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

Barclays PLC

31 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:			30 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:				762,785	0.16%	3,643,307	0.77%
(2) Cash-settled derivatives:				3,523,672	0.74%	574,231	0.12%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				4,286,457	0.90%	4,217,538	0.89%
(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	457204	11.1000  GBP	10.9900  GBP
0.4p ordinary	Sale	226931	11.1000  GBP	10.9960  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	11.0625  GBP
0.4p ordinary	SWAP	Opening Short	182	11.0471  GBP
0.4p ordinary	CFD	Increasing Short	1,220	11.0594  GBP
0.4p ordinary	CFD	Increasing Short	21	11.0666  GBP
0.4p ordinary	CFD	Increasing Short	925	11.0799  GBP
0.4p ordinary	SWAP	Increasing Short	724	11.0471  GBP
0.4p ordinary	SWAP	Increasing Short	232	11.0525  GBP
0.4p ordinary	SWAP	Increasing Long	785	11.0722  GBP
0.4p ordinary	SWAP	Increasing Long	12,744	11.0838  GBP
0.4p ordinary	SWAP	Increasing Long	308	11.0850  GBP
0.4p ordinary	SWAP	Decreasing Long	93,383	11.0324  GBP
0.4p ordinary	SWAP	Decreasing Long	16,473	11.0762  GBP
0.4p ordinary	SWAP	Decreasing Long	303	11.0809  GBP
0.4p ordinary	SWAP	Decreasing Long	25,416	11.0826  GBP
0.4p ordinary	SWAP	Decreasing Long	23,539	11.0850  GBP
0.4p ordinary	SWAP	Increasing Long	219	11.0604  GBP
0.4p ordinary	SWAP	Decreasing Long	2,954	10.9919  GBP
0.4p ordinary	SWAP	Decreasing Long	2,683	11.0247  GBP
0.4p ordinary	SWAP	Decreasing Long	11,690	11.0265  GBP
0.4p ordinary	SWAP	Decreasing Long	1,974	11.0656  GBP
0.4p ordinary	SWAP	Decreasing Long	159	11.0705  GBP
0.4p ordinary	SWAP	Decreasing Long	8,081	11.0850  GBP
0.4p ordinary	SWAP	Decreasing Short	476	11.0973  GBP
0.4p ordinary	SWAP	Increasing Short	150	11.0502  GBP
0.4p ordinary	SWAP	Decreasing Short	2,164	11.0827  GBP
0.4p ordinary	SWAP	Increasing Short	400	11.0570  GBP
0.4p ordinary	SWAP	Decreasing Long	32,796	11.0384  GBP
0.4p ordinary	SWAP	Decreasing Long	10,959	11.0850  GBP
0.4p ordinary	SWAP	Decreasing Long	9,087	11.0850  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:				31 Jul 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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