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

Barclays PLC

14 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:			13 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:				1,173,985	0.25%	1,449,313	0.31%
(2) Cash-settled derivatives:				1,335,410	0.28%	1,035,383	0.22%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				2,509,395	0.53%	2,484,696	0.52%
(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	869100	11.0150  GBP	10.9900  GBP
0.4p ordinary	Sale	404021	11.0150  GBP	10.9800  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	SWAP	Increasing Short	300	10.9900  GBP
0.4p ordinary	CFD	Decreasing Short	2,435	10.9793  GBP
0.4p ordinary	CFD	Decreasing Short	113,830	10.9975  GBP
0.4p ordinary	CFD	Increasing Short	5,885	11.0058  GBP
0.4p ordinary	SWAP	Decreasing Short	3,977	11.0004  GBP
0.4p ordinary	SWAP	Decreasing Short	4,913	11.0026  GBP
0.4p ordinary	SWAP	Increasing Short	13,956	10.9986  GBP
0.4p ordinary	SWAP	Increasing Short	30,334	11.0050  GBP
0.4p ordinary	SWAP	Decreasing Short	277	10.9979  GBP
0.4p ordinary	SWAP	Increasing Short	58,320	11.0055  GBP
0.4p ordinary	SWAP	Increasing Short	426	11.0055  GBP
0.4p ordinary	SWAP	Increasing Short	1,740	11.0100  GBP
0.4p ordinary	SWAP	Increasing Long	18,576	10.9960  GBP
0.4p ordinary	SWAP	Increasing Long	27,464	11.0045  GBP
0.4p ordinary	SWAP	Increasing Long	12	11.0200  GBP
0.4p ordinary	SWAP	Decreasing Long	2,004	11.0005  GBP
0.4p ordinary	SWAP	Decreasing Long	16,136	11.0038  GBP
0.4p ordinary	SWAP	Decreasing Long	64,384	11.0048  GBP
0.4p ordinary	SWAP	Decreasing Long	84,444	11.0050  GBP
0.4p ordinary	SWAP	Decreasing Long	27,135	11.0051  GBP
0.4p ordinary	SWAP	Opening Short	71,425	11.0053  GBP
0.4p ordinary	SWAP	Increasing Short	555	11.0062  GBP
0.4p ordinary	SWAP	Increasing Short	326	11.0100  GBP
0.4p ordinary	SWAP	Increasing Long	15,327	10.9928  GBP
0.4p ordinary	SWAP	Decreasing Long	7,522	11.0013  GBP
0.4p ordinary	SWAP	Decreasing Long	1,357	11.0038  GBP
0.4p ordinary	SWAP	Decreasing Long	5,518	11.0065  GBP
0.4p ordinary	SWAP	Decreasing Long	4,724	11.0076  GBP
0.4p ordinary	SWAP	Opening Short	17,749	11.0072  GBP
0.4p ordinary	SWAP	Decreasing Short	936	10.9977  GBP
0.4p ordinary	SWAP	Decreasing Short	2,234	11.0004  GBP
0.4p ordinary	SWAP	Decreasing Long	29,797	11.0028  GBP
0.4p ordinary	SWAP	Decreasing Long	1,859	11.0036  GBP
0.4p ordinary	SWAP	Decreasing Long	10,707	11.0042  GBP
0.4p ordinary	SWAP	Decreasing Long	144,739	11.0044  GBP
0.4p ordinary	SWAP	Decreasing Long	52,710	11.0050  GBP
0.4p ordinary	SWