Form 8.5 (EPT/NON-RI) - Hargreaves Lansdown plc

Barclays PLC
12 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:

11 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:

799,470

0.17%

4,682,446

0.99%

(2) Cash-settled derivatives:

4,538,745

0.96%

597,915

0.13%

(3) Stock-settled derivatives (including options) and agreements to purchase/sell: 

0

0.00%

0

0.00%

 

 TOTAL:

 

5,338,215

1.13%

5,280,361

1.11%

 








(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

219069

11.0366  GBP

10.9044  GBP

0.4p ordinary

Sale

151782

11.0350  GBP

10.9030  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

Increasing Short

7,800

11.0350  GBP

0.4p ordinary

CFD

Decreasing Short

11,124

11.0334  GBP

0.4p ordinary

CFD

Decreasing Short

22,098

11.0340  GBP

0.4p ordinary

CFD

Decreasing Short

5,950

11.0350  GBP

0.4p ordinary

CFD

Increasing Short

1,903

10.9081  GBP

0.4p ordinary

CFD

Increasing Short

2,499

10.9559  GBP

0.4p ordinary

CFD

Increasing Short

4

10.9675  GBP

0.4p ordinary

SWAP

Decreasing Short

54

10.9350  GBP

0.4p ordinary

SWAP

Decreasing Long

2,236

11.0366  GBP

0.4p ordinary

SWAP

Increasing Short

567

10.8950  GBP

0.4p ordinary

SWAP

Increasing Long

386

10.9087  GBP

0.4p ordinary

SWAP

Increasing Long

7,965

10.9285  GBP

0.4p ordinary

SWAP

Increasing Long

752

10.9294  GBP

0.4p ordinary

SWAP

Increasing Long

9,603

11.0242  GBP

0.4p ordinary

SWAP

Increasing Long

17,000

11.0350  GBP

0.4p ordinary

SWAP

Decreasing Long

1,312

10.9069  GBP

0.4p ordinary

SWAP

Decreasing Long

122

10.9100  GBP

0.4p ordinary

SWAP

Decreasing Long

46,692

10.9286  GBP

0.4p ordinary

SWAP

Decreasing Long

14,504

11.0129  GBP

0.4p ordinary

SWAP

Increasing Long

927

10.9068  GBP

0.4p ordinary

SWAP

Increasing Long

12

10.9749  GBP

0.4p ordinary

SWAP

Decreasing Long

2,045

10.9196  GBP

0.4p ordinary

SWAP

Decreasing Long

496

10.9325  GBP

0.4p ordinary

SWAP

Decreasing Long

2,330

10.9366  GBP

0.4p ordinary

SWAP

Decreasing Long

1,033

10.9537  GBP

0.4p ordinary

SWAP

Decreasing Long

25,304

11.0350  GBP

0.4p ordinary

SWAP

Decreasing Short

30

10.9348  GBP

0.4p ordinary

SWAP

Decreasing Long

169

10.9333  GBP

0.4p ordinary

SWAP

Decreasing Long

4,994

10.9847  GBP

0.4p ordinary

SWAP

Decreasing Long

7,702

11.0170  GBP

0.4p ordinary

SWAP

Increasing Long

613

10.9350  GBP

0.4p ordinary

SWAP

Decreasing Long

18,699

10.9290  GBP

0.4p ordinary

SWAP

Decreasing Long

2,172

11.0350  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:

12 Jul 2024

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213

 

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