TR-1: Standard form for notification of major holdings
NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer and to the FCA in Microsoft Word format if possible)i
1a. Identity of the issuer or the underlying issuer ofexisting shares to which voting rights are at-tachedii:
ANGUS ENERGY PLC
1b. Please indicate if the issuer is a non-UK issuer (please mark with an "X" if appropriate)
Non-UK issuer
2. Reason for the notification (please mark the appropriate box or boxes with an "X")An acquisition or disposal of voting rights
X
An acquisition or disposal of financial instruments
An event changing the breakdown of voting rights
Other (please specify)iii:
3. Details of person subject to the notification obligationiv
Name
Bergen Asset Management, LLC
City and country of registered office (if applicable)
New York, USA
4. Full name of shareholder(s) (if different from 3.)v
7. Total positions of person(s) subject to the notification obligation
% of voting rights at-tached to shares
(total of 8. A)
% of voting rights through financial instru-ments
(total of 8.B 1 + 8.B 2)Total of both in %
(8.A + 8.B)Total number of voting rights of is-suervii
Resulting situation on the date on which threshold was crossed or reachedBelow 3%
N/A
Below 3%
381,721,986
Position of previous notification (if applicable)
5.01%
N/A
5.01%
00037588.1
1
8. Notified details of the resulting situation on the date on which the threshold was crossed or reachedviii
A: Voting rights attached to shares
Class/type of shares
ISIN code (if possible)
Number of voting rightsix
% of voting rights | |||
Indirect | Direct | Indirect | |
(Art 9 of Directive | (Art 10 of Directive | (Art 9 of Directive 2004/109/ | (Art 10 of Directive |
2004/109/EC) (DTR5.1) | 2004/109/EC) | EC) (DTR5.1) | 2004/109/EC) |
(DTR5.2.1) | (DTR5.2.1) | ||
Below 3% | Below 3% |
DirectSUBTOTAL 8. A
Below 3%
Below 3%
B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC (DTR5.3.1.1 (a))
Number of voting rights
Type of financial in-strumentExpiration datexExercise/ Conversion Periodxithat may be acquired if the instrument is exercised/converted.
% of voting rightsSUBTOTAL 8. B 1
B 2: Financial Instruments with similar economic effect according to Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b))
9. Information in relation to the person subject to the notification obligation (please mark the applicable box with an "X") | ||||
Person subject to the notification obligation is not controlled by any natural person or legal entity and does not control any other undertaking(s) holding directly or indirectly an interest in the (underlying) issuerxiii | ||||
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 entityxiv (please add additional rows as necessary) | X | |||
Namexv | % of voting rights if it equals or is higher than the notifiable threshold | % of voting rights through financial in-struments if it equals or is higher than the notifiable threshold | Total of both if it equals or is higher than the notifiable threshold | |
Bergen Global Opportunity Fund, LP | ||||
Bergen Asset Management, LLC | ||||
Eugene Tablis |
10. In case of proxy voting, please identify: | |
Name of the proxy holder | |
The number and % of voting rights held | |
The date until which the voting rights will be held |
11. Additional informationxvi
Place of completion | New York, USA |
Date of completion | 16 October 2018 |
Annex: Notification of major holdings (to be filed with the FCA only)
A: Identity of the person subject to the notification obligation | |
Full name (including legal form for legal entities) | |
Contact address (registered office for legal entities) | |
Phone number / Fax number | |
Other useful information (at least legal representative for legal persons) |
B: Identity of the notifier, if applicable | |
Full name | |
Contact address | |
Phone number / Fax number | |
Other useful information (e.g. functional relationship with the person or legal entity subject to the notification oblig-ation) |
C: Additional information
Please send the completed form together with this annex to the FCA at the following email address:Majorshareholdings@fca.org.uk. Please send in Microsoft Word format if possible.
