For filings with the FCA include the annex |
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For filings with issuer exclude the annex |
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TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARESi |
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1. Identity of the issuer or the underlying issuer |
Rockhopper Exploration Plc GB00B0FVQX23 |
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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 instruments which may result in the acquisition of shares already issued to which voting rights are attached |
Yes |
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An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments |
n/a |
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An event changing the breakdown of voting rights |
n/a |
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Other (please specify): |
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n/a |
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3. Full name of person(s) subject to the |
UBS Investment Bank UBS Group AG |
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4. Full name of shareholder(s) |
UBS AG London Branch UBS Limited
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5. Date of the transaction and date on |
28 December 2016 |
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6. Date on which issuer notified: |
30 December 2016 |
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7. Threshold(s) that is/are crossed or |
3% Section A 3% Section (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 of
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Situation previous |
Resulting situation after the triggering transaction |
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Number |
Number |
Number |
Number of voting |
% of voting rights x |
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Direct xi |
Indirect xii |
Direct |
Indirect |
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GB00B0FVQX23 |
16,563,011 |
16,563,011 |
- |
- |
12,646,374 |
- |
2.77% |
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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 |
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Right to recall lent shares |
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Anytime |
8,182,760 |
1.79% |
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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 financial |
Exercise price |
Expiration date xvii |
Exercise/ |
Number of voting rights instrument refers to
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% of voting rights xix, xx
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Equity Swaps |
- |
25.09.2017 13.09.2019 |
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5,534,154 |
Nominal |
Delta |
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1.21% |
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Total (A+B+C) |
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Number of voting rights |
Percentage of voting rights |
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26,363,288 |
5.77% |
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9. Chain of controlled undertakings through which the voting rights and/or the |
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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 - 24,363,288 (5.34%); and - indirectly through its subsidiaries: UBS Limited - 2,000,000 (0.44%)
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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 |
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12. Date on which proxy holder will cease to hold |
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14. Contact name: |
Jamie Bonney / David Iglesias |
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15. Contact telephone number: |
+41 44 239 8058 |
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