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Holding(s) in Company

13 Jul 2017 16:48

RNS Number : 0358L
Rockhopper Exploration plc
13 July 2017
 



TR-1: Standard form for notification of major holdings

 

 

NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer and to the FCA in Microsoft Word format if possible)i

 

 

1a. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attachedii:

Rockhopper Exploration Plc

GB00B0FVQX23

 

1b. Please indicate if the issuer is a non-UK issuer (please mark with an "X" if appropriate)

 

Non-UK issuer

 

2. Reason for the notification (please mark the appropriate box or boxes with an "X")

 

An acquisition or disposal of voting rights

X

 

An acquisition or disposal of financial instruments

X

 

An event changing the breakdown of voting rights

 

Other (please specify)iii:

 

3. Details of person subject to the notification obligationiv

 

Name

UBS Investment Bank

UBS Group AG

 

City and country of registered office (if applicable)

Zürich

Switzerland

 

4. Full name of shareholder(s) (if different from 3.)v

 

Name

UBS AG London Branch

 

City and country of registered office (if applicable)

London, United Kingdom

 

5. Date on which the threshold was crossed or reachedvi:

10 July 2017

 

6. Date on which issuer notified (DD/MM/YYYY):

12 July 2017

 

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 of issuervii

 

Resulting situation on the date on which threshold was crossed or reached

3.97%

1.73%

5.69%

456'964'958

 

Position of previous notification (if

applicable)

Below notifiable threshold

Below notifiable threshold

Below notifiable threshold

8. Notified details of the resulting situation on the date on which the threshold was crossed or reachedviii

A: Voting rights attached to shares

Class/type ofshares

ISIN code (if possible)

Number of voting rightsix

% of voting rights

Direct

(Art 9 of Directive 2004/109/EC) (DTR5.1)

Indirect

(Art 10 of Directive 2004/109/EC) (DTR5.2.1)

Direct

(Art 9 of Directive 2004/109/EC) (DTR5.1)

Indirect

(Art 10 of Directive 2004/109/EC) (DTR5.2.1)

GB00B0FVQX23

18,119,485

3.97%

SUBTOTAL 8. A

18,119,485

3.97%

 

 

B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC (DTR5.3.1.1 (a))

Type of financial instrument

Expirationdatex

Exercise/Conversion Periodxi

Number of voting rights that may be acquired if the instrument is

exercised/converted.

% of voting rights

Right to recall lent shares

Anytime

2,010,300

0.44%

SUBTOTAL 8. B 1

2,010,300

0.44%

 

 

B 2: Financial Instruments with similar economic effect according to Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b))

Type of financial instrument

Expirationdatex

Exercise/Conversion Period xi

Physical or cash

settlementxii

Number of voting rights

% of voting rights

 

Equity Swaps

 

From 25.09.2017

to

13.09.2019

 

Cash

 

5,880,421

 

1.29%

SUBTOTAL 8.B.2

 

5,880,421

 

 

1.29%

 

 

 

9. Information in relation to the person subject to the notification obligation (please mark the

applicable box with an "X")

Person subject to the notification obligation is not controlled by any natural person or legal entity and does not control any other undertaking(s) holding directly or indirectly an interest in the (underlying) issuerxiii

Full chain of controlled undertakings through which the voting rights and/or thefinancial instruments are effectively held starting with the ultimate controlling natural person or legal entityxiv (please add additional rows as necessary)

X

Namexv

% 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

UBS Group AG

UBS AG

UBS AG London Branch

3.96%

1.29%

5.25%

UBS Group AG

UBS AG

 

 

UBS Limited

 

10. In case of proxy voting, please identify:

Name of the proxy holder

The number and % of voting rights held

The date until which the voting rights will be held

11. Additional informationxvi

Place of completion

Opfikon, Switzerland

Date of completion

12.07.2017

 

This information is provided by RNS
The company news service from the London Stock Exchange
 
END
 
 
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