CAPRICORN ENERGY PLC

Major Shareholding Notification • Mar 3, 2022

National Storage Mechanism | Additional information

RNS Number : 5221D

Capricorn Energy PLC

03 March 2022

TR-1: Standard form for notification of major holdings

1. Issuer Details

ISIN

GB00BN0SMB92

Issuer Name

CAPRICORN ENERGY PLC

UK or Non-UK Issuer

UK

2. Reason for Notification

An acquisition or disposal of voting rights

3. Details of person subject to the notification obligation

Name

JPMorgan Chase & Co.

City of registered office (if applicable)

Country of registered office (if applicable)

US

4. Details of the shareholder

Name	City of registered office	Country of registered office
J.P. Morgan Securities Plc

5. Date on which the threshold was crossed or reached

28-Feb-2022

6. Date on which Issuer notified

02-Mar-2022

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	3.156908	2.710023	5.866931	29054962
Position of previous notification (if applicable)	2.620761	2.575561	5.196322

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)
GB00BN0SMB92		15634000		3.156908
Sub Total 8.A	15634000		3.156908%

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
Sub Total 8.B1

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
Cash-settled Equity Swap	31/03/2022	31/03/2022	Cash	878000	0.177292
Cash-settled Equity Swap	03/05/2022	03/05/2022	Cash	608694	0.122912
Cash-settled Equity Swap	27/05/2022	27/05/2022	Cash	400000	0.080771
Cash-settled Equity Swap	23/06/2022	23/06/2022	Cash	2714205	0.548071
Cash-settled Equity Swap	28/06/2022	28/06/2022	Cash	472620	0.095434
Cash-settled Equity Swap	19/10/2022	19/10/2022	Cash	104522	0.021101
Cash-settled Equity Swap	02/12/2022	02/12/2022	Cash	37859	0.007643
Cash-settled Equity Swap	04/01/2023	04/01/2023	Cash	43423	0.008766
Cash-settled Equity Swap	02/02/2023	02/02/2023	Cash	789615	0.159444
Cash-settled Equity Swap	02/03/2023	02/03/2023	Cash	3500000	0.706745
Cash-settled Equity Swap	28/04/2023	28/04/2023	Cash	1397385	0.282154
Cash-settled Equity Swap	29/01/2024	29/01/2024	Cash	1500000	0.302890
Cash-settled Equity Swap	31/10/2025	31/10/2025	Cash	36101	0.007286
Cash-settled Equity Swap	05/01/2027	05/01/2027	Cash	848538	0.171342
Cash-settled Equity Swap	28/02/2023	28/02/2023	Cash	90000	0.018172
Sub Total 8.B2				13420962	2.710023%

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
JPMorgan Chase & Co.	J.P. Morgan Securities Plc	3.156907		5.866930%
JPMorgan Chase & Co.	JPMorgan Chase Bank, National Association
JPMorgan Chase & Co.	J.P. Morgan Securities LLC
JPMorgan Chase & Co.	J.P. Morgan SE

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

Chain of controlled undertakings:

JPMorgan Chase & Co.

JPMorgan Chase Bank, National Association (100%)

J.P. Morgan International Finance Limited (100%)

J.P. Morgan Capital Holdings Limited (100%)

J.P. Morgan Securities plc (100%)

JPMorgan Chase & Co.

JPMorgan Chase Bank, National Association (100%)

JPMorgan Chase & Co.

JPMorgan Chase Holdings LLC (100%)

J.P. Morgan Broker-Dealer Holdings Inc. (100%)

J.P. Morgan Securities LLC (100%)

JPMorgan Chase & Co.

JPMorgan Chase Bank, National Association (100%)

J.P. Morgan International Finance Limited (100%)

J.P. Morgan SE (100%)

12. Date of Completion

02-Mar-2022

13. Place Of Completion

London

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