Notes
i Please note that national forms may vary due to specific national legislation (Article 3(1a) of Directive 2004/109/EC) as for instance the applicable thresholds or information regarding capital holdings.
ii Full name of the legal entity and further specification of the issuer or underlying issuer, provided it is reliable and ac-curate (e.g. address, LEI, domestic number identity). Indicate in the relevant section whether the issuer is a non UK issuer.
iii Other reason for the notification could be voluntary notifications, changes of attribution of the nature of the holding (e.g. expiring of financial instruments) or acting in concert.
iv This should be the full name of (a) the shareholder; (b) the natural person or legal entity acquiring, disposing of or exercising voting rights in the cases provided for in DTR5.2.1 (b) to (h)/ Article 10 (b) to (h) of Directive 2004/109/EC; (c) all parties to the agreement referred to in Article 10 (a) of Directive 2004/109/EC (DTR5.2.1 (a)) or (d) the holder of financial instruments referred to in Article 13(1) of Directive 2004/109/EC (DTR5.3.1).
As the disclosure of cases of acting in concert may vary due to the specific circumstances (e.g. same or different total positions of the parties, entering or exiting of acting in concert by a single party) the standard form does not provide for a specific method how to notify cases of acting in concert.
In relation to the transactions referred to in points (b) to (h) of Article 10 of Directive 2004/109/EC (DTR5.2.1 (b) to (h)), the following list is provided as indication of the persons who should be mentioned:
- in the circumstances foreseen in letter (b) of Article 10 of that Directive (DTR5.2.1 (b)), the natural person or legal entity that acquires the voting rights and is entitled to exercise them under the agreement and the natural person or legal entity who is transferring temporarily for consideration the voting rights;
- in the circumstances foreseen in letter (c) of Article 10 of that Directive (DTR5.2.1 (c)), the natural person or legal entity holding the collateral, provided the person or entity controls the voting rights and declares its inten-tion of exercising them, and natural person or legal entity lodging the collateral under these conditions;
- in the circumstances foreseen in letter (d) of Article 10 of that Directive (DTR5.2.1 (d)), the natural person or legal entity who has a life interest in shares if that person or entity is entitled to exercise the voting rights at-tached to the shares and the natural person or legal entity who is disposing of the voting rights when the life in-terest is created;
- in the circumstances foreseen in letter (e) of Article 10 of that Directive (DTR5.2.1 (e)), the controlling natural person or legal entity and, provided it has a notification duty at an individual level under Article 9 (DTR 5.1), un-der letters (a) to (d) of Article 10 of that Directive (DTR5.2.1 (a) to (d)) or under a combination of any of those situations, the controlled undertaking;
- in the circumstances foreseen in letter (f) of Article 10 of that Directive (DTR5.2.1 (f)), the deposit taker of the shares, if he can exercise the voting rights attached to the shares deposited with him at his discretion, and the depositor of the shares allowing the deposit taker to exercise the voting rights at his discretion;
- in the circumstances foreseen in letter (g) of Article 10 of that Directive (DTR5.2.1 (g)), the natural person or legal entity that controls the voting rights;
- in the circumstances foreseen in letter (h) of Article 10 of that Directive (DTR5.2.1 (h)), the proxy holder, if he can exercise the voting rights at his discretion, and the shareholder who has given his proxy to the proxy holder allowing the latter to exercise the voting rights at his discretion (e.g. management companies).
v Applicable in the cases provided for in Article 10 (b) to (h) of Directive 2004/109/EC (DTR5.2.1 (b) to (h). This should be the full name of the shareholder who is the counterparty to the natural person or legal entity referred to in Article 10 of that Directive (DTR5.2) unless the percentage of voting rights held by the shareholder is lower than the lowest noti - fiable threshold for the disclosure of voting rights holdings in accordance with national practices (e.g. identification of funds managed by management companies).
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Angus Energy plc published this content on 17 October 2018 and is solely responsible for the information contained herein. Distributed by Public, unedited and unaltered, on 17 October 2018 06:07:06 UTC