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

Barclays PLC

18 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:			17 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:				711,008	0.15%	5,747,100	1.21%
(2) Cash-settled derivatives:				5,896,704	1.24%	598,070	0.13%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				6,607,712	1.39%	6,345,170	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	393981	10.7950  GBP	10.5350  GBP
0.4p ordinary	Sale	352071	10.8050  GBP	10.5350  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	96	10.7350  GBP
0.4p ordinary	SWAP	Closing Long	730	10.7471  GBP
0.4p ordinary	SWAP	Closing Long	2,785	10.7209  GBP
0.4p ordinary	SWAP	Closing Long	3,736	10.7049  GBP
0.4p ordinary	SWAP	Closing Long	3,835	10.7355  GBP
0.4p ordinary	SWAP	Closing Long	6,944	10.7235  GBP
0.4p ordinary	SWAP	Decreasing Long	429	10.7275  GBP
0.4p ordinary	SWAP	Decreasing Long	613	10.6909  GBP
0.4p ordinary	SWAP	Decreasing Long	635	10.7038  GBP
0.4p ordinary	SWAP	Decreasing Long	787	10.5762  GBP
0.4p ordinary	SWAP	Decreasing Long	1,038	10.6854  GBP
0.4p ordinary	SWAP	Decreasing Long	2,894	10.7209  GBP
0.4p ordinary	SWAP	Decreasing Long	6,762	10.7595  GBP
0.4p ordinary	SWAP	Decreasing Long	7,144	10.7143  GBP
0.4p ordinary	SWAP	Decreasing Long	7,692	10.7569  GBP
0.4p ordinary	SWAP	Decreasing Long	10,275	10.7528  GBP
0.4p ordinary	SWAP	Decreasing Long	13,232	10.7419  GBP
0.4p ordinary	SWAP	Decreasing Long	32,527	10.7715  GBP
0.4p ordinary	SWAP	Decreasing Long	34,619	10.7350  GBP
0.4p ordinary	SWAP	Decreasing Long	42,052	10.7350  GBP
0.4p ordinary	SWAP	Decreasing Short	425	10.6539  GBP
0.4p ordinary	CFD	Decreasing Short	1,027	10.6500  GBP
0.4p ordinary	CFD	Decreasing Short	1,105	10.7193  GBP
0.4p ordinary	CFD	Decreasing Short	1,686	10.7350  GBP
0.4p ordinary	CFD	Decreasing Short	4,444	10.5794  GBP
0.4p ordinary	CFD	Decreasing Short	5,202	10.7600  GBP
0.4p ordinary	CFD	Decreasing Short	7,413	10.7769  GBP
0.4p ordinary	SWAP	Increasing Long	9	10.5350  GBP
0.4p ordinary	SWAP	Increasing Long	16	10.7499  GBP
0.4p ordinary	SWAP	Increasing Long	316	10.7350  GBP
0.4p ordinary	SWAP	Increasing Long	355	10.7726  GBP
0.4p ordinary	SWAP	Increasing Long	445	10.7349  GBP
0.4p ordinary	SWAP	Increasing Long	562	10.6719  GBP
0.4p ordinary	SWAP	Increasing Long	563	10.7282  GBP
0.4p ordinary	SWAP	Increasing Long	610	10.7756  GBP
0.4p ordinary	SWAP	Increasing Long	794	10.6582  GBP
0.4p ordinary	SWAP	Increasing Long	1,081	10.6921  GBP
0.4p ordinary	SWAP	Increasing Long	1,267	10.6992  GBP
0.4p ordinary	SWAP	Increasing Long	6,189	10.7135  GBP
0.4p ordinary	SWAP	Increasing Long	12,680	10.7688  GBP
0.4p ordinary	SWAP	Increasing Long	30,754	10.7347  GBP
0.4p ordinary	SWAP	Increasing Long	53,379	10.6686  GBP
0.4p ordinary	SWAP	Increasing Short	28	10.7151  GBP
0.4p ordinary	CFD	Increasing Short	5,202	10.7600  GBP
0.4p ordinary	CFD	Increasing Short	6,130	10.6272  GBP
0.4p ordinary	SWAP	Opening Long	2	10.8000  GBP
0.4p ordinary	SWAP	Opening Long	854	10.7689  GBP
0.4p ordinary	SWAP	Opening Long	2,461	10.6928  GBP
0.4p ordinary	SWAP	Opening Long	4,071	10.7379  GBP
0.4p ordinary	SWAP	Opening Long	57,508	10.7354  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:				18 Jun 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

END