Holding(s) in Company

Holding(s) in Company

Ingalls & Snyder, LLC

TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARESi

     

1. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attached: ii

  Caracal Energy Inc.
2 Reason for the notification (please tick the appropriate box or boxes):
An acquisition or disposal of voting rights   YES
An acquisition or disposal of qualifying financial instruments which may result in the acquisition of shares already issued to which voting rights are attached   NO
An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments   NO
An event changing the breakdown of voting rights   NO
Other (please specify):   NO

3. Full name of person(s) subject to the notification obligation: iii

  Ingalls & Snyder LLC (“I&S”)

4. Full name of shareholder(s) (if different from 3.):iv

  I&S, on behalf of its clients, has dispositive authority over (i.e. the power and authorization to sell at I&S’s discretion) 3,885,170 shares. I&S does not hold voting authority over these shares.

5. Date of the transaction and date on which the threshold is crossed or reached: v

  July 24, 2013
6. Date on which issuer notified:   July 25, 2013

7. Threshold(s) that is/are crossed or reached: vi, vii

  Interest in excess of 3% of issued share capital.
 
8. Notified details:
A: Voting rights attached to shares viii, ix

Class/type of shares


if possible using the ISIN CODE

  

Situation previous to the triggering transaction

 

Resulting situation after the triggering transaction

 

Number of Shares

 

Number of Voting Rights

 

Number of shares

 

Number of voting rights

 

% of voting rights x

      Direct   Direct xi  

Indirect xii

  Direct   Indirect
ISIN

CA1407561077

  -   3,885,170   See note 4 above. I&S has dispositive authority over 3,885,170shares.   -   3.36% (Note: For these purposes we have assumed that dispositive authority is equivalent to voting rights).   -
               
 
B: Qualifying Financial Instruments
Resulting situation after the triggering transaction

Type of financial instrument

 

Expiration date xiii

 

Exercise/Conversion Period xiv

 

Number of voting rights that may be acquired if the instrument is exercised/ converted.

 

% of voting rights

N/A                
 
C: Financial Instruments with similar economic effect to Qualifying Financial Instruments xv, xvi
Resulting situation after the triggering transaction

Type of financial instrument

  Exercise price   Expiration date xvii  

Exercise/Conversion period xviii

  Number of voting rights instrument refers to   % of voting rights xix, xx
N/A                   Nominal   Delta
                         
 
Total (A+B+C)
Number of voting rights   Percentage of voting rights
3,885,170 (Note: For these purposes we have assumed that dispositive authority is equivalent to voting rights).   3.36% (Note: For these purposes we have assumed that dispositive authority is equivalent to voting rights).
 

9. Chain of controlled undertakings through which the voting rights and/or the financial instruments are effectively held, if applicable: xxi

N/A

 
Proxy Voting:
10. Name of the proxy holder:   N/A

11. Number of voting rights proxy holder will cease to hold:

  N/A

12. Date on which proxy holder will cease to hold voting rights:

  N/A
 

13. Additional information:

   
14. Contact name:   Frank Stolba
15. Contact telephone number:   (001) (212) 269 - 7814

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