Form 8.5 (EPT/NON-RI) - Hargreaves L Replacement

Barclays PLC

13 August 2024

 

FORM 8.5 (EPT/NON-RI) - Amendment to 2a and 3a Replaces form Released at 12/08/2024 11:51 RNS Number : 1109A
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN
EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY ("RI") STATUS
(OR WHERE RI STATUS IS NOT APPLICABLE)
Rule 8.5 of the Takeover Code (the "Code")
1.	KEY INFORMATION
(a)	Name of exempt principal trader:			BARCLAYS CAPITAL SECURITIES LTD
(b)	Name of offeror/offeree in relation to whose  relevant securities this form relates:			HARGREAVES LANSDOWN PLC
(c)	Name of the party to the offer with which exempt  principal trader is connected			HARGREAVES LANSDOWN PLC
(d)	Date position held/dealing undertaken:			09 Aug 2024
(e)	In addition to the company in 1(b) above, is the exempt principal  trader making disclosures in respect of any other party to the offer?			NO
2.	POSITIONS OF THE EXEMPT PRINCIPAL TRADER
(a)	Interests and short positions in the relevant securities of the offeror or offeree
	to which the disclosure relates following the dealing (if any)
Class of relevant security:				0.4p ordinary
				Interests		Short Positions
				Number	(%)	Number	(%)
(1) Relevant securities owned and/or controlled:				1,378,078	0.23%	2,654,992	0.56%
(2) Cash-settled derivatives:				2,247,936	0.47%	938,529	0.20%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				3,340,945	0.70%	3,593,521	0.76%
(b)	Rights to subscribe for new securities (including directors and other executive options)
Class of relevant security in relation to  which subscription right exists
Details, including nature of the rights  concerned and relevant percentages:
3.	DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER
(a)	Purchase and sales
Class of relevant  security	Purchase/sale	Total number of  securities	Highest price per unit  paid/received	Lowest price per unit  paid/received
0.4p ordinary	Purchase	1547625	11.0275  GBP	10.9880  GBP
0.4p ordinary	Sale	984979	11.0210  GBP	10.9550  GBP
(b)	Cash-settled derivative transactions
Class of  relevant  security	Product  description	Nature of dealing	Number of  reference  securities	Price per  unit
0.4p ordinary	SWAP	Decreasing Short	2,100	11.0200  GBP
0.4p ordinary	CFD	Decreasing Short	2,500	11.0090  GBP
0.4p ordinary	CFD	Decreasing Short	580	11.0490  GBP
0.4p ordinary	CFD	Increasing Short	74	10.9879  GBP
0.4p ordinary	CFD	Increasing Short	118,559	11.0015  GBP
0.4p ordinary	CFD	Increasing Short	52,778	11.0046  GBP
0.4p ordinary	CFD	Increasing Short	11,217	11.0080  GBP
0.4p ordinary	CFD	Increasing Short	6,120	11.0139  GBP
0.4p ordinary	CFD	Increasing Short	2,501	11.0156  GBP
0.4p ordinary	CFD	Increasing Short	600	11.0210  GBP
0.4p ordinary	CFD	Increasing Short	6,727	11.0230  GBP
0.4p ordinary	CFD	Increasing Short	2,499	11.0259  GBP
0.4p ordinary	SWAP	Decreasing Short	12,736	11.0017  GBP
0.4p ordinary	SWAP	Decreasing Short	30,383	11.0118  GBP
0.4p ordinary	SWAP	Increasing Short	99	11.0001  GBP
0.4p ordinary	SWAP	Increasing Short	33,607	11.0200  GBP
0.4p ordinary	SWAP	Increasing Short	154,912	11.0204  GBP
0.4p ordinary	SWAP	Increasing Short	1,575	11.0200  GBP
0.4p ordinary	SWAP	Increasing Long	127,351	11.0072  GBP
0.4p ordinary	SWAP	Increasing Long	19,759	11.0131  GBP
0.4p ordinary	SWAP	Decreasing Long	30,001	11.0027  GBP
0.4p ordinary	SWAP	Decreasing Long	1,087	11.0067  GBP
0.4p ordinary	SWAP	Decreasing Long	43,302	11.0171  GBP
0.4p ordinary	SWAP	Decreasing Long	92,442	11.0200  GBP
0.4p ordinary	SWAP	Decreasing Long	14,993	11.0209  GBP
0.4p ordinary	SWAP	Decreasing Long	264	11.0275  GBP
0.4p ordinary	SWAP	Increasing Long	1,758	10.9984  GBP
0.4p ordinary	SWAP	Decreasing Long	79,266	10.9800  GBP
0.4p ordinary	SWAP	Decreasing Long	37,978	11.0024  GBP
0.4p ordinary	SWAP	Decreasing Long	754	11.0216  GBP
0.4p ordinary	SWAP	Decreasing Long	1,139	11.0255  GBP
0.4p ordinary	SWAP	Decreasing Long	17,993	11.0258  GBP
0.4p ordinary	SWAP	Closing Short	68,882	11.0144  GBP
0.4p ordinary	SWAP	Increasing Short	41	11.0099  GBP
0.4p ordinary	SWAP	Increasing Long	69,035	11.0083  GBP
0.4p ordinary	SWAP	Decreasing Long	98,313	11.0165  GBP
0.4p ordinary	SWAP	Decreasing Long	73,791	11.0200  GBP
0.4p ordinary	SWAP	Increasing Short	13,536	10.7750  GBP
(c)	Stock-settled derivative transactions  (including options)
(i)	Writing, selling, purchasing or varying
Class  of  relevant  security	Product  description	Writing,  purchasing,  selling,  varying etc	Number  of  securities  to which  option  relates	Exercise  price  per unit	Type	Expiry  date	Option  money  paid/  received  per unit
(ii)	Exercising
Class of relevant  security	Product description	Exercising/ exercised against	Number of  securities	Exercise price per  unit
(d)	Other dealings (including subscribing for new securities)
Class of relevant  security	Nature of Dealings	Details	Price per unit (if  applicable)
4.	OTHER INFORMATION
(a)	Indemnity and other dealings arrangements
Details of any indemnity or option arrangement, or any agreement or understanding,  formal or informal, relating to relevant securities which may be an inducement to deal or refrain from dealing entered into by  the exempt principal trader making the disclosure and any party  to the offer or any person acting in concert with a party to the offer:
NONE
(b)	Agreements, arrangements or understandings relating to options or derivatives
Details of any agreement, arrangement or understanding, formal or informal, between  the exempt principal trader making the disclosure and any other person relating to:  (i)   the voting rights of any relevant securities under any option; or  (ii)   the voting rights of future acquisition or disposal of any relevant securities to which  any derivative is referenced:
NONE
(c)	Attachments
Is a Supplemental Form 8 (Open Positions) attached?				NO
Date of disclosure:				13 Aug 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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