3rd Mar 2022 08:49
TR-1: Standard form for notification of major holdings
1. Issuer Details
ISIN
GB00BN0SMB92
Issuer Name
CAPRICORN ENERGY PLC
UK or Non-UK Issuer
UK
2. Reason for Notification
An acquisition or disposal of voting rights
3. Details of person subject to the notification obligation
Name
JPMorgan Chase & Co.
City of registered office (if applicable)
Country of registered office (if applicable)
US
4. Details of the shareholder
Name | City of registered office | Country of registered office |
J.P. Morgan Securities Plc |
5. Date on which the threshold was crossed or reached
28-Feb-2022
6. Date on which Issuer notified
02-Mar-2022
7. Total positions of person(s) subject to the notification obligation
% of voting rights attached to shares (total of 8.A) | % of voting rights through financial instruments (total of 8.B 1 + 8.B 2) | Total of both in % (8.A + 8.B) | Total number of voting rights held in issuer | |
Resulting situation on the date on which threshold was crossed or reached | 3.156908 | 2.710023 | 5.866931 | 29054962 |
Position of previous notification (if applicable) | 2.620761 | 2.575561 | 5.196322 |
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 ISIN code(if possible) | Number of direct voting rights (DTR5.1) | Number of indirect voting rights (DTR5.2.1) | % of direct voting rights (DTR5.1) | % of indirect voting rights (DTR5.2.1) |
GB00BN0SMB92 | 15634000 | 3.156908 | ||
Sub Total 8.A | 15634000 | 3.156908% | ||
8B1. Financial Instruments according to (DTR5.3.1R.(1) (a))
Type of financial instrument | Expiration date | Exercise/conversion period | Number of voting rights that may be acquired if the instrument is exercised/converted | % of voting rights |
Sub Total 8.B1 | ||||
8B2. Financial Instruments with similar economic effect according to (DTR5.3.1R.(1) (b))
Type of financial instrument | Expiration date | Exercise/conversion period | Physical or cash settlement | Number of voting rights | % of voting rights |
Cash-settled Equity Swap | 31/03/2022 | 31/03/2022 | Cash | 878000 | 0.177292 |
Cash-settled Equity Swap | 03/05/2022 | 03/05/2022 | Cash | 608694 | 0.122912 |
Cash-settled Equity Swap | 27/05/2022 | 27/05/2022 | Cash | 400000 | 0.080771 |
Cash-settled Equity Swap | 23/06/2022 | 23/06/2022 | Cash | 2714205 | 0.548071 |
Cash-settled Equity Swap | 28/06/2022 | 28/06/2022 | Cash | 472620 | 0.095434 |
Cash-settled Equity Swap | 19/10/2022 | 19/10/2022 | Cash | 104522 | 0.021101 |
Cash-settled Equity Swap | 02/12/2022 | 02/12/2022 | Cash | 37859 | 0.007643 |
Cash-settled Equity Swap | 04/01/2023 | 04/01/2023 | Cash | 43423 | 0.008766 |
Cash-settled Equity Swap | 02/02/2023 | 02/02/2023 | Cash | 789615 | 0.159444 |
Cash-settled Equity Swap | 02/03/2023 | 02/03/2023 | Cash | 3500000 | 0.706745 |
Cash-settled Equity Swap | 28/04/2023 | 28/04/2023 | Cash | 1397385 | 0.282154 |
Cash-settled Equity Swap | 29/01/2024 | 29/01/2024 | Cash | 1500000 | 0.302890 |
Cash-settled Equity Swap | 31/10/2025 | 31/10/2025 | Cash | 36101 | 0.007286 |
Cash-settled Equity Swap | 05/01/2027 | 05/01/2027 | Cash | 848538 | 0.171342 |
Cash-settled Equity Swap | 28/02/2023 | 28/02/2023 | Cash | 90000 | 0.018172 |
Sub Total 8.B2 | 13420962 | 2.710023% | |||
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 person | Name of controlled undertaking | % of voting rights if it equals or is higher than the notifiable threshold | % of voting rights through financial instruments if it equals or is higher than the notifiable threshold | Total of both if it equals or is higher than the notifiable threshold |
JPMorgan Chase & Co. | J.P. Morgan Securities Plc | 3.156907 | 5.866930% | |
JPMorgan Chase & Co. | JPMorgan Chase Bank, National Association | |||
JPMorgan Chase & Co. | J.P. Morgan Securities LLC | |||
JPMorgan Chase & Co. | J.P. Morgan SE |
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
Chain of controlled undertakings:JPMorgan Chase & Co.JPMorgan Chase Bank, National Association (100%)J.P. Morgan International Finance Limited (100%)J.P. Morgan Capital Holdings Limited (100%)J.P. Morgan Securities plc (100%)JPMorgan Chase & Co.JPMorgan Chase Bank, National Association (100%)JPMorgan Chase & Co.JPMorgan Chase Holdings LLC (100%)J.P. Morgan Broker-Dealer Holdings Inc. (100%)J.P. Morgan Securities LLC (100%)JPMorgan Chase & Co.JPMorgan Chase Bank, National Association (100%)J.P. Morgan International Finance Limited (100%)J.P. Morgan SE (100%)
12. Date of Completion
02-Mar-2022
13. Place Of Completion
London
Related Shares:
Capricorn Energy PLC