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

Barclays PLC

23 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:			22 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:				747,319	0.16%	4,239,323	0.89%
(2) Cash-settled derivatives:				4,113,728	0.87%	562,352	0.12%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				4,861,047	1.02%	4,801,675	1.01%
(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	242684	11.2050  GBP	11.1233  GBP
0.4p ordinary	Sale	129299	11.1900  GBP	11.0900  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	173	11.1810  GBP
0.4p ordinary	SWAP	Increasing Short	7,200	11.1850  GBP
0.4p ordinary	CFD	Increasing Short	4,723	11.1900  GBP
0.4p ordinary	CFD	Increasing Short	1,961	11.1930  GBP
0.4p ordinary	SWAP	Increasing Short	1,040	11.1669  GBP
0.4p ordinary	SWAP	Increasing Long	1,599	11.1243  GBP
0.4p ordinary	SWAP	Increasing Long	250	11.1537  GBP
0.4p ordinary	SWAP	Increasing Long	157	11.1600  GBP
0.4p ordinary	SWAP	Increasing Long	1,673	11.1847  GBP
0.4p ordinary	SWAP	Increasing Long	634	11.1850  GBP
0.4p ordinary	SWAP	Decreasing Long	16,852	11.1775  GBP
0.4p ordinary	SWAP	Decreasing Long	6,773	11.1780  GBP
0.4p ordinary	SWAP	Decreasing Long	38,751	11.1849  GBP
0.4p ordinary	SWAP	Decreasing Long	26,587	11.1850  GBP
0.4p ordinary	SWAP	Decreasing Long	197	11.1900  GBP
0.4p ordinary	SWAP	Increasing Long	13,617	11.1218  GBP
0.4p ordinary	SWAP	Increasing Long	650	11.1648  GBP
0.4p ordinary	SWAP	Increasing Long	181	11.1658  GBP
0.4p ordinary	SWAP	Increasing Long	160	11.1788  GBP
0.4p ordinary	SWAP	Increasing Long	22,047	11.1849  GBP
0.4p ordinary	SWAP	Increasing Long	12	11.2124  GBP
0.4p ordinary	SWAP	Decreasing Long	164	11.1222  GBP
0.4p ordinary	SWAP	Decreasing Long	4	11.1700  GBP
0.4p ordinary	SWAP	Decreasing Long	6,218	11.1728  GBP
0.4p ordinary	SWAP	Decreasing Long	1,403	11.1809  GBP
0.4p ordinary	SWAP	Decreasing Long	14,320	11.1852  GBP
0.4p ordinary	SWAP	Increasing Long	204	11.0900  GBP
0.4p ordinary	SWAP	Increasing Long	283	11.1127  GBP
0.4p ordinary	SWAP	Increasing Long	1,234	11.1850  GBP
0.4p ordinary	SWAP	Decreasing Long	3,321	11.1739  GBP
0.4p ordinary	SWAP	Decreasing Long	6,775	11.1794  GBP
0.4p ordinary	SWAP	Decreasing Long	21,706	11.1850  GBP
0.4p ordinary	SWAP	Decreasing Long	2,399	11.1218  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:				23 Jul 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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