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

Barclays PLC

16 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:			15 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:				804,384	0.17%	4,617,058	0.97%
(2) Cash-settled derivatives:				4,478,630	0.94%	602,161	0.13%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				5,283,014	1.11%	5,219,219	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	118585	11.1200  GBP	10.9950  GBP
0.4p ordinary	Sale	100202	11.1205  GBP	11.0124  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	11.1200  GBP
0.4p ordinary	SWAP	Decreasing Short	845	11.0277  GBP
0.4p ordinary	SWAP	Opening Long	23	11.0095  GBP
0.4p ordinary	SWAP	Increasing Long	8,183	11.0492  GBP
0.4p ordinary	SWAP	Decreasing Long	2	11.0500  GBP
0.4p ordinary	SWAP	Decreasing Long	8,130	11.0540  GBP
0.4p ordinary	SWAP	Increasing Long	1,455	11.0124  GBP
0.4p ordinary	SWAP	Increasing Long	5,643	11.0409  GBP
0.4p ordinary	SWAP	Increasing Long	151	11.0450  GBP
0.4p ordinary	SWAP	Increasing Long	1,488	11.1000  GBP
0.4p ordinary	SWAP	Increasing Long	12,821	11.1200  GBP
0.4p ordinary	SWAP	Decreasing Long	1,094	11.0267  GBP
0.4p ordinary	SWAP	Decreasing Long	731	11.0294  GBP
0.4p ordinary	SWAP	Decreasing Long	10,473	11.0297  GBP
0.4p ordinary	SWAP	Decreasing Long	250	11.0300  GBP
0.4p ordinary	SWAP	Decreasing Long	277	11.0350  GBP
0.4p ordinary	SWAP	Decreasing Long	1,985	11.0351  GBP
0.4p ordinary	SWAP	Increasing Long	3,025	11.0337  GBP
0.4p ordinary	SWAP	Increasing Long	288	11.0382  GBP
0.4p ordinary	SWAP	Increasing Long	1,715	11.0449  GBP
0.4p ordinary	SWAP	Increasing Long	57	11.0499  GBP
0.4p ordinary	SWAP	Increasing Long	5,289	11.1199  GBP
0.4p ordinary	SWAP	Decreasing Long	10	11.0500  GBP
0.4p ordinary	SWAP	Decreasing Long	2,225	11.1200  GBP
0.4p ordinary	SWAP	Decreasing Short	142	11.0119  GBP
0.4p ordinary	SWAP	Decreasing Short	470	11.0277  GBP
0.4p ordinary	SWAP	Decreasing Long	2,810	11.0122  GBP
0.4p ordinary	SWAP	Decreasing Long	9,417	11.0762  GBP
0.4p ordinary	SWAP	Decreasing Long	3,673	11.1182  GBP
0.4p ordinary	SWAP	Decreasing Long	9,278	11.0876  GBP
0.4p ordinary	SWAP	Increasing Long	4,144	11.1200  GBP
0.4p ordinary	SWAP	Decreasing Long	2,311	11.0321  GBP
0.4p ordinary	SWAP	Decreasing Long	1,930	11.0393  GBP
0.4p ordinary	SWAP	Decreasing Long	606	11.0457  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:				16 Jul 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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