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

Barclays PLC

09 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  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:			08 Aug 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:				823,190	0.17%	2,662,750	0.56%
(2) Cash-settled derivatives:				2,534,892	0.53%	664,401	0.14%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				3,358,082	0.71%	3,327,151	0.70%
(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	167472	10.7750  GBP	10.4950  GBP
0.4p ordinary	Sale	293068	10.7750  GBP	10.4960  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	CFD	Decreasing Short	18,912	10.7740  GBP
0.4p ordinary	CFD	Increasing Short	17	10.5117  GBP
0.4p ordinary	CFD	Increasing Short	3,591	10.5852  GBP
0.4p ordinary	CFD	Increasing Short	5,417	10.6141  GBP
0.4p ordinary	SWAP	Decreasing Short	3	10.6133  GBP
0.4p ordinary	SWAP	Decreasing Short	3,720	10.6160  GBP
0.4p ordinary	SWAP	Decreasing Short	38,445	10.7750  GBP
0.4p ordinary	SWAP	Increasing Short	9,828	10.6010  GBP
0.4p ordinary	SWAP	Increasing Short	1,354	10.5524  GBP
0.4p ordinary	SWAP	Increasing Long	313	10.5150  GBP
0.4p ordinary	SWAP	Increasing Long	461	10.5418  GBP
0.4p ordinary	SWAP	Increasing Long	37,963	10.7749  GBP
0.4p ordinary	SWAP	Increasing Long	55,069	10.7750  GBP
0.4p ordinary	SWAP	Decreasing Long	671	10.5192  GBP
0.4p ordinary	SWAP	Decreasing Long	14,302	10.5236  GBP
0.4p ordinary	SWAP	Decreasing Long	5,780	10.5317  GBP
0.4p ordinary	SWAP	Decreasing Long	13,086	10.7621  GBP
0.4p ordinary	SWAP	Increasing Long	8,261	10.5588  GBP
0.4p ordinary	SWAP	Decreasing Long	927	10.5584  GBP
0.4p ordinary	SWAP	Decreasing Long	1,089	10.5739  GBP
0.4p ordinary	SWAP	Decreasing Long	2,464	10.6296  GBP
0.4p ordinary	SWAP	Increasing Long	8,413	10.7311  GBP
0.4p ordinary	SWAP	Increasing Long	21,780	10.7750  GBP
0.4p ordinary	SWAP	Decreasing Long	4,666	10.5290  GBP
0.4p ordinary	SWAP	Decreasing Long	4,220	10.5406  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:				09 Aug 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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