Form 8.5 (EPT/NON-RI) - Hargreaves Lansdown plc

Barclays PLC

24 May 2024

 

FORM 8.5 (EPT/NON-RI)
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:			23 May 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:				959,541	0.20%	9,554,579	2.01%
(2) Cash-settled derivatives:				9,585,362	2.02%	621,099	0.13%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				10,544,903	2.22%	10,175,678	2.15%
(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	1256222	11.3652  GBP	10.4950  GBP
0.4p ordinary	Sale	1942068	11.3979  GBP	10.4950  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	Opening Long	4	11.1125  GBP
0.4p ordinary	SWAP	Opening Long	23	10.6050  GBP
0.4p ordinary	SWAP	Opening Long	479	11.1211  GBP
0.4p ordinary	SWAP	Opening Long	1,077	10.8689  GBP
0.4p ordinary	SWAP	Opening Long	1,445	10.7321  GBP
0.4p ordinary	SWAP	Opening Long	1,583	10.8230  GBP
0.4p ordinary	SWAP	Opening Long	1,996	10.7056  GBP
0.4p ordinary	SWAP	Opening Long	3,161	10.8030  GBP
0.4p ordinary	SWAP	Opening Long	3,236	11.1977  GBP
0.4p ordinary	SWAP	Opening Long	3,687	11.2022  GBP
0.4p ordinary	SWAP	Opening Long	4,118	10.9072  GBP
0.4p ordinary	SWAP	Opening Long	5,434	10.7009  GBP
0.4p ordinary	SWAP	Opening Long	6,249	10.9951  GBP
0.4p ordinary	SWAP	Opening Long	7,005	11.2522  GBP
0.4p ordinary	SWAP	Opening Long	7,013	10.6664  GBP
0.4p ordinary	SWAP	Opening Long	10,191	11.1734  GBP
0.4p ordinary	SWAP	Opening Long	12,280	11.0093  GBP
0.4p ordinary	SWAP	Opening Long	13,428	11.1934  GBP
0.4p ordinary	SWAP	Opening Long	13,876	11.1783  GBP
0.4p ordinary	SWAP	Opening Long	14,417	10.9476  GBP
0.4p ordinary	SWAP	Opening Long	14,479	10.9993  GBP
0.4p ordinary	SWAP	Opening Long	15,490	11.1923  GBP
0.4p ordinary	SWAP	Opening Long	19,803	10.5711  GBP
0.4p ordinary	SWAP	Opening Long	25,000	11.1283  GBP
0.4p ordinary	SWAP	Opening Long	29,331	10.8041  GBP
0.4p ordinary	SWAP	Opening Long	31,851	11.1087  GBP
0.4p ordinary	SWAP	Opening Long	36,770	11.1906  GBP
0.4p ordinary	SWAP	Opening Long	43,696	10.7268  GBP
0.4p ordinary	SWAP	Opening Long	46,626	10.9681  GBP
0.4p ordinary	SWAP	Opening Long	47,075	11.0679  GBP
0.4p ordinary	SWAP	Opening Long	55,952	10.8857  GBP
0.4p ordinary	SWAP	Opening Long	62,711	10.8810  GBP
0.4p ordinary	SWAP	Opening Long	92,489	10.9320  GBP
0.4p ordinary	SWAP	Opening Long	96,782	10.7423  GBP
0.4p ordinary	SWAP	Opening Long	99,832	11.1999  GBP
0.4p ordinary	SWAP	Opening Long	129,851	11.1870  GBP
0.4p ordinary	SWAP	Opening Long	135,549	10.8579  GBP
0.4p ordinary	SWAP	Opening Long	153,528	11.2000  GBP
0.4p ordinary	SWAP	Opening Long	309,507	10.8632  GBP
0.4p ordinary	CFD	Opening Short	1	11.3300  GBP
0.4p ordinary	CFD	Opening Short	2,000	11.2010  GBP
0.4p ordinary	CFD	Opening Short	3,599	11.3312  GBP
0.4p ordinary	CFD	Opening Short	3,952	11.1083  GBP
0.4p ordinary	CFD	Opening Short	4,194	10.7514  GBP
0.4p ordinary	CFD	Opening Short	4,325	11.0610  GBP
0.4p ordinary	CFD	Opening Short	5,782	11.2841  GBP
0.4p ordinary	CFD	Opening Short	6,000	10.7862  GBP
0.4p ordinary	CFD	Opening Short	8,000	11.1527  GBP
0.4p ordinary	SWAP	Opening Short	9,970	10.9118  GBP
0.4p ordinary	CFD	Opening Short	10,000	11.3191  GBP
0.4p ordinary	CFD	Opening Short	10,000	11.2391  GBP
0.4p ordinary	SWAP	Opening Short	15,000	10.7753  GBP
0.4p ordinary	SWAP	Opening Short	18,158	10.8074  GBP
0.4p ordinary	CFD	Opening Short	20,000	11.3633  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:				24 May 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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