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

Barclays PLC

03 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:			02 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:				830,279	0.18%	5,466,953	1.15%
(2) Cash-settled derivatives:				5,336,361	1.13%	639,578	0.13%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				6,166,640	1.30%	6,106,531	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	280214	11.2450  GBP	11.1425  GBP
0.4p ordinary	Sale	140645	11.2450  GBP	11.1600  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	3,300	11.2200  GBP
0.4p ordinary	CFD	Increasing Short	1,607	11.1433  GBP
0.4p ordinary	SWAP	Increasing Short	450	11.2700  GBP
0.4p ordinary	SWAP	Increasing Long	1,510	11.1874  GBP
0.4p ordinary	SWAP	Decreasing Long	798	11.1936  GBP
0.4p ordinary	SWAP	Decreasing Long	13,310	11.2212  GBP
0.4p ordinary	SWAP	Increasing Long	2,235	11.2117  GBP
0.4p ordinary	SWAP	Increasing Long	1,440	11.2200  GBP
0.4p ordinary	SWAP	Increasing Long	255	11.2205  GBP
0.4p ordinary	SWAP	Increasing Long	32,898	11.2210  GBP
0.4p ordinary	SWAP	Increasing Long	5,256	11.2277  GBP
0.4p ordinary	SWAP	Decreasing Long	197	11.1636  GBP
0.4p ordinary	SWAP	Decreasing Long	4,942	11.1927  GBP
0.4p ordinary	SWAP	Decreasing Long	107	11.1950  GBP
0.4p ordinary	SWAP	Decreasing Long	36,721	11.2131  GBP
0.4p ordinary	SWAP	Decreasing Long	2,546	11.2194  GBP
0.4p ordinary	SWAP	Decreasing Long	47,381	11.2197  GBP
0.4p ordinary	SWAP	Decreasing Long	1,348	11.2240  GBP
0.4p ordinary	SWAP	Decreasing Short	5,344	11.1795  GBP
0.4p ordinary	SWAP	Decreasing Short	325	11.1855  GBP
0.4p ordinary	SWAP	Decreasing Short	2,685	11.1892  GBP
0.4p ordinary	SWAP	Opening Long	768	11.1966  GBP
0.4p ordinary	SWAP	Increasing Long	6,305	11.2262  GBP
0.4p ordinary	SWAP	Increasing Long	664	11.2303  GBP
0.4p ordinary	SWAP	Decreasing Long	20	11.2026  GBP
0.4p ordinary	SWAP	Decreasing Long	4	11.2050  GBP
0.4p ordinary	SWAP	Decreasing Long	2,808	11.2200  GBP
0.4p ordinary	SWAP	Opening Short	13,457	11.2236  GBP
0.4p ordinary	SWAP	Increasing Short	125	11.2241  GBP
0.4p ordinary	SWAP	Decreasing Short	11,829	11.2194  GBP
0.4p ordinary	SWAP	Increasing Short	71,402	11.2205  GBP
0.4p ordinary	SWAP	Increasing Short	72	11.1725  GBP
0.4p ordinary	SWAP	Increasing Long	3,010	11.2178  GBP
0.4p ordinary	SWAP	Decreasing Long	4,261	11.1908  GBP
0.4p ordinary	SWAP	Decreasing Long	11,822	11.2013  GBP
0.4p ordinary	SWAP	Decreasing Long	5,055	11.2200  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:				03 Jul 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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