Rockhopper Exploration plc Holding(s) in Company (9608T)
12 January 2017 - 7:00AM
UK Regulatory
TIDMRKH
RNS Number : 9608T
Rockhopper Exploration plc
12 January 2017
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES(i)
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1. Identity of the issuer or Rockhopper Exploration
the underlying issuer Plc
of existing shares to which GB00B0FVQX23
voting rights are
attached: (ii)
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2 Reason for the notification (please tick the appropriate
box or boxes):
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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):
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3. Full name of person(s) UBS Investment Bank
subject to the UBS Group AG
notification obligation:
(iii)
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4. Full name of shareholder(s)
(if different from 3.):(iv) UBS AG London Branch
UBS Limited
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5. Date of the transaction 9 January 2017
and date on
which the threshold is
crossed or
reached: (v)
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6. Date on which issuer 11 January 2017
notified:
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7. Threshold(s) that is/are
crossed or 3% Section A
reached: (vi, vii) 6% Section (A+B+C)
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8. Notified details:
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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 12,201,826 12,201,826 - - 13,753,391 - 3.01%
---------------- ---------------- ------------ ---------- ------------- ------------ -----------
B: Qualifying Financial Instruments
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Resulting situation after the triggering transaction
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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 8,423,961 1.84%
------------------ ---------------- ---------------------------- --------------------------- ---------------------
C: Financial Instruments with similar economic effect
to Qualifying Financial Instruments (xv, xvi)
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Resulting situation after the triggering transaction
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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 - 25.09.2017 - 5,801,050 Nominal Delta
13.09.2019
---------------- ---------------- -------------- ------------ --------------------------- ------------ ---------
- 1.27%
-------------- ------------ ------------ ------------ -------- ------------- ------------ ---------
Total (A+B+C)
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Number of voting rights Percentage of voting rights
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27,978,402 6.13%
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9. Chain of controlled undertakings through which the
voting rights and/or the
financial instruments are effectively held, if applicable:
(xxi)
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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 -
25,978,402 (5.69%); and
* indirectly through its subsidiaries: UBS Limited -
2,000,000 (0.44%)
Proxy Voting:
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10. Name of the proxy holder:
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11. Number of voting rights proxy
holder will cease
to hold:
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12. Date on which proxy holder will
cease to hold
voting rights:
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13. Additional information:
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14. Contact name: Jamie Bonney / Raphael Lang
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15. Contact telephone number: +41 44 239 8058
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This information is provided by RNS
The company news service from the London Stock Exchange
END
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January 12, 2017 02:00 ET (07:00 GMT)