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

Barclays PLC

06 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:				05 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:			740,738	0.16%	3,091,587	0.65%
(2)	Cash-settled derivatives:
	and/or controlled:			2,963,581	0.62%	566,352	0.12%
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:			0	0.00%	0	0.00%
	TOTAL:			3,704,319	0.78%	3,657,939	0.77%
(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		783,467		10.6700  GBP	10.5144  GBP
0.4p ordinary		Sale		242,629		10.6763  GBP	10.5150  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		4,100	10.5150  GBP
0.4p ordinary		SWAP		Decreasing Short		29	10.5150  GBP
0.4p ordinary		SWAP		Opening Long		721	10.5928  GBP
0.4p ordinary		SWAP		Closing Long		232	10.6183  GBP
0.4p ordinary		CFD		Decreasing Short		4,428	10.6283  GBP
0.4p ordinary		CFD		Increasing Short		1,691	10.5738  GBP
0.4p ordinary		CFD		Increasing Short		9,680	10.5742  GBP
0.4p ordinary		SWAP		Increasing Short		1,029	10.6275  GBP
0.4p ordinary		SWAP		Opening Long		9,060	10.6099  GBP
0.4p ordinary		SWAP		Opening Short		11,197	10.5740  GBP
0.4p ordinary		SWAP		Decreasing Long		244,490	10.5803  GBP
0.4p ordinary		SWAP		Decreasing Long		17,823	10.6512  GBP
0.4p ordinary		SWAP		Increasing Long		36,729	10.5204  GBP
0.4p ordinary		SWAP		Increasing Long		46,675	10.6163  GBP
0.4p ordinary		SWAP		Increasing Long		451	10.6350  GBP
0.4p ordinary		SWAP		Increasing Long		94	10.7750  GBP
0.4p ordinary		SWAP		Decreasing Long		83,104	10.5150  GBP
0.4p ordinary		SWAP		Decreasing Long		13,456	10.5189  GBP
0.4p ordinary		SWAP		Decreasing Long		44,653	10.5395  GBP
0.4p ordinary		SWAP		Decreasing Long		33,677	10.5694  GBP
0.4p ordinary		SWAP		Decreasing Long		547	10.6086  GBP
0.4p ordinary		SWAP		Increasing Long		13,871	10.6073  GBP
0.4p ordinary		SWAP		Decreasing Long		97	10.5465  GBP
0.4p ordinary		SWAP		Decreasing Long		16,773	10.5723  GBP
0.4p ordinary		SWAP		Decreasing Long		153	10.5764  GBP
0.4p ordinary		SWAP		Decreasing Long		4,576	10.5778  GBP
0.4p ordinary		SWAP		Decreasing Long		1,664	10.5950  GBP
0.4p ordinary		SWAP		Decreasing Long		33,483	10.5977  GBP
0.4p ordinary		SWAP		Decreasing Long		262	10.6399  GBP
0.4p ordinary		SWAP		Increasing Long		1,381	10.5987  GBP
0.4p ordinary		SWAP		Decreasing Long		70,867	10.5150  GBP
0.4p ordinary		SWAP		Decreasing Long		52,445	10.5361  GBP
0.4p ordinary		SWAP		Decreasing Long		22,418	10.5752  GBP
0.4p ordinary		SWAP		Decreasing Long		275	10.6050  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:				06 Aug 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

END