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

Barclays PLC

22 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:			19 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:				771,664	0.16%	4,344,053	0.92%
(2) Cash-settled derivatives:				4,216,497	0.89%	580,255	0.12%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				4,988,161	1.05%	4,924,308	1.04%
(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	262334	11.1700  GBP	10.9775  GBP
0.4p ordinary	Sale	191172	11.1700  GBP	10.9951  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	100	11.1100  GBP
0.4p ordinary	SWAP	Increasing Long	69	11.0700  GBP
0.4p ordinary	SWAP	Increasing Long	21,999	11.0797  GBP
0.4p ordinary	SWAP	Increasing Long	9,524	11.0951  GBP
0.4p ordinary	SWAP	Increasing Long	30,694	11.1084  GBP
0.4p ordinary	SWAP	Increasing Long	5,575	11.1157  GBP
0.4p ordinary	SWAP	Decreasing Long	1,513	11.0852  GBP
0.4p ordinary	SWAP	Decreasing Long	1,130	11.0942  GBP
0.4p ordinary	SWAP	Decreasing Long	669	11.0971  GBP
0.4p ordinary	SWAP	Decreasing Long	65,416	11.1000  GBP
0.4p ordinary	SWAP	Decreasing Long	17,445	11.1003  GBP
0.4p ordinary	SWAP	Increasing Long	6,946	11.1174  GBP
0.4p ordinary	SWAP	Increasing Long	290	11.1199  GBP
0.4p ordinary	SWAP	Decreasing Long	13,650	11.1000  GBP
0.4p ordinary	SWAP	Decreasing Long	1,143	11.1109  GBP
0.4p ordinary	SWAP	Decreasing Long	1,766	11.1113  GBP
0.4p ordinary	SWAP	Decreasing Long	8,040	11.1118  GBP
0.4p ordinary	SWAP	Decreasing Long	529	11.1129  GBP
0.4p ordinary	SWAP	Decreasing Long	1,489	11.1296  GBP
0.4p ordinary	SWAP	Decreasing Long	385	11.1410  GBP
0.4p ordinary	SWAP	Increasing Short	875	11.0175  GBP
0.4p ordinary	SWAP	Increasing Long	6,239	11.0933  GBP
0.4p ordinary	SWAP	Increasing Long	6,828	11.0943  GBP
0.4p ordinary	SWAP	Decreasing Long	37,855	11.1000  GBP
0.4p ordinary	SWAP	Decreasing Long	2,186	11.1045  GBP
0.4p ordinary	SWAP	Decreasing Long	797	11.1052  GBP
0.4p ordinary	SWAP	Decreasing Long	4,338	11.1109  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:				22 Jul 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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