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

Barclays PLC

17 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:			14 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:				670,287	0.14%	5,744,870	1.21%
(2) Cash-settled derivatives:				5,902,095	1.24%	608,012	0.13%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				6,572,382	1.39%	6,352,882	1.34%
(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	470722	10.7300  GBP	10.3975  GBP
0.4p ordinary	Sale	278375	10.6606  GBP	10.3985  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	429	10.4879  GBP
0.4p ordinary	SWAP	Decreasing Long	556	10.4365  GBP
0.4p ordinary	SWAP	Decreasing Long	1,112	10.4476  GBP
0.4p ordinary	SWAP	Decreasing Long	1,126	10.5050  GBP
0.4p ordinary	SWAP	Decreasing Long	1,973	10.5320  GBP
0.4p ordinary	SWAP	Decreasing Long	2,351	10.4569  GBP
0.4p ordinary	SWAP	Decreasing Long	2,386	10.4315  GBP
0.4p ordinary	SWAP	Decreasing Long	2,899	10.5099  GBP
0.4p ordinary	SWAP	Decreasing Long	6,674	10.4718  GBP
0.4p ordinary	SWAP	Decreasing Long	7,535	10.4471  GBP
0.4p ordinary	SWAP	Decreasing Long	7,842	10.5047  GBP
0.4p ordinary	SWAP	Decreasing Long	27,207	10.4800  GBP
0.4p ordinary	SWAP	Decreasing Long	51,731	10.4670  GBP
0.4p ordinary	SWAP	Decreasing Long	67,718	10.5100  GBP
0.4p ordinary	SWAP	Decreasing Short	206	10.5980  GBP
0.4p ordinary	SWAP	Decreasing Short	558	10.3800  GBP
0.4p ordinary	CFD	Decreasing Short	1,460	10.4990  GBP
0.4p ordinary	CFD	Decreasing Short	2,570	10.4340  GBP
0.4p ordinary	CFD	Decreasing Short	15,685	10.5100  GBP
0.4p ordinary	SWAP	Increasing Long	23	10.4299  GBP
0.4p ordinary	SWAP	Increasing Long	81	10.4398  GBP
0.4p ordinary	SWAP	Increasing Long	85	10.4449  GBP
0.4p ordinary	SWAP	Increasing Long	86	10.6100  GBP
0.4p ordinary	SWAP	Increasing Long	359	10.6606  GBP
0.4p ordinary	SWAP	Increasing Long	432	10.4478  GBP
0.4p ordinary	SWAP	Increasing Long	1,145	10.4511  GBP
0.4p ordinary	SWAP	Increasing Long	2,650	10.5988  GBP
0.4p ordinary	SWAP	Increasing Long	10,216	10.5100  GBP
0.4p ordinary	SWAP	Increasing Short	45	10.6251  GBP
0.4p ordinary	SWAP	Increasing Short	125	10.4310  GBP
0.4p ordinary	CFD	Increasing Short	138	10.4900  GBP
0.4p ordinary	SWAP	Increasing Short	429	10.6259  GBP
0.4p ordinary	CFD	Increasing Short	4,526	10.5014  GBP
0.4p ordinary	CFD	Increasing Short	5,875	10.4917  GBP
0.4p ordinary	CFD	Increasing Short	15,420	10.4931  GBP
0.4p ordinary	CFD	Increasing Short	18,255	10.4484  GBP
0.4p ordinary	SWAP	Opening Long	3	10.4533  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:				17 Jun 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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