Form 8.3 - Caracal Energy, Inc

Form 8.3 - Caracal Energy, Inc

Ingalls & Snyder, LLC

TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARESi
     
1. Identity of the issuer or the underlying issuer
of existing shares to which voting rights are
attached: ii 		Caracal Energy Inc.
2 Reason for the notification (please tick the appropriate box or boxes):
An acquisition or disposal of voting rights   YES
An acquisition or disposal of qualifying financial instruments which may result in the acquisition of shares already issued to which voting rights are attached NO
An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments NO
An event changing the breakdown of voting rights NO
Other (please specify):     NO
3. Full name of person(s) subject to the
notification obligation: iii 		  Ingalls & Snyder LLC (“I&S”)
4. Full name of shareholder(s)
(if different from 3.):iv 		I&S, on behalf of its clients, has dispositive authority over (i.e. the power and authorization to sell at I&S’s discretion) 34,847,627 shares. I&S does not hold voting authority over these shares.
5. Date of the transaction and date on
which the threshold is crossed or
reached: v 		August 7, 2013
6. Date on which issuer notified: August 9, 2013
7. Threshold(s) that is/are crossed or
reached: vi, vii 		Interest in excess of 4% of issued share capital.
8. Notified details:
A: Voting rights attached to shares viii, ix
Class/type of
shares


if possible using
the ISIN CODE

   Situation previous
to the triggering
transaction 		  Resulting situation after the triggering transaction
Number
of
Shares 		  Number
of
Voting
Rights 		Number
of shares 		  Number of voting
rights 		  % of voting rights x
Direct Direct xi   Indirect xii Direct   Indirect
ISIN

CA1407561077

3,885,170 - 4,847,627 See note 4 above. I&S has dispositive authority over 4,847,627shares. - 4.19% (Note: For these purposes we have assumed that dispositive authority is equivalent to voting rights). -
 
 
B: Qualifying Financial Instruments
Resulting situation after the triggering transaction
Type of financial
instrument 		  Expiration
date xiii 		  Exercise/
Conversion Period xiv 		  Number of voting
rights that may be
acquired if the
instrument is
exercised/ converted. 		  % of voting
rights
N/A        
 
C: Financial Instruments with similar economic effect to Qualifying Financial Instruments xv, xvi
Resulting situation after the triggering transaction
Type of financial
instrument 		  Exercise price Expiration date xvii   Exercise/
Conversion period xviii 		Number of voting rights instrument refers to   % of voting rights xix, xx

N/A

        Nominal Delta
             
 
Total (A+B+C)
Number of voting rights   Percentage of voting rights
4,847,627 (Note: For these purposes we have assumed that dispositive authority is equivalent to voting rights). 4.19% (Note: For these purposes we have assumed that dispositive authority is equivalent to voting rights).
9. Chain of controlled undertakings through which the voting rights and/or the
financial instruments are effectively held, if applicable: xxi

N/A

 
Proxy Voting:
10. Name of the proxy holder:   N/A
11. Number of voting rights proxy holder will cease
to hold: 		N/A
12. Date on which proxy holder will cease to hold
voting rights: 		N/A
 

13. Additional information: 		   
14. Contact name: Frank Stolba
15. Contact telephone number: (001) (212) 269 - 7814

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