Rockhopper Exploration plc Holding(s) in Company (2362K)
20 September 2016 - 12:19AM
UK Regulatory
TIDMRKH
RNS Number : 2362K
Rockhopper Exploration plc
19 September 2016
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES(i)
--------------------------------------------------
1. Identity of the issuer or Rockhopper Exploration
the underlying issuer Plc
of existing shares to which GB00B0FVQX23
voting rights are
attached: (ii)
------------------------------------------------------------- --------------------------
2 Reason for the notification (please tick the appropriate
box or boxes):
-----------------------------------------------------------------------------------------
An acquisition or disposal of voting rights Yes
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An acquisition or disposal of qualifying financial n/a
instruments which may result in the acquisition
of shares already issued to which voting rights
are attached
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An acquisition or disposal of instruments with n/a
similar economic effect to qualifying financial
instruments
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An event changing the breakdown of voting rights n/a
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Other (please n/a
specify):
------------------------------------------------------- ------- -----------------------
3. Full name of person(s) UBS Investment Bank
subject to the UBS Group AG
notification obligation:
(iii)
--------------------------------------------------------- ------------------------------
4. Full name of shareholder(s)
(if different from 3.):(iv) UBS AG London Branch
UBS Limited
--------------------------------------------------------- ------------------------------
5. Date of the transaction 15 September 2016
and date on
which the threshold is
crossed or
reached: (v)
--------------------------------------------------------- ------------------------------
6. Date on which issuer 19 September 2016
notified:
--------------------------------------------------------- ------------------------------
7. Threshold(s) that is/are
crossed or 5% Section A
reached: (vi, vii)
--------------------------------------------------------- ------------------------------
8. Notified details:
------------------------------------------------------------------------------------------------------------------------------
A: Voting rights attached to shares (viii, ix)
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Class/type Situation previous Resulting situation after the
of to the triggering triggering transaction
shares transaction
if possible
using
the ISIN
CODE
-------------- ----------------------------------------- -------------------------------------------------------------------
Number Number Number Number of voting % of voting
of of of shares rights rights (x)
Shares Voting
Rights
-------------- -------------------- ------------------- ----------- ----------------------- -----------------------------
Direct Indirect Direct Indirect
(xi) (xii)
-------------- ---- ---- -------- --- ------------ ----------- ---------- ----------- ----------- ----------------
GB00B0FVQX23 24,366,892 24,366,892 - - 22,771,198 - 4.99%
-------------------- ------------------- ----------- ---------- ----------- ----------- ----------------
B: Qualifying Financial Instruments
------------------------------------------------------------------------------------------------------------------------------
Resulting situation after the triggering transaction
------------------------------------------------------------------------------------------------------------------------------
Type of financial Expiration Exercise/ Number of voting % of voting
instrument date Conversion rights that rights
(xiii) Period (xiv) may be
acquired if
the
instrument
is
exercised/
converted.
-------------------------- --------------- ------------------------------- ---------------------------- ------------------
Right to recall
lent shares - Anytime 2,000,000 0.44%
-------------------------- --------------- ------------------------------- ---------------------------- ------------------
C: Financial Instruments with similar economic effect
to Qualifying Financial Instruments (xv, xvi)
------------------------------------------------------------------------------------------------------------------------------
Resulting situation after the triggering transaction
------------------------------------------------------------------------------------------------------------------------------
Type of Exercise Expiration Exercise/ Number of voting % of voting
financial price date Conversion rights instrument rights (xix,
instrument (xvii) period refers to xx)
(xviii)
-------------------- ------------------- -------------- ----------- -------------------------------- --------------------
Equity Swaps - - 4,801,172 Nominal Delta
-------------------- ------------------- ----------- -------------------------------- ------------ ------
02.12.2016 - 1.05%
25.09.2017
-------------- ---- ---- -------- --- -------------- ----------- ---- ---- ----------- ------- ------------ ------
Total (A+B+C)
------------------------------------------------------------------------------------------------------------------------------
Number of voting rights Percentage of voting rights
---------------------------------------------------------------------- ------------------------------------------------------
29,572,370 6.48%
---------------------------------------------------------------------- ------------------------------------------------------
9. Chain of controlled undertakings through which the
voting rights and/or the
financial 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 -
27,567,533 (6.04%); and
* indirectly through its subsidiaries: UBS Limited -
2,004,837 (0.44%)
Proxy Voting:
---------------------------------------------------------------------------------------------------
10. Name of the proxy holder:
--------------------------------------------------------------------- ----------------------------
11. Number of voting rights proxy
holder will cease
to hold:
--------------------------------------------------------------------- ----------------------------
12. Date on which proxy holder will
cease to hold
voting rights:
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13. Additional information:
--------------------------------------------------------------------- ----------------------------
14. Contact name: Raphael Lang / Jamie Bonney
--------------------------------------------------------------------- ----------------------------
15. Contact telephone number: +41 44 239 6201
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Note: Annex should only be submitted to the FCA not
the issuer
Annex: Notification of major interests in share
A: Identity of the persons or legal entity subject to
the notification obligation
------------------------------------------------------------------
Full name UBS Investment Bank
(including legal form of
legal entities)
------------------------------------ ----------------------------
Contact address 1 Finsbury Avenue
(registered office for legal London
entities) EC2M 2PP
------------------------------------ ----------------------------
Phone number & email
+41 44 239 6201
raphael.lang@ubs.com
------------------------------------ ----------------------------
Other useful information
(at least legal representative
for legal persons)
------------------------------------ ----------------------------
B: Identity of the notifier, if applicable
------------------------------------------------------------------
Full name Raphael Lang / Jamie Bonney
------------------------------------ ----------------------------
Contact address Europastrasse 2
8152 Opfikon
Switzerland
------------------------------------ ----------------------------
Phone number & email
+41 44 239 6201
raphael.lang@ubs.com
------------------------------------ ----------------------------
Other useful information
(e.g. functional relationship
with the person or legal
entity subject to the notification
obligation)
------------------------------------ ----------------------------
C: Additional information
------------------------------------------------------------------
For notes on how to complete form TR-1 please see the
FCA website.
This information is provided by RNS
The company news service from the London Stock Exchange
END
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