Form 8.5 (EPT/NON-RI)HARGREAVES LANSDOWN PLC

Barclays PLC

28 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:			24 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:				906,840	0.19%	9,441,412	1.99%
(2) Cash-settled derivatives:				9,456,034	1.99%	621,729	0.13%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				10,362,874	2.18%	10,063,141	2.12%
(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	615759	10.9800  GBP	10.4950  GBP
0.4p ordinary	Sale	489627	10.9800  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	Closing Long	2,230	10.7298  GBP
0.4p ordinary	SWAP	Decreasing Long	162	10.8353  GBP
0.4p ordinary	SWAP	Decreasing Long	202	10.9025  GBP
0.4p ordinary	SWAP	Decreasing Long	259	10.7699  GBP
0.4p ordinary	SWAP	Decreasing Long	290	10.8653  GBP
0.4p ordinary	SWAP	Decreasing Long	290	10.8503  GBP
0.4p ordinary	SWAP	Decreasing Long	290	10.9128  GBP
0.4p ordinary	SWAP	Decreasing Long	870	10.7195  GBP
0.4p ordinary	SWAP	Decreasing Long	3,385	10.9021  GBP
0.4p ordinary	SWAP	Decreasing Long	4,996	10.8340  GBP
0.4p ordinary	SWAP	Decreasing Long	15,949	10.7172  GBP
0.4p ordinary	SWAP	Decreasing Long	18,640	10.8324  GBP
0.4p ordinary	SWAP	Decreasing Long	25,495	10.6955  GBP
0.4p ordinary	SWAP	Decreasing Long	32,740	10.7347  GBP
0.4p ordinary	SWAP	Decreasing Long	35,012	10.7764  GBP
0.4p ordinary	SWAP	Decreasing Long	46,024	10.9000  GBP
0.4p ordinary	SWAP	Decreasing Long	49,206	10.8879  GBP
0.4p ordinary	SWAP	Decreasing Long	81,622	10.8957  GBP
0.4p ordinary	SWAP	Decreasing Short	250	10.8724  GBP
0.4p ordinary	SWAP	Decreasing Short	485	10.7876  GBP
0.4p ordinary	SWAP	Decreasing Short	1,595	10.7872  GBP
0.4p ordinary	SWAP	Decreasing Short	2,943	10.7911  GBP
0.4p ordinary	SWAP	Decreasing Short	6,023	10.7912  GBP
0.4p ordinary	CFD	Decreasing Short	7,517	10.6387  GBP
0.4p ordinary	SWAP	Increasing Long	125	10.6300  GBP
0.4p ordinary	SWAP	Increasing Long	576	10.7872  GBP
0.4p ordinary	SWAP	Increasing Long	891	10.8978  GBP
0.4p ordinary	SWAP	Increasing Long	1,552	10.8026  GBP
0.4p ordinary	SWAP	Increasing Long	1,636	10.6467  GBP
0.4p ordinary	SWAP	Increasing Long	3,021	10.8647  GBP
0.4p ordinary	SWAP	Increasing Long	3,190	10.9041  GBP
0.4p ordinary	SWAP	Increasing Long	3,320	10.8513  GBP
0.4p ordinary	SWAP	Increasing Long	7,916	10.9000  GBP
0.4p ordinary	SWAP	Increasing Long	25,725	10.9321  GBP
0.4p ordinary	SWAP	Increasing Long	40,516	10.8020  GBP
0.4p ordinary	SWAP	Increasing Long	75,327	10.7702  GBP
0.4p ordinary	SWAP	Increasing Short	128	10.7150  GBP
0.4p ordinary	SWAP	Increasing Short	968	10.7116  GBP
0.4p ordinary	SWAP	Increasing Short	1,790	10.6680  GBP
0.4p ordinary	CFD	Increasing Short	11,686	10.8480  GBP
0.4p ordinary	SWAP	Opening Long	4,763	10.7396  GBP
0.4p ordinary	SWAP	Opening Long	19,776	10.6959  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:				28-May-24
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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