11th Apr 2017 14:40
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARESi | |||||
1. Identity of the issuer or the underlying issuerof existing shares to which voting rights areattached: ii | Rockhopper Exploration Plc GB00B0FVQX23 | ||||
2 Reason for the notification (please tick the appropriate box or boxes): | |||||
An acquisition or disposal of voting rights | Yes | ||||
An acquisition or disposal of qualifying financial instruments which may result in the acquisition of shares already issued to which voting rights are attached | n/a | ||||
An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments | n/a | ||||
An event changing the breakdown of voting rights | n/a | ||||
Other (please specify): | n/a | ||||
3. Full name of person(s) subject to thenotification obligation: iii | UBS Investment Bank UBS Group AG | ||||
4. Full name of shareholder(s) (if different from 3.):iv |
UBS AG London Branch UBS Limited
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5. Date of the transaction and date onwhich the threshold is crossed orreached: v | 7 April 2017 | ||||
6. Date on which issuer notified: | 11 April 2017 | ||||
7. Threshold(s) that is/are crossed orreached: vi, vii |
3% Section A
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8. Notified details: | |||||||||||||||
A: Voting rights attached to shares viii, ix | |||||||||||||||
Class/type ofshares if possible usingthe ISIN CODE | Situation previousto the triggeringtransaction | Resulting situation after the triggering transaction | |||||||||||||
NumberofShares | NumberofVotingRights | Numberof shares | Number of votingrights | % of voting rights x | |||||||||||
Direct xi | Indirect xii | Direct | Indirect | ||||||||||||
GB00B0FVQX23 | 13,007,485 | 13,007,485 | - | - | 13,982,159 | - | 3.06% | ||||||||
B: Qualifying Financial Instruments | |||||||||||||||
Resulting situation after the triggering transaction | |||||||||||||||
Type of financialinstrument | Expirationdate xiii | Exercise/Conversion Period xiv | Number of votingrights that may beacquired if theinstrument isexercised/ converted. | % of votingrights | |||||||||||
Right to recall lent shares | - | Anytime | 2,010,300 | 0.44% | |||||||||||
C: Financial Instruments with similar economic effect to Qualifying Financial Instruments xv, xvi | |||||||||||||||
Resulting situation after the triggering transaction | |||||||||||||||
Type of financialinstrument | Exercise price | Expiration date xvii | Exercise/Conversion period xviii | Number of voting rights instrument refers to
| % of voting rights xix, xx
| ||||||||||
Equity Swaps | - | From 25.09.2017 To 13.09.2019 | - | 8,872,105 | Nominal | Delta | |||||||||
- | 1.94% | ||||||||||||||
Total (A+B+C) | |||||||||||||||
Number of voting rights | Percentage of voting rights | ||||||||||||||
24,864,564 | 5.44% | ||||||||||||||
9. Chain of controlled undertakings through which the voting rights and/or thefinancial instruments are effectively held, if applicable: xxi | ||
UBS Group AG is a group holding company for UBS Investment Bank business. Voting rights are held through its controlled undertakings as set out below.
UBS AG:
- directly through its branches: UBS AG London Branch - 22,864,564 (5.005%); and - indirectly through its subsidiaries: UBS Limited - 2,000,000 (0.44%)
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Proxy Voting: | ||
10. Name of the proxy holder: | ||
11. Number of voting rights proxy holder will ceaseto hold: | ||
12. Date on which proxy holder will cease to holdvoting rights: | ||
13. Additional information: | ||
14. Contact name: | Jamie Bonney / David Iglesias | |
15. Contact telephone number: | +41 44 239 8058 | |
Related Shares:
Rockhopper