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

Barclays PLC

05 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:				02 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:			737,045	0.16%	3,628,732	0.77%
(2)	Cash-settled derivatives:
	and/or controlled:			3,505,143	0.74%	552,661	0.12%
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:			0	0.00%	0	0.00%
	TOTAL:			4,242,188	0.89%	4,181,393	0.88%
(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		351,309		11.0000  GBP	10.8200  GBP
0.4p ordinary		Sale		506,854		11.0013  GBP	10.8150  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		Opening Long		1,015	10.8885  GBP
0.4p ordinary		SWAP		Opening Short		1,326	10.8825  GBP
0.4p ordinary		CFD		Decreasing Short		6,213	10.8440  GBP
0.4p ordinary		CFD		Decreasing Short		485	10.8994  GBP
0.4p ordinary		CFD		Decreasing Short		13,662	10.9990  GBP
0.4p ordinary		CFD		Increasing Short		829	10.8881  GBP
0.4p ordinary		CFD		Increasing Short		9,438	10.9310  GBP
0.4p ordinary		CFD		Increasing Short		69	10.9918  GBP
0.4p ordinary		SWAP		Increasing Short		5,629	10.8800  GBP
0.4p ordinary		SWAP		Decreasing Short		17	10.8600  GBP
0.4p ordinary		SWAP		Opening Long		21,730	10.8776  GBP
0.4p ordinary		SWAP		Increasing Long		6,931	11.0000  GBP
0.4p ordinary		SWAP		Opening Short		9,937	10.8914  GBP
0.4p ordinary		SWAP		Decreasing Long		4,175	10.9141  GBP
0.4p ordinary		SWAP		Decreasing Long		190,946	10.9386  GBP
0.4p ordinary		SWAP		Increasing Short		434	10.8771  GBP
0.4p ordinary		SWAP		Increasing Short		743	10.9200  GBP
0.4p ordinary		SWAP		Increasing Long		50,379	10.8874  GBP
0.4p ordinary		SWAP		Increasing Long		122	10.9100  GBP
0.4p ordinary		SWAP		Increasing Long		45,495	10.9896  GBP
0.4p ordinary		SWAP		Increasing Long		60,626	10.9999  GBP
0.4p ordinary		SWAP		Decreasing Long		4,629	10.8350  GBP
0.4p ordinary		SWAP		Decreasing Long		16	10.8534  GBP
0.4p ordinary		SWAP		Decreasing Long		17,873	10.8832  GBP
0.4p ordinary		SWAP		Decreasing Long		1,575	10.8842  GBP
0.4p ordinary		SWAP		Increasing Long		3,203	10.8374  GBP
0.4p ordinary		SWAP		Increasing Long		95,047	10.8623  GBP
0.4p ordinary		SWAP		Increasing Long		6,747	10.8643  GBP
0.4p ordinary		SWAP		Increasing Long		27,849	10.8663  GBP
0.4p ordinary		SWAP		Increasing Long		4,104	10.8905  GBP
0.4p ordinary		SWAP		Increasing Long		15,649	10.8937  GBP
0.4p ordinary		SWAP		Increasing Long		2,715	10.9082  GBP
0.4p ordinary		SWAP		Increasing Long		28,809	10.9999  GBP
0.4p ordinary		SWAP		Decreasing Long		131	10.8826  GBP
0.4p ordinary		SWAP		Decreasing Long		17,348	11.0000  GBP
0.4p ordinary		SWAP		Increasing Short		183	10.8392  GBP
0.4p ordinary		SWAP		Increasing Short		1,189	10.8792  GBP
0.4p ordinary		SWAP		Increasing Long		430	10.9545  GBP
0.4p ordinary		SWAP		Increasing Long		39,148	11.0000  GBP
0.4p ordinary		SWAP		Decreasing Long		35	10.8600  GBP
0.4p ordinary		SWAP		Decreasing Long		10,578	10.8684  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:				05 Aug 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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