CAPRICORN ENERGY PLC

Major Shareholding Notification • Aug 29, 2023

National Storage Mechanism | Additional information

RNS Number : 7004K

Capricorn Energy PLC

29 August 2023

TR-1: Standard form for notification of major holdings

1. Issuer Details

ISIN

GB00BQ98V038

Issuer Name

CAPRICORN ENERGY PLC

UK or Non-UK Issuer

UK

2. Reason for Notification

An acquisition or disposal of voting rights; An acquisition or disposal of financial instruments

3. Details of person subject to the notification obligation

Name

Bank of America Corporation

City of registered office (if applicable)

Country of registered office (if applicable)

US

4. Details of the shareholder

Full name of shareholder(s) if different from the person(s) subject to the notification obligation, above

City of registered office (if applicable)

Country of registered office (if applicable)

5. Date on which the threshold was crossed or reached

28-Aug-2023

6. Date on which Issuer notified

29-Aug-2023

7. Total positions of person(s) subject to the notification obligation

	% of voting rights attached to shares (total of 8.A)	% of voting rights through financial instruments (total of 8.B 1 + 8.B 2)	Total of both in % (8.A + 8.B)	Total number of voting rights held in issuer
Resulting situation on the date on which threshold was crossed or reached	0.201927	9.824351	10.026278	14321222
Position of previous notification (if applicable)	0.078544	9.767796	9.846340

8. Notified details of the resulting situation on the date on which the threshold was crossed or reached

8A. Voting rights attached to shares

Class/Type of shares ISIN code(if possible)	Number of direct voting rights (DTR5.1)	Number of indirect voting rights (DTR5.2.1)	% of direct voting rights (DTR5.1)	% of indirect voting rights (DTR5.2.1)
GB00BQ98V038		288426		0.201927
Sub Total 8.A	288426		0.201927%

8B1. Financial Instruments according to (DTR5.3.1R.(1) (a))

Type of financial instrument	Expiration date	Exercise/conversion period	Number of voting rights that may be acquired if the instrument is exercised/converted	% of voting rights
Right to Recall	n/a	n/a	5627683	3.939937
Sub Total 8.B1			5627683	3.939937%

8B2. Financial Instruments with similar economic effect according to (DTR5.3.1R.(1) (b))

Type of financial instrument	Expiration date	Exercise/conversion period	Physical or cash settlement	Number of voting rights	% of voting rights
Swaps	26/05/2026	N/A	Cash	33794	0.023660
Swaps	14/08/2024	N/A	Cash	5270000	3.689524
Swaps	18/11/2024	N/A	Cash	117745	0.082433
Swaps	30/08/2024	N/A	Cash	35548	0.024887
Swaps	29/11/2024	N/A	Cash	84141	0.058907
Swaps	31/01/2024	N/A	Cash	21067	0.014749
Swaps	01/07/2024	N/A	Cash	13860	0.009703
Swaps	31/07/2024	N/A	Cash	3083	0.002158
Swaps	26/02/2025	N/A	Cash	64270	0.044995
Swaps	07/11/2025	N/A	Cash	126237	0.088378
Swaps	31/10/2023	N/A	Cash	368	0.000258
Swaps	16/08/2027	N/A	Cash	2635000	1.844762
Sub Total 8.B2				8405113	5.884414%

9. Information in relation to the person subject to the notification obligation

2. Full chain of controlled undertakings through which the voting rights and/or the financial instruments are effectively held starting with the ultimate controlling natural person or legal entities (please add additional rows as necessary)

Ultimate controlling person	Name of controlled undertaking	% of voting rights if it equals or is higher than the notifiable threshold	% of voting rights through financial instruments if it equals or is higher than the notifiable threshold	Total of both if it equals or is higher than the notifiable threshold
Bank of America Corporation	Bank of America, NA
Bank of America Corporation	BofA Securities
Bank of America Corporation	Merrill Lynch International		6.119664	6.271404%
Bank of America Corporation	BofA Securities Europe SA

10. In case of proxy voting

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

12. Date of Completion

29-Aug-2023

13. Place Of Completion

United Kingdom

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