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

Barclays PLC

17 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:			16 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:				783,933	0.17%	4,476,224	0.94%
(2) Cash-settled derivatives:				4,347,304	0.92%	591,546	0.12%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				5,131,237	1.08%	5,067,770	1.07%
(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	291812	11.0698  GBP	10.8850  GBP
0.4p ordinary	Sale	171429	11.0256  GBP	10.8850  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	20,300	10.9400  GBP
0.4p ordinary	CFD	Increasing Short	9,836	10.9243  GBP
0.4p ordinary	SWAP	Decreasing Short	96	11.0472  GBP
0.4p ordinary	SWAP	Increasing Long	32,409	10.9400  GBP
0.4p ordinary	SWAP	Increasing Long	1,360	10.9677  GBP
0.4p ordinary	SWAP	Closing Long	33,843	10.9406  GBP
0.4p ordinary	SWAP	Decreasing Long	761	10.9416  GBP
0.4p ordinary	SWAP	Increasing Long	1,044	10.8989  GBP
0.4p ordinary	SWAP	Increasing Long	344	10.9300  GBP
0.4p ordinary	SWAP	Increasing Long	321	10.9500  GBP
0.4p ordinary	SWAP	Increasing Long	4,174	10.9661  GBP
0.4p ordinary	SWAP	Increasing Long	926	11.0072  GBP
0.4p ordinary	SWAP	Increasing Long	153	11.0458  GBP
0.4p ordinary	SWAP	Increasing Long	17	11.2200  GBP
0.4p ordinary	SWAP	Decreasing Long	26,187	10.9262  GBP
0.4p ordinary	SWAP	Decreasing Long	14,486	10.9308  GBP
0.4p ordinary	SWAP	Decreasing Long	11,898	10.9400  GBP
0.4p ordinary	SWAP	Decreasing Long	14,686	10.9415  GBP
0.4p ordinary	SWAP	Decreasing Long	309	11.0087  GBP
0.4p ordinary	SWAP	Decreasing Long	438	11.0250  GBP
0.4p ordinary	SWAP	Increasing Long	1,200	10.9099  GBP
0.4p ordinary	SWAP	Increasing Long	2,112	11.0256  GBP
0.4p ordinary	SWAP	Decreasing Long	570	10.9089  GBP
0.4p ordinary	SWAP	Decreasing Long	22,969	10.9400  GBP
0.4p ordinary	SWAP	Decreasing Long	283	10.9506  GBP
0.4p ordinary	SWAP	Decreasing Long	342	10.9731  GBP
0.4p ordinary	SWAP	Decreasing Long	1,534	10.9886  GBP
0.4p ordinary	SWAP	Decreasing Short	55	11.0470  GBP
0.4p ordinary	SWAP	Decreasing Long	421	10.9041  GBP
0.4p ordinary	SWAP	Decreasing Long	2,051	10.9338  GBP
0.4p ordinary	SWAP	Decreasing Long	3,861	10.9402  GBP
0.4p ordinary	SWAP	Decreasing Long	410	11.0698  GBP
0.4p ordinary	SWAP	Decreasing Long	9,278	10.9505  GBP
0.4p ordinary	SWAP	Increasing Long	304	11.0325  GBP
0.4p ordinary	SWAP	Decreasing Long	18,347	10.9218  GBP
0.4p ordinary	SWAP	Decreasing Long	11,563	10.9322  GBP
0.4p ordinary	SWAP	Decreasing Long	1,453	10.9400  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:				17 Jul 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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