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

Barclays PLC

02 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:			01 Jul 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:				780,461	0.16%	5,555,458	1.17%
(2) Cash-settled derivatives:				5,418,245	1.14%	580,853	0.12%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				6,198,706	1.31%	6,136,311	1.29%
(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	393663	11.4050  GBP	11.2694  GBP
0.4p ordinary	Sale	135533	11.4100  GBP	11.2699  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	2,900	11.2700  GBP
0.4p ordinary	CFD	Decreasing Short	2,500	11.2942  GBP
0.4p ordinary	CFD	Decreasing Short	10,718	11.3044  GBP
0.4p ordinary	SWAP	Opening Long	300	11.2850  GBP
0.4p ordinary	SWAP	Decreasing Long	21	11.3023  GBP
0.4p ordinary	SWAP	Increasing Long	49,321	11.2803  GBP
0.4p ordinary	SWAP	Decreasing Long	25,876	11.2700  GBP
0.4p ordinary	SWAP	Closing Long	24,496	11.3218  GBP
0.4p ordinary	SWAP	Decreasing Short	980	11.3780  GBP
0.4p ordinary	SWAP	Increasing Long	21,806	11.2710  GBP
0.4p ordinary	SWAP	Increasing Long	6,312	11.3001  GBP
0.4p ordinary	SWAP	Increasing Long	1,673	11.3208  GBP
0.4p ordinary	SWAP	Increasing Long	55	11.3500  GBP
0.4p ordinary	SWAP	Decreasing Long	34,294	11.2700  GBP
0.4p ordinary	SWAP	Decreasing Long	17,679	11.2821  GBP
0.4p ordinary	SWAP	Decreasing Long	94,878	11.3121  GBP
0.4p ordinary	SWAP	Decreasing Long	1,209	11.3185  GBP
0.4p ordinary	SWAP	Decreasing Long	15,330	11.3583  GBP
0.4p ordinary	SWAP	Increasing Long	1,604	11.2699  GBP
0.4p ordinary	SWAP	Increasing Long	36	11.2849  GBP
0.4p ordinary	SWAP	Increasing Long	1,147	11.3020  GBP
0.4p ordinary	SWAP	Increasing Long	26	11.3698  GBP
0.4p ordinary	SWAP	Decreasing Long	14,381	11.2700  GBP
0.4p ordinary	SWAP	Decreasing Long	14,533	11.3045  GBP
0.4p ordinary	SWAP	Decreasing Long	11,354	11.3062  GBP
0.4p ordinary	SWAP	Decreasing Long	3,554	11.3076  GBP
0.4p ordinary	SWAP	Opening Short	19,733	11.3096  GBP
0.4p ordinary	SWAP	Increasing Short	1,579	11.3383  GBP
0.4p ordinary	SWAP	Increasing Short	1,867	11.3483  GBP
0.4p ordinary	SWAP	Increasing Short	50	11.3486  GBP
0.4p ordinary	SWAP	Decreasing Long	1,195	11.2703  GBP
0.4p ordinary	SWAP	Decreasing Long	25,229	11.2700  GBP
0.4p ordinary	SWAP	Decreasing Long	46,824	11.3111  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:				02 Jul 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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