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

Barclays PLC

04 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:			03 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:				774,810	0.16%	5,225,563	1.10%
(2) Cash-settled derivatives:				5,100,229	1.08%	635,355	0.13%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				5,875,039	1.24%	5,860,918	1.24%
(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	455056	11.2457  GBP	11.1494  GBP
0.4p ordinary	Sale	269135	11.2400  GBP	11.1499  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	5,800	11.1500  GBP
0.4p ordinary	CFD	Increasing Short	7,133	11.1510  GBP
0.4p ordinary	CFD	Increasing Short	3,366	11.1886  GBP
0.4p ordinary	SWAP	Increasing Short	20	11.2351  GBP
0.4p ordinary	SWAP	Decreasing Long	279	11.2100  GBP
0.4p ordinary	SWAP	Decreasing Long	22,630	11.1518  GBP
0.4p ordinary	SWAP	Increasing Long	23,007	11.1500  GBP
0.4p ordinary	SWAP	Increasing Long	60	11.2000  GBP
0.4p ordinary	SWAP	Increasing Long	806	11.2111  GBP
0.4p ordinary	SWAP	Increasing Long	507	11.2224  GBP
0.4p ordinary	SWAP	Decreasing Long	72,474	11.1500  GBP
0.4p ordinary	SWAP	Decreasing Long	9,385	11.1857  GBP
0.4p ordinary	SWAP	Decreasing Long	70,006	11.2041  GBP
0.4p ordinary	SWAP	Decreasing Long	1,850	11.2071  GBP
0.4p ordinary	SWAP	Decreasing Long	1,358	11.2266  GBP
0.4p ordinary	SWAP	Opening Long	15,687	11.1499  GBP
0.4p ordinary	SWAP	Increasing Long	794	11.1752  GBP
0.4p ordinary	SWAP	Increasing Long	104	11.1899  GBP
0.4p ordinary	SWAP	Increasing Long	4,290	11.2066  GBP
0.4p ordinary	SWAP	Increasing Long	12,033	11.2121  GBP
0.4p ordinary	SWAP	Increasing Long	2,359	11.2182  GBP
0.4p ordinary	SWAP	Decreasing Long	3,573	11.1500  GBP
0.4p ordinary	SWAP	Decreasing Long	14,826	11.2006  GBP
0.4p ordinary	SWAP	Decreasing Long	2,503	11.2403  GBP
0.4p ordinary	SWAP	Decreasing Long	377	11.2457  GBP
0.4p ordinary	SWAP	Increasing Short	125	11.2341  GBP
0.4p ordinary	SWAP	Decreasing Long	2,240	11.1502  GBP
0.4p ordinary	SWAP	Decreasing Long	6,384	11.1625  GBP
0.4p ordinary	SWAP	Decreasing Long	1,190	11.1921  GBP
0.4p ordinary	SWAP	Decreasing Long	2,682	11.2065  GBP
0.4p ordinary	SWAP	Decreasing Long	60,416	11.1500  GBP
0.4p ordinary	SWAP	Decreasing Long	14,539	11.1600  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:				04 Jul 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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