Raport bieżący: 41/2018 Data: 2018-05-22 g. 08:01 Skrócona nazwa emitenta: SERINUS ENERGY plc Temat: Przekroczenie progu 5% głosów w SERINUS ENERGY plc Podstawa prawna: Art. 70 pkt 1 Ustawy o ofercie - nabycie lub zbycie znacznego pakietu akcji Treść raportu: W związku z wymogiem Art. 70 pkt 1 Ustawy o ofercie publicznej [...] Kierownictwo SERINUS ENERGY plc ( Spółka, Emitent ) informuje, iż do Spółki wpłynęły dwa zawiadomienia przygotowane zgodnie z regulacjami AIM w Wielkiej Brytanii o przekroczeniu progu 5% w ogólnej liczbie głosów w Spółce. Oba zawiadomienia są datowane na 21 maja 2018 r. Wskazana na nich data zdarzenia powodującego zmianę udziału w ogólnej liczbie głosów to 18 maja 2018 r. Zgodnie z treścią pierwszego z zawiadomień Canaccord Genuity Group Inc., z siedzibą w Vancouver, w Kanadzie, posiada obecnie 16.666.666 akcji Emitenta uprawniających do wykonywania 7,6692% ogólnej liczby głosów. Przed zmianą stanu posiadania Canaccord Genuity Group Inc. nie posiadała akcji Emitenta. Kompletny łańcuch kontrolowanych podmiotów, za pośrednictwem których prawo głosu i/ lub instrumenty finansowe są faktycznie posiadane: Canaccord Genuity Group Inc., Canaccord Genuity Wealth Group Holdings Limited, Canaccord Genuity Wealth Group Holdings (Jersey) Limited, Hargreave Hale Ltd. Zgodnie z treścią drugiego z zawiadomień James Caird Investments Ltd. z siedzibą na Grand Cayman, Kajmany, posiada obecnie 12.562.839 akcji Emitenta uprawniających do wykonywania 5,78% ogólnej liczby głosów. W załączeniu Emitent przekazuje treść oryginalnych zawiadomień.
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 of existing shares to which voting rights are attached ii : SERINUS ENERGY PLC 1b. Please indicate if the issuer is a non-uk issuer (please mark with an if appropriate) Non-UK issuer 2. Reason for the notification (please mark the appropriate box or boxes with an ) An acquisition or disposal of voting rights 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 obligation iv CANACCORD GENUITY GROUP INC VANCOUVER, CANADA 4. Full name of shareholder(s) (if different from 3.) v 5. Date on which the was crossed or reached vi : DISCRETIONARY CLIENTS As above 18 MAY 2018 6. Date on which issuer notified (DD/MM/YYYY): 21 MAY 2018 7. Total positions of person(s) subject to the notification obligation Resulting situation on the date on which was crossed or reached Position of previous notification (if applicable) attached to shares (total of 8. A) (total of 8.B 1 + 8.B 2) Total of both in % (8.A + 8.B) Total number of voting rights of issuer vii 217,318,805 0.00 0.00 1
8. Notified details of the resulting situation on the date on which the was crossed or reached viii A: Voting rights attached to shares Class/type of shares ISIN code (if possible) Number of voting rights ix (Art 9 of ive (Art 10 of ive 2004/109/EC) (DTR5.2.1) (Art 9 of ive JE00BF4N9R98 N/A 16,666,666 N/A 7.6692 (Art 10 of ive 2004/109/EC) (DTR5.2.1) SUBTOTAL 8. A 16,666,666 7.6692 B 1: Financial Instruments according to Art. 13(1)(a) of ive 2004/109/EC (DTR5.3.1.1 (a)) Type of financial instrument Expiration date x Exercise/ Conversion Period xi Number of voting rights that may be acquired if the instrument is exercised/converted. SUBTOTAL 8. B 1 B 2: Financial Instruments with similar economic effect according to Art. 13(1)(b) of ive 2004/109/EC (DTR5.3.1.1 (b)) Exercise/ Type of financial Expiration Physical or cash Number of Conversion instrument date x settlement Period xii voting rights xi SUBTOTAL 8.B.2 2
9. Information in relation to the person subject to the notification obligation (please mark the applicable box with an ) 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) issuer xiii 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 entity xiv (please add additional rows as necessary) xv Canaccord Genuity Group Inc. Canaccord Genuity Wealth Group Holdings Limited Canaccord Genuity Wealth Group Holdings (Jersey) Limited Hargreave Hale Ltd if it equals or is higher if it equals or is higher than the notifiable Total of both if it equals or is higher 10. In case of proxy voting, please identify: of the proxy holder The number and held The date until which the voting rights will be held 11. Additional information xvi Place of completion BLACKPOOL, ENGLAND Date of completion 21 MAY 2018 3
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 of existing shares to which voting rights are attached ii : Serinus Energy PLC 700 4 th Avenue Southwest, Suite 1500, Calgary, AB T2P 3J4, Canada 1b. Please indicate if the issuer is a non-uk issuer (please mark with an if appropriate) Non-UK issuer 2. Reason for the notification (please mark the appropriate box or boxes with an ) An acquisition or disposal of voting rights 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 obligation iv James Caird Investments Ltd Grand Cayman, Cayman Islands 4. Full name of shareholder(s) (if different from 3.) v 5. Date on which the was crossed or reached vi : 18th May 2018 6. Date on which issuer notified (DD/MM/YYYY): 21st May 2018 7. Total positions of person(s) subject to the notification obligation Resulting situation on the date on which was crossed or reached Position of previous notification (if applicable) attached to shares (total of 8. A) (total of 8.B 1 + 8.B 2) Total of both in % (8.A + 8.B) Total number of voting rights of issuer vii 5.78% 0.00% 5.78% 217,318,805 1
8. Notified details of the resulting situation on the date on which the was crossed or reached viii A: Voting rights attached to shares Class/type of shares ISIN code (if possible) GB00BDHPJ60 Number of voting rights ix (Art 9 of ive 12,562,839 (Art 10 of ive 2004/109/EC) (DTR5.2.1) (Art 9 of ive 5.78% (Art 10 of ive 2004/109/EC) (DTR5.2.1) SUBTOTAL 8. A 12,562,839 5.78% B 1: Financial Instruments according to Art. 13(1)(a) of ive 2004/109/EC (DTR5.3.1.1 (a)) Type of financial instrument Expiration date x Exercise/ Conversion Period xi Number of voting rights that may be acquired if the instrument is exercised/converted. SUBTOTAL 8. B 1 B 2: Financial Instruments with similar economic effect according to Art. 13(1)(b) of ive 2004/109/EC (DTR5.3.1.1 (b)) Exercise/ Physical or Type of financial Expiration Number of Conversion cash instrument date x voting rights Period xi settlement xii SUBTOTAL 8.B.2 2
9. Information in relation to the person subject to the notification obligation (please mark the applicable box with an ) 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) issuer xiii 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 entity xiv (please add additional rows as necessary) xv if it equals or is higher if it equals or is higher than the notifiable Total of both if it equals or is higher 10. In case of proxy voting, please identify: of the proxy holder The number and held The date until which the voting rights will be held 11. Additional information xvi Place of completion London Date of completion 21 May 2018 3