Form 8.5 (EPT/NON-RI) - Hargreaves Lansdown plc

Barclays PLC

12 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:				09 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:			1,093,009	0.23%	2,654,992	0.56%
(2)	Cash-settled derivatives:
	and/or controlled:			2,247,936	0.47%	938,529	0.20%
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:			0	0.00%	0	0.00%
	TOTAL:			3,340,945	0.70%	3,593,521	0.76%
(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		1,262,556		11.0275  GBP	10.9880  GBP
0.4p ordinary		Sale		984,979		11.0210  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		Decreasing Short		2,100	11.0200  GBP
0.4p ordinary		CFD		Decreasing Short		2,500	11.0090  GBP
0.4p ordinary		CFD		Decreasing Short		580	11.0490  GBP
0.4p ordinary		CFD		Increasing Short		74	10.9879  GBP
0.4p ordinary		CFD		Increasing Short		118,559	11.0015  GBP
0.4p ordinary		CFD		Increasing Short		52,778	11.0046  GBP
0.4p ordinary		CFD		Increasing Short		11,217	11.0080  GBP
0.4p ordinary		CFD		Increasing Short		6,120	11.0139  GBP
0.4p ordinary		CFD		Increasing Short		2,501	11.0156  GBP
0.4p ordinary		CFD		Increasing Short		600	11.0210  GBP
0.4p ordinary		CFD		Increasing Short		6,727	11.0230  GBP
0.4p ordinary		CFD		Increasing Short		2,499	11.0259  GBP
0.4p ordinary		SWAP		Decreasing Short		12,736	11.0017  GBP
0.4p ordinary		SWAP		Decreasing Short		30,383	11.0118  GBP
0.4p ordinary		SWAP		Increasing Short		99	11.0001  GBP
0.4p ordinary		SWAP		Increasing Short		33,607	11.0200  GBP
0.4p ordinary		SWAP		Increasing Short		154,912	11.0204  GBP
0.4p ordinary		SWAP		Increasing Short		1,575	11.0200  GBP
0.4p ordinary		SWAP		Increasing Long		127,351	11.0072  GBP
0.4p ordinary		SWAP		Increasing Long		19,759	11.0131  GBP
0.4p ordinary		SWAP		Decreasing Long		30,001	11.0027  GBP
0.4p ordinary		SWAP		Decreasing Long		1,087	11.0067  GBP
0.4p ordinary		SWAP		Decreasing Long		43,302	11.0171  GBP
0.4p ordinary		SWAP		Decreasing Long		92,442	11.0200  GBP
0.4p ordinary		SWAP		Decreasing Long		14,993	11.0209  GBP
0.4p ordinary		SWAP		Decreasing Long		264	11.0275  GBP
0.4p ordinary		SWAP		Increasing Long		1,758	10.9984  GBP
0.4p ordinary		SWAP		Decreasing Long		79,266	10.9800  GBP
0.4p ordinary		SWAP		Decreasing Long		37,978	11.0024  GBP
0.4p ordinary		SWAP		Decreasing Long		754	11.0216  GBP
0.4p ordinary		SWAP		Decreasing Long		1,139	11.0255  GBP
0.4p ordinary		SWAP		Decreasing Long		17,993	11.0258  GBP
0.4p ordinary		SWAP		Closing Short		68,882	11.0144  GBP
0.4p ordinary		SWAP		Increasing Short		41	11.0099  GBP
0.4p ordinary		SWAP		Increasing Long		69,035	11.0083  GBP
0.4p ordinary		SWAP		Decreasing Long		98,313	11.0165  GBP
0.4p ordinary		SWAP		Decreasing Long		73,791	11.0200  GBP
0.4p ordinary		SWAP		Increasing Short		13,536	10.7750  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:				12 Aug 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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