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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