|
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 of
shares 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 |
Expiration
datex |
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 |
Expiration
datex |
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% |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|