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

Barclays PLC

14 June 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:			13 Jun 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:				666,919	0.14%	5,929,970	1.25%
(2) Cash-settled derivatives:				6,068,554	1.28%	583,678	0.12%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				6,735,473	1.42%	6,513,648	1.37%
(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	371640	10.7700  GBP	10.5616  GBP
0.4p ordinary	Sale	137278	10.7700  GBP	10.5687  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	45	10.6737  GBP
0.4p ordinary	SWAP	Decreasing Long	229	10.5616  GBP
0.4p ordinary	SWAP	Decreasing Long	539	10.6350  GBP
0.4p ordinary	SWAP	Decreasing Long	695	10.5785  GBP
0.4p ordinary	SWAP	Decreasing Long	915	10.6582  GBP
0.4p ordinary	SWAP	Decreasing Long	2,509	10.5947  GBP
0.4p ordinary	SWAP	Decreasing Long	4,340	10.5806  GBP
0.4p ordinary	SWAP	Decreasing Long	5,346	10.5908  GBP
0.4p ordinary	SWAP	Decreasing Long	10,148	10.6635  GBP
0.4p ordinary	SWAP	Decreasing Long	12,202	10.6712  GBP
0.4p ordinary	SWAP	Decreasing Long	12,279	10.5929  GBP
0.4p ordinary	SWAP	Decreasing Long	13,906	10.6874  GBP
0.4p ordinary	SWAP	Decreasing Long	14,766	10.6599  GBP
0.4p ordinary	SWAP	Decreasing Long	37,551	10.6600  GBP
0.4p ordinary	SWAP	Decreasing Short	677	10.6522  GBP
0.4p ordinary	CFD	Decreasing Short	2,165	10.6487  GBP
0.4p ordinary	CFD	Decreasing Short	4,614	10.6600  GBP
0.4p ordinary	SWAP	Decreasing Short	4,727	10.7259  GBP
0.4p ordinary	CFD	Decreasing Short	15,000	10.6098  GBP
0.4p ordinary	SWAP	Increasing Long	285	10.6444  GBP
0.4p ordinary	SWAP	Increasing Long	390	10.7347  GBP
0.4p ordinary	SWAP	Increasing Long	588	10.7421  GBP
0.4p ordinary	SWAP	Increasing Long	1,203	10.5904  GBP
0.4p ordinary	SWAP	Increasing Long	1,496	10.6599  GBP
0.4p ordinary	SWAP	Increasing Long	2,181	10.6306  GBP
0.4p ordinary	SWAP	Increasing Long	2,289	10.6283  GBP
0.4p ordinary	SWAP	Increasing Long	15,598	10.7247  GBP
0.4p ordinary	SWAP	Increasing Short	50	10.7136  GBP
0.4p ordinary	SWAP	Increasing Short	160	10.6649  GBP
0.4p ordinary	SWAP	Increasing Short	296	10.6701  GBP
0.4p ordinary	CFD	Increasing Short	1,352	10.5532  GBP
0.4p ordinary	CFD	Increasing Short	6,779	10.6373  GBP
0.4p ordinary	CFD	Increasing Short	165,000	10.6987  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:				14 Jun 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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