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

Barclays PLC

15 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:			12 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:				798,041	0.17%	4,629,766	0.98%
(2) Cash-settled derivatives:				4,489,550	0.95%	595,818	0.13%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				5,287,591	1.11%	5,225,584	1.10%
(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	151638	11.0898  GBP	10.9682  GBP
0.4p ordinary	Sale	100387	11.0405  GBP	10.9750  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	CFD	Decreasing Short	2,499	11.0090  GBP
0.4p ordinary	SWAP	Increasing Short	402	11.0727  GBP
0.4p ordinary	SWAP	Increasing Long	325	10.9786  GBP
0.4p ordinary	SWAP	Increasing Long	246	10.9950  GBP
0.4p ordinary	SWAP	Increasing Long	9,152	11.0362  GBP
0.4p ordinary	SWAP	Decreasing Long	16,734	10.9682  GBP
0.4p ordinary	SWAP	Decreasing Long	3,219	10.9896  GBP
0.4p ordinary	SWAP	Decreasing Long	1,480	11.0043  GBP
0.4p ordinary	SWAP	Decreasing Long	22,708	11.0401  GBP
0.4p ordinary	SWAP	Decreasing Long	196	11.0450  GBP
0.4p ordinary	SWAP	Decreasing Long	133	11.2200  GBP
0.4p ordinary	SWAP	Increasing Long	427	10.9905  GBP
0.4p ordinary	SWAP	Increasing Long	519	11.0004  GBP
0.4p ordinary	SWAP	Increasing Long	2,293	11.0066  GBP
0.4p ordinary	SWAP	Increasing Long	612	11.0091  GBP
0.4p ordinary	SWAP	Increasing Long	25,629	11.0399  GBP
0.4p ordinary	SWAP	Increasing Long	991	11.0499  GBP
0.4p ordinary	SWAP	Decreasing Long	3,806	11.0267  GBP
0.4p ordinary	SWAP	Decreasing Long	772	11.0295  GBP
0.4p ordinary	SWAP	Decreasing Long	2,409	11.0414  GBP
0.4p ordinary	SWAP	Decreasing Long	559	11.0898  GBP
0.4p ordinary	SWAP	Decreasing Long	9,278	11.0286  GBP
0.4p ordinary	SWAP	Decreasing Long	4,903	10.9898  GBP
0.4p ordinary	SWAP	Decreasing Long	3,285	10.9946  GBP
0.4p ordinary	SWAP	Decreasing Long	19,907	11.0400  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:				15 Jul 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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