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

Barclays PLC

21 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			Advisor to Offeror
(d)	Date position held/dealing undertaken:			20 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:				739,756	0.16%	6,383,753	1.35%
(2) Cash-settled derivatives:				6,534,882	1.38%	642,423	0.14%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				7,274,638	1.53%	7,026,176	1.48%
(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	808802	11.6687  GBP	11.2744  GBP
0.4p ordinary	Sale	592914	11.6478  GBP	11.3399  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	195	11.6150  GBP
0.4p ordinary	SWAP	Decreasing Long	214	11.4440  GBP
0.4p ordinary	SWAP	Decreasing Long	525	11.3515  GBP
0.4p ordinary	SWAP	Decreasing Long	1,303	11.4935  GBP
0.4p ordinary	SWAP	Decreasing Long	1,495	11.5849  GBP
0.4p ordinary	SWAP	Decreasing Long	2,670	11.4988  GBP
0.4p ordinary	SWAP	Decreasing Long	9,781	11.3797  GBP
0.4p ordinary	SWAP	Decreasing Long	13,232	11.3529  GBP
0.4p ordinary	SWAP	Decreasing Long	15,406	11.4245  GBP
0.4p ordinary	SWAP	Decreasing Long	17,175	11.5001  GBP
0.4p ordinary	SWAP	Decreasing Long	52,700	11.5000  GBP
0.4p ordinary	SWAP	Decreasing Long	63,847	11.3400  GBP
0.4p ordinary	SWAP	Decreasing Long	68,358	11.3408  GBP
0.4p ordinary	SWAP	Decreasing Long	69,980	11.4628  GBP
0.4p ordinary	SWAP	Decreasing Long	153,716	11.3400  GBP
0.4p ordinary	SWAP	Decreasing Short	1,035	11.3526  GBP
0.4p ordinary	CFD	Decreasing Short	8,945	11.4600  GBP
0.4p ordinary	SWAP	Increasing Long	140	11.5445  GBP
0.4p ordinary	SWAP	Increasing Long	268	11.5934  GBP
0.4p ordinary	SWAP	Increasing Long	611	11.5567  GBP
0.4p ordinary	SWAP	Increasing Long	1,756	11.4007  GBP
0.4p ordinary	SWAP	Increasing Long	2,217	11.5660  GBP
0.4p ordinary	SWAP	Increasing Long	5,138	11.3747  GBP
0.4p ordinary	SWAP	Increasing Long	6,120	11.5817  GBP
0.4p ordinary	SWAP	Increasing Long	7,774	11.6687  GBP
0.4p ordinary	SWAP	Increasing Long	9,500	11.5223  GBP
0.4p ordinary	SWAP	Increasing Long	11,990	11.3719  GBP
0.4p ordinary	SWAP	Increasing Long	12,647	11.4725  GBP
0.4p ordinary	SWAP	Increasing Long	18,264	11.3438  GBP
0.4p ordinary	SWAP	Increasing Long	20,343	11.4552  GBP
0.4p ordinary	SWAP	Increasing Long	28,733	11.5004  GBP
0.4p ordinary	SWAP	Increasing Long	35,973	11.4453  GBP
0.4p ordinary	SWAP	Increasing Long	39,646	11.3399  GBP
0.4p ordinary	SWAP	Increasing Long	48,556	11.4635  GBP
0.4p ordinary	SWAP	Increasing Short	140	11.5594  GBP
0.4p ordinary	SWAP	Increasing Short	375	11.3974  GBP
0.4p ordinary	CFD	Increasing Short	607	11.4303  GBP
0.4p ordinary	CFD	Increasing Short	1,499	11.6014  GBP
0.4p ordinary	CFD	Increasing Short	8,945	11.3400  GBP
0.4p ordinary	CFD	Increasing Short	26,082	11.3410  GBP
0.4p ordinary	CFD	Increasing Short	30,000	11.3709  GBP
0.4p ordinary	SWAP	Opening Long	34,068	11.4297  GBP
0.4p ordinary	SWAP	Opening Long	122,969	11.3767  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:				21 Jun 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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