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

Barclays PLC

02 August 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				HARGREAVES LANSDOWN PLC
	relevant securities this form relates:
(c)	Name of the party to the offer with which exempt				HARGREAVES LANSDOWN PLC
	principal trader is connected
(d)	Date position held/dealing undertaken:				01 Aug 2024
(e)	In addition to the company in 1(b) above, is the exempt principal				NO
	trader making disclosures in respect of any other party to the offer?
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:			755,349	0.16%	3,491,491	0.74%
(2)	Cash-settled derivatives:
	and/or controlled:			3,372,126	0.71%	572,937	0.12%
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:			0	0.00%	0	0.00%
	TOTAL:			4,127,475	0.87%	4,064,428	0.86%
(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)	Purchases and sales
Class of relevant		Purchase/sale		Total number of		Highest price per unit	Lowest price per unit
security				securities		paid/received	paid/received
0.4p ordinary		Purchase		527,058		11.1300  GBP	10.9544  GBP
0.4p ordinary		Sale		373,139		11.1053  GBP	10.9550  GBP
(b)	Cash-settled derivative transactions
Class of		Product		Nature of dealing		Number of	Price per
relevant		description				reference	unit
security						securities
0.4p ordinary		SWAP		Increasing Short		200	11.0750  GBP
0.4p ordinary		SWAP		Opening Long		811	11.0516  GBP
0.4p ordinary		SWAP		Opening Short		549	11.0417  GBP
0.4p ordinary		CFD		Decreasing Short		8,650	11.0744  GBP
0.4p ordinary		CFD		Increasing Short		302	11.0359  GBP
0.4p ordinary		CFD		Increasing Short		2,410	11.0586  GBP
0.4p ordinary		SWAP		Increasing Short		3,597	11.0490  GBP
0.4p ordinary		SWAP		Decreasing Short		169	11.1150  GBP
0.4p ordinary		SWAP		Opening Long		1,474	11.0336  GBP
0.4p ordinary		SWAP		Opening Short		6,847	10.9550  GBP
0.4p ordinary		SWAP		Increasing Short		13,728	11.0165  GBP
0.4p ordinary		SWAP		Increasing Short		249	11.0522  GBP
0.4p ordinary		SWAP		Increasing Short		836	11.0900  GBP
0.4p ordinary		SWAP		Increasing Long		1,861	10.9603  GBP
0.4p ordinary		SWAP		Increasing Long		1,326	11.0612  GBP
0.4p ordinary		SWAP		Increasing Long		13	11.0650  GBP
0.4p ordinary		SWAP		Increasing Long		15,638	11.0680  GBP
0.4p ordinary		SWAP		Decreasing Long		74,175	10.9550  GBP
0.4p ordinary		SWAP		Decreasing Long		963	11.0477  GBP
0.4p ordinary		SWAP		Decreasing Long		22,134	11.0549  GBP
0.4p ordinary		SWAP		Increasing Long		99	11.0699  GBP
0.4p ordinary		SWAP		Increasing Long		3,329	11.0704  GBP
0.4p ordinary		SWAP		Increasing Long		623	11.0804  GBP
0.4p ordinary		SWAP		Increasing Long		194	11.0849  GBP
0.4p ordinary		SWAP		Decreasing Long		10,697	10.9550  GBP
0.4p ordinary		SWAP		Decreasing Long		980	10.9800  GBP
0.4p ordinary		SWAP		Decreasing Long		4,484	11.0144  GBP
0.4p ordinary		SWAP		Decreasing Long		7,334	11.0719  GBP
0.4p ordinary		SWAP		Closing Short		1,675	11.0491  GBP
0.4p ordinary		SWAP		Increasing Short		635	11.0535  GBP
0.4p ordinary		SWAP		Increasing Short		788	11.0604  GBP
0.4p ordinary		SWAP		Increasing Long		1,169	11.0549  GBP
0.4p ordinary		SWAP		Increasing Long		27	11.0611  GBP
0.4p ordinary		SWAP		Decreasing Long		31,495	10.9550  GBP
0.4p ordinary		SWAP		Decreasing Long		8,913	11.0335  GBP
(c)	Stock-settled derivative transactions (including options)
(i)	Writing, selling, purchasing or varying
Class	Product	Writing,	Number	Exercise	Type	Expiry	Option
of	description	purchasing,	of	price		date	money
relevant		selling,	securities	per unit			paid/
security		varying etc	to which				received
			option				per unit
			relates
(ii)	Exercising
Class of relevant		Product description		Exercising/ exercised against		Number of	Exercise price per
security						securities	unit
(d)	Other dealings (including subscribing for new securities)
Class of relevant		Nature of Dealings		Details		Price per unit (if
security						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:				02 Aug 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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