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

Barclays PLC

08 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:			05 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:				793,409	0.17%	5,028,548	1.06%
(2) Cash-settled derivatives:				4,911,181	1.04%	631,345	0.13%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				5,704,590	1.20%	5,659,893	1.19%
(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	452097	11.2100  GBP	11.0350  GBP
0.4p ordinary	Sale	255313	11.1950  GBP	11.0160  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	8,500	11.0500  GBP
0.4p ordinary	CFD	Decreasing Short	579	11.1893  GBP
0.4p ordinary	SWAP	Increasing Short	2,543	11.0915  GBP
0.4p ordinary	SWAP	Decreasing Long	1,235	11.0391  GBP
0.4p ordinary	SWAP	Closing Long	275	11.0500  GBP
0.4p ordinary	SWAP	Increasing Long	25,935	11.0509  GBP
0.4p ordinary	SWAP	Increasing Long	1,210	11.0885  GBP
0.4p ordinary	SWAP	Increasing Long	18,462	11.0959  GBP
0.4p ordinary	SWAP	Increasing Long	84	11.1950  GBP
0.4p ordinary	SWAP	Increasing Long	5	11.2750  GBP
0.4p ordinary	SWAP	Decreasing Long	275	11.0441  GBP
0.4p ordinary	SWAP	Decreasing Long	47,678	11.0500  GBP
0.4p ordinary	SWAP	Decreasing Long	251	11.0771  GBP
0.4p ordinary	SWAP	Decreasing Long	13,218	11.0973  GBP
0.4p ordinary	SWAP	Decreasing Long	4,097	11.0986  GBP
0.4p ordinary	SWAP	Decreasing Long	113,441	11.1163  GBP
0.4p ordinary	SWAP	Increasing Long	2,475	11.0059  GBP
0.4p ordinary	SWAP	Increasing Long	12,955	11.0164  GBP
0.4p ordinary	SWAP	Increasing Long	5,967	11.0284  GBP
0.4p ordinary	SWAP	Increasing Long	1,382	11.0304  GBP
0.4p ordinary	SWAP	Increasing Long	43,349	11.0499  GBP
0.4p ordinary	SWAP	Increasing Long	12	11.0542  GBP
0.4p ordinary	SWAP	Decreasing Long	49	11.1151  GBP
0.4p ordinary	SWAP	Decreasing Long	14	11.1300  GBP
0.4p ordinary	SWAP	Decreasing Long	16,282	11.1373  GBP
0.4p ordinary	SWAP	Decreasing Long	5,283	11.1382  GBP
0.4p ordinary	SWAP	Decreasing Long	4,685	11.1500  GBP
0.4p ordinary	SWAP	Increasing Short	500	11.1153  GBP
0.4p ordinary	SWAP	Decreasing Long	8,880	11.1482  GBP
0.4p ordinary	SWAP	Decreasing Long	31,117	11.0500  GBP
0.4p ordinary	SWAP	Decreasing Long	28,935	11.0849  GBP
0.4p ordinary	SWAP	Decreasing Long	7,512	11.0950  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:				08 Jul 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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