108 2.4537 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary SWAP Decreasing 4,654 2.4552 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary SWAP Decreasing 5,606 2.4619 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary CFD Increasing 25 2.4484 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary CFD Increasing 46 2.4423 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary CFD Increasing 51 2.4619 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary CFD Increasing 1,699 2.4620 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary SWAP Increasing 5,459 2.4675 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary CFD Increasing 13,695 2.4532 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary SWAP Increasing 16,516 2.4607 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary SWAP Increasing 19,083 2.4492 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary SWAP Increasing 24,499 2.4610 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary CFD Increasing 28,121 2.4538 GBP
Short
---------------- ---------------- ------------ -----------
21/13p ordinary SWAP Opening Long 8,631 2.4618 GBP
---------------- ---------------- ------------ -----------
21/13p ordinary SWAP Opening Short 8,631 2.4620 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 received
etc 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 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: 27 Oct
2022
Contact name: Large Holdings Regulatory Operations
Telephone number: 020 3134 7213
--------------------- ------------ -----------
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END
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