Capricorn Energy PLC Holding(s) in Company (2362K)
August 23 2023 - 7:06AM
UK Regulatory
TIDMCNE TIDM51DV
RNS Number : 2362K
Capricorn Energy PLC
23 August 2023
TR-1: Standard form for notification of major holdings
1. Issuer Details
ISIN
GB00BQ98V038
Issuer Name
CAPRICORN ENERGY PLC
UK or Non-UK Issuer
UK
2. Reason for Notification
An acquisition or disposal of financial instruments
3. Details of person subject to the notification obligation
Name
Bank of America Corporation
City of registered office (if applicable)
Country of registered office (if applicable)
US
4. Details of the shareholder
Full name of shareholder(s) if different from the person(s)
subject to the notification obligation, above
City of registered office (if applicable)
Country of registered office (if applicable)
5. Date on which the threshold was crossed or reached
21-Aug-2023
6. Date on which Issuer notified
22-Aug-2023
7. Total positions of person(s) subject to the notification
obligation
% of voting rights % of voting rights Total of both in % Total number of
attached to shares through financial (8.A + 8.B) voting rights held
(total of 8.A) instruments (total in issuer
of 8.B 1 + 8.B 2)
Resulting situation
on the date on
which threshold
was crossed or
reached 0.078544 9.767796 9.846340 14064204
====================== ====================== ====================== ======================
Position of
previous
notification (if
applicable) 1.949898 7.539843 9.489741
====================== ====================== ====================== ======================
8. Notified details of the resulting situation on the date on
which the threshold was crossed or reached
8A. Voting rights attached to shares
Class/Type of shares Number of direct Number of indirect % of direct voting % of indirect voting
ISIN code(if possible) voting rights (DTR5.1) voting rights rights (DTR5.1) rights (DTR5.2.1)
(DTR5.2.1)
GB00BQ98V038 112190 0.078544
====================== ====================== ====================== ======================
Sub Total 8.A 112190 0.078544%
============================================== ==============================================
8B1. Financial Instruments according to (DTR5.3.1R.(1) (a))
Type of financial Expiration date Exercise/conversion period Number of voting rights % of voting rights
instrument that may be acquired if
the instrument is
exercised/converted
Right to Recall N/A N/A 5494582 3.846753
================ ========================== ======================== ==================
Sub Total 8.B1 5494582 3.846753%
======================== ==================
8B2. Financial Instruments with similar economic effect
according to (DTR5.3.1R.(1) (b))
Type of financial Expiration date Exercise/conversion Physical or cash Number of voting % of voting rights
instrument period settlement rights
Swaps 08/09/2025 N/A Cash 52327 0.036634
================ ==================== ================== ================== ==================
Swaps 26/05/2026 N/A Cash 86376 0.060472
================ ==================== ================== ================== ==================
Swaps 14/08/2024 N/A Cash 5270000 3.689524
================ ==================== ================== ================== ==================
Swaps 18/11/2024 N/A Cash 48517 0.033967
================ ==================== ================== ================== ==================
Swaps 30/08/2024 N/A Cash 36353 0.025450
================ ==================== ================== ================== ==================
Swaps 29/11/2024 N/A Cash 84531 0.059180
================ ==================== ================== ================== ==================
Swaps 31/01/2024 N/A Cash 21087 0.014763
================ ==================== ================== ================== ==================
Swaps 01/07/2024 N/A Cash 12408 0.008687
================ ==================== ================== ================== ==================
Swaps 31/07/2024 N/A Cash 3083 0.002158
================ ==================== ================== ================== ==================
Swaps 26/02/2025 N/A Cash 64270 0.044995
================ ==================== ================== ================== ==================
Swaps 07/11/2025 N/A Cash 139641 0.097763
================ ==================== ================== ================== ==================
Swaps 31/10/2023 N/A Cash 1461 0.001023
================ ==================== ================== ================== ==================
Swaps 22/04/2024 N/A Cash 2378 0.001665
================ ==================== ================== ================== ==================
Swaps 16/08/2027 N/A Cash 2635000 1.844762
================ ==================== ================== ================== ==================
Sub Total 8.B2 8457432 5.921043%
================== ==================
9. Information in relation to the person subject to the
notification obligation
2. Full chain of controlled undertakings through which the
voting rights and/or the financial instruments are effectively held
starting with the ultimate controlling natural person or legal
entities (please add additional rows as necessary)
Ultimate controlling Name of controlled % of voting rights if % of voting rights Total of both if it
person undertaking it equals or is higher through financial equals or is higher
than the notifiable instruments if it than the notifiable
threshold equals or is higher threshold
than the notifiable
threshold
Bank of America Bank of America, NA
Corporation
======================= ====================== ===================== =====================
Bank of America BofA Securities
Corporation
======================= ====================== ===================== =====================
Bank of America
Corporation Merrill Lynch International 6.008068 6.036426%
=============================================== ===================== =====================
Bank of America BofA Securities Europe SA
Corporation
=============================================== ===================== =====================
10. In case of proxy voting
Name of the proxy holder
The number and % of voting rights held
The date until which the voting rights will be held
11. Additional Information
12. Date of Completion
22-Aug-2023
13. Place Of Completion
United Kingdom
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END
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