Last checked at 8 Jul 2014 07:00
Notification of Transactions of Directors/Persons Discharging Managerial Responsibility and Connected Persons
All relevant boxes should be completed in block capital letters.
1. | Name of the issuer
CARACAL ENERGY INC. | 2. | State whether the notification relates to (i) a transaction notified in accordance with DTR 3.1.2 R, (ii) a disclosure made in accordance LR 9.8.6R(1) or (iii) a disclosure made in accordance with section 793 of the Companies Act (2006).
THIS NOTIFICATION RELATES TO A TRANSACTION NOTIFIED IN ACCORDANCE WITH DTR 3.1.2 R
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3. | Name of person discharging managerial responsibilities/director
BROOKE WADE | 4. | State whether notification relates to a person connected with a person discharging managerial responsibilities/director named in 3 and identify the connected person
NOTIFICATION RELATES TO WADE CAPITAL CORPORATION, A HOLDING COMPANY CONNECTED WITH THE PERSON NAMED IN 3
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5. | Indicate whether the notification is in respect of a holding of the person referred to in 3 or 4 above or in respect of a nonbeneficial interest 1
NOTIFICATION RELATES TO WADE CAPITAL CORPORATION, A HOLDING COMPANY CONNECTED WITH THE PERSON NAMED IN 3
| 6. | Description of shares (including class), debentures or derivatives or financial instruments relating to shares
COMMON SHARES
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7. | Name of registered shareholders(s) and, if more than one, the number of shares held by each of them
WADE CAPITAL CORPORATION
| 8. | State the nature of the transaction
COMMON SHARES ISSUED AS A RESULT OF THE CONVERSION OF THE ISSUER'S CONVERTIBLE BONDS
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9. | Number of shares, debentures or financial instruments relating to shares acquired
164,744 COMMON SHARES | 10. | Percentage of issued class acquired (treasury shares of that class should not be taken into account when calculating percentage)
APPROX. 0.10%
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11. | Number of shares, debentures or financial instruments relating to shares disposed
1,000,000 USD CONVERTIBLE BOND
| 12. | Percentage of issued class disposed (treasury shares of that class should not be taken into account when calculating percentage)
0.86%
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13. | Price per share or value of transaction
6.07 USD
| 14. | Date and place of transaction
3 JULY 2014 |
15. | Total holding following notification and total percentage holding following notification (any treasury shares should not be taken into account when calculating percentage)
NO. OF SHARES: 477,925 PERCENTAGE: APPROX. 0.29%
| 16. | Date issuer informed of transaction
7 JULY 2014
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If a person discharging managerial responsibilities has been granted options by the issuer complete the following boxes
17. | Date of grant
N/A | 18. | Period during which or date on which exercisable
N/A
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19. | Total amount paid (if any) for grant of the option
N/A
| 20. | Description of shares or debentures involved (class and number)
N/A
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21. | Exercise price (if fixed at time of grant) or indication that price is to be fixed at the time of exercise
N/A
| 22. | Total number of shares or debentures over which options held following notification
N/A |
23. | Any additional information
N/A
| 24. | Name of contact and telephone number for queries
DIANE PHILLIPS CORPORATE SECRETARY TEL: +1.403.724.7218 |
Name of authorised official of issuer responsible for making notification DIANE PHILLIPS, CORPORATE SECRETARY
Date of notification: 7 JULY 2014
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Notes: This form is intended for use by an issuer to make a RIS notification required by DR 3.3.
(1) | An issuer making a notification in respect of a transaction relating to the shares or debentures of the issuer should complete boxes 1 to 16, 23 and 24. |
(2) | An issuer making a notification in respect of a derivative relating the shares of the issuer should complete boxes 1 to 4, 6, 8, 13, 14, 16, 23 and 24. |
(3) | An issuer making a notification in respect of options granted to a director/person discharging managerial responsibilities should complete boxes 1 to 3 and 17 to 24. |
(4) | An issuer making a notification in respect of a financial instrument relating to the shares of the issuer (other than a debenture) should complete boxes 1 to 4, 6, 8, 9, 11, 13, 14, 16, 23 and 24. |