Rockhopper Exploration plc Holding(s) in Company (0358L)

TIDMRKH

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                                    Rockhopper Exploration Plc 
   underlying issuer of existing shares                                 GB00B0FVQX23 
   to which voting rights are attached(ii) 
   : 
 -------------------------------------------------------------------  ---------------------------------------------------------- 
  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 obligation(iv) 
  Name                                                                 UBS Investment Bank 
                                                                        UBS Group AG 
  City and country of registered office                                Zürich 
   (if applicable)                                                      Switzerland 
  4. Full name of shareholder(s) (if different from 3.)(v) 
 ------------------------------------------------------------------------------------------------------------------------------- 
  Name                                                                 UBS AG London Branch 
 -------------------------------------------------------------------  ---------------------------------------------------------- 
  City and country of registered office                                London, United Kingdom 
   (if applicable) 
 -------------------------------------------------------------------  ---------------------------------------------------------- 
  5. Date on which the threshold was                                   10 July 2017 
   crossed or reached(vi) : 
 -------------------------------------------------------------------  ---------------------------------------------------------- 
  6. Date on which issuer notified                                     12 July 2017 
   (DD/MM/YYYY): 
 -------------------------------------------------------------------  ---------------------------------------------------------- 
  7. Total positions of person(s) subject to the notification obligation 
 ------------------------------------------------------------------------------------------------------------------------------- 
                           % of voting               % of voting rights               Total of both       Total number 
                         rights attached              through financial                in % (8.A +         of voting rights 
                         to shares (total                instruments                       8.B)            of issuer(vii) 
                             of 8. A)                   (total of 8.B 
                                                          1 + 8.B 2) 
 ------------------  ----------------------  ----------------------------------  ----------------------  ----------------------- 
  Resulting 
   situation 
   on the date 
   on which 
   threshold 
   was crossed 
   or reached                 3.97%                         1.73%                         5.69%                456'964'958 
 ------------------  ----------------------  ----------------------------------  ----------------------  ----------------------- 
  Position of           Below notifiable              Below notifiable              Below notifiable 
  previous                  threshold                     threshold                     threshold 
  notification 
  (if 
  applicable) 
 ------------------  ----------------------  ----------------------------------  ----------------------  ----------------------- 
 8. Notified details of the resulting situation on the date on which 
  the threshold was crossed or reached(viii) 
-------------------------------------------------------------------------------------------------------------------------------- 
 A: Voting rights attached to shares 
-------------------------------------------------------------------------------------------------------------------------------- 
 Class/type of        Number of voting rights(ix)                                 % of voting rights 
  shares 
  ISIN code (if 
  possible) 
------------------- 
                             Direct                       Indirect                       Direct                  Indirect 
                       (Art 9 of Directive           (Art 10 of Directive          (Art 9 of Directive     (Art 10 of Directive 
                           2004/109/EC)                  2004/109/EC)             2004/109/EC) (DTR5.1)        2004/109/EC) 
                             (DTR5.1)                     (DTR5.2.1)                                            (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    Expiration   Exercise/                               Number of voting               % of voting 
  instrument           date(x)      Conversion Period(xi)                   rights that may                rights 
                                                                            be acquired if 
                                                                            the instrument 
                                                                            is 
                                                                            exercised/converted. 
-------------------  -----------  --------------------------------------  -----------------------------  ----------------------- 
 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        Expiration         Exercise/               Physical or                   Number of        % of voting 
 financial       date(x)            Conversion              cash                          voting rights    rights 
 instrument                         Period (xi)             settlement(xii) 
-------------  -----------------  ----------------------  ----------------------------  ---------------  ----------------------- 
                From 25.09.2017 
     Equity            to 
     Swaps         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) issuer(xiii) 

 Full chain of controlled undertakings through which the voting rights                   X 
  and/or the 
  financial instruments are effectively held starting with the ultimate 
  controlling natural person or legal entity(xiv) (please add additional 
  rows as necessary) 
--------------------------------------------------------------------------------------  --- 
       Name(xv)           % of voting rights      % of voting rights       Total of both 
                            if it equals or        through financial      if it equals or 
                           is higher than the      instruments if it       is higher than 
                          notifiable threshold    equals or is higher      the notifiable 
                                                  than the notifiable        threshold 
                                                       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 information(xvi) 
-------------------------------------------------------------- 
 
 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

HOLEALXDFLLXEFF

(END) Dow Jones Newswires

July 13, 2017 11:48 ET (15:48 GMT)