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

Barclays PLC

29 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:			28 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:				847,669	0.18%	9,171,104	1.93%
(2) Cash-settled derivatives:				9,240,206	1.95%	636,500	0.13%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				10,087,875	2.13%	9,807,604	2.07%
(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	478739	11.0500  GBP	10.6550  GBP
0.4p ordinary	Sale	300142	11.0500  GBP	10.6550  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 Long	270	10.7029  GBP
0.4p ordinary	SWAP	Decreasing Long	584	10.9178  GBP
0.4p ordinary	SWAP	Decreasing Long	876	10.8303  GBP
0.4p ordinary	SWAP	Decreasing Long	1,161	10.9572  GBP
0.4p ordinary	SWAP	Decreasing Long	1,200	10.8258  GBP
0.4p ordinary	SWAP	Decreasing Long	1,843	10.9917  GBP
0.4p ordinary	SWAP	Decreasing Long	2,063	10.9233  GBP
0.4p ordinary	SWAP	Decreasing Long	2,289	10.9839  GBP
0.4p ordinary	SWAP	Decreasing Long	2,785	10.9598  GBP
0.4p ordinary	SWAP	Decreasing Long	3,545	10.7166  GBP
0.4p ordinary	SWAP	Decreasing Long	5,272	11.0002  GBP
0.4p ordinary	SWAP	Decreasing Long	5,857	10.8594  GBP
0.4p ordinary	SWAP	Decreasing Long	8,458	10.9841  GBP
0.4p ordinary	SWAP	Decreasing Long	14,525	10.7350  GBP
0.4p ordinary	SWAP	Decreasing Long	16,564	10.8568  GBP
0.4p ordinary	SWAP	Decreasing Long	22,948	10.8858  GBP
0.4p ordinary	SWAP	Decreasing Long	28,399	10.7180  GBP
0.4p ordinary	SWAP	Decreasing Long	29,577	10.7167  GBP
0.4p ordinary	SWAP	Decreasing Long	34,835	10.7973  GBP
0.4p ordinary	SWAP	Decreasing Long	44,969	10.7388  GBP
0.4p ordinary	SWAP	Decreasing Long	60,913	10.7150  GBP
0.4p ordinary	SWAP	Decreasing Short	232	10.9857  GBP
0.4p ordinary	SWAP	Decreasing Short	310	10.8830  GBP
0.4p ordinary	SWAP	Decreasing Short	478	10.9858  GBP
0.4p ordinary	SWAP	Decreasing Short	800	10.9460  GBP
0.4p ordinary	SWAP	Decreasing Short	1,115	10.8804  GBP
0.4p ordinary	SWAP	Decreasing Short	2,989	10.8884  GBP
0.4p ordinary	SWAP	Decreasing Short	6,107	10.8883  GBP
0.4p ordinary	SWAP	Increasing Long	143	11.0000  GBP
0.4p ordinary	SWAP	Increasing Long	253	10.9950  GBP
0.4p ordinary	SWAP	Increasing Long	466	10.7128  GBP
0.4p ordinary	SWAP	Increasing Long	756	10.8023  GBP
0.4p ordinary	SWAP	Increasing Long	804	10.8965  GBP
0.4p ordinary	SWAP	Increasing Long	830	10.6595  GBP
0.4p ordinary	SWAP	Increasing Long	2,678	10.8432  GBP
0.4p ordinary	SWAP	Increasing Long	10,397	10.7150  GBP
0.4p ordinary	SWAP	Increasing Long	12,150	10.7149  GBP
0.4p ordinary	SWAP	Increasing Long	24,195	10.8836  GBP
0.4p ordinary	SWAP	Increasing Long	25,430	10.8687  GBP
0.4p ordinary	SWAP	Increasing Short	314	10.9700  GBP
0.4p ordinary	CFD	Increasing Short	389	10.7103  GBP
0.4p ordinary	SWAP	Increasing Short	1,525	10.7158  GBP
0.4p ordinary	CFD	Increasing Short	4,686	10.7364  GBP
0.4p ordinary	CFD	Increasing Short	19,888	10.7158  GBP
0.4p ordinary	SWAP	Opening Long	11	11.0254  GBP
0.4p ordinary	SWAP	Opening Long	163	10.7101  GBP
0.4p ordinary	SWAP	Opening Long	1,397	10.7774  GBP
0.4p ordinary	SWAP	Opening Long	2,691	10.9176  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:				29 May 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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