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

Barclays PLC

29 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:			26 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:				758,776	0.16%	3,901,953	0.82%
(2) Cash-settled derivatives:				3,776,379	0.80%	567,954	0.12%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				4,535,155	0.96%	4,469,907	0.94%
(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	331728	11.1000  GBP	10.9800  GBP
0.4p ordinary	Sale	215478	11.1000  GBP	10.9849  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	200	11.0500  GBP
0.4p ordinary	CFD	Increasing Short	588	11.0097  GBP
0.4p ordinary	CFD	Increasing Short	5,590	11.0211  GBP
0.4p ordinary	SWAP	Opening Short	935	11.0225  GBP
0.4p ordinary	SWAP	Increasing Short	128	11.0370  GBP
0.4p ordinary	SWAP	Increasing Long	6,195	10.9873  GBP
0.4p ordinary	SWAP	Increasing Long	742	11.0147  GBP
0.4p ordinary	SWAP	Increasing Long	2,988	11.0857  GBP
0.4p ordinary	SWAP	Decreasing Long	57,433	10.9850  GBP
0.4p ordinary	SWAP	Decreasing Long	3,405	10.9974  GBP
0.4p ordinary	SWAP	Decreasing Long	15,374	11.0192  GBP
0.4p ordinary	SWAP	Decreasing Long	9,593	11.0233  GBP
0.4p ordinary	SWAP	Decreasing Long	35,140	11.0264  GBP
0.4p ordinary	SWAP	Decreasing Long	773	11.0495  GBP
0.4p ordinary	SWAP	Opening Long	54,291	10.9849  GBP
0.4p ordinary	SWAP	Increasing Long	541	10.9928  GBP
0.4p ordinary	SWAP	Increasing Long	1,785	11.0038  GBP
0.4p ordinary	SWAP	Increasing Long	1,098	11.0047  GBP
0.4p ordinary	SWAP	Increasing Long	8,006	11.0080  GBP
0.4p ordinary	SWAP	Increasing Long	18,138	11.0083  GBP
0.4p ordinary	SWAP	Increasing Long	1,589	11.0149  GBP
0.4p ordinary	SWAP	Decreasing Long	8,523	11.0149  GBP
0.4p ordinary	SWAP	Decreasing Long	294	11.0550  GBP
0.4p ordinary	SWAP	Decreasing Long	2,583	11.0747  GBP
0.4p ordinary	SWAP	Decreasing Long	790	11.0750  GBP
0.4p ordinary	SWAP	Decreasing Long	327	11.0801  GBP
0.4p ordinary	SWAP	Decreasing Short	500	11.0426  GBP
0.4p ordinary	SWAP	Increasing Short	145	10.9911  GBP
0.4p ordinary	SWAP	Decreasing Long	4,527	10.9852  GBP
0.4p ordinary	SWAP	Decreasing Long	499	11.0063  GBP
0.4p ordinary	SWAP	Decreasing Long	2,695	11.0166  GBP
0.4p ordinary	SWAP	Increasing Long	212	11.0600  GBP
0.4p ordinary	SWAP	Increasing Long	249	11.0800  GBP
0.4p ordinary	SWAP	Decreasing Long	38,806	10.9850  GBP
0.4p ordinary	SWAP	Decreasing Long	15,685	11.0249  GBP
0.4p ordinary	SWAP	Decreasing Long	4,453	11.0426  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:				29 Jul 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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