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

Barclays PLC

01 July 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 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:				745,550	0.16%	5,778,677	1.22%
(2) Cash-settled derivatives:				5,681,128	1.20%	589,032	0.12%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				6,426,678	1.35%	6,367,709	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	158085	11.4047  GBP	11.2729  GBP
0.4p ordinary	Sale	59322	11.4150  GBP	11.2744  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 Short	2,300	11.3200  GBP
0.4p ordinary	SWAP	Decreasing Short	145	11.3328  GBP
0.4p ordinary	CFD	Decreasing Short	4,128	11.2839  GBP
0.4p ordinary	CFD	Increasing Short	3,177	11.2818  GBP
0.4p ordinary	SWAP	Increasing Short	87	11.3599  GBP
0.4p ordinary	SWAP	Opening Long	3,739	11.3184  GBP
0.4p ordinary	SWAP	Decreasing Long	2,688	11.3221  GBP
0.4p ordinary	SWAP	Increasing Long	5,530	11.3246  GBP
0.4p ordinary	SWAP	Increasing Long	179	11.3423  GBP
0.4p ordinary	SWAP	Increasing Long	1,665	11.3533  GBP
0.4p ordinary	SWAP	Increasing Long	148	11.3571  GBP
0.4p ordinary	SWAP	Increasing Long	8	11.4150  GBP
0.4p ordinary	SWAP	Decreasing Long	5,721	11.3200  GBP
0.4p ordinary	SWAP	Decreasing Long	18,207	11.3304  GBP
0.4p ordinary	SWAP	Decreasing Long	745	11.3687  GBP
0.4p ordinary	SWAP	Increasing Long	1,312	11.2848  GBP
0.4p ordinary	SWAP	Increasing Long	672	11.2872  GBP
0.4p ordinary	SWAP	Increasing Long	3,188	11.3021  GBP
0.4p ordinary	SWAP	Decreasing Long	57,728	11.3200  GBP
0.4p ordinary	SWAP	Decreasing Long	3,349	11.3487  GBP
0.4p ordinary	SWAP	Increasing Short	175	11.2897  GBP
0.4p ordinary	SWAP	Decreasing Long	13,579	11.3202  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:				01 Jul 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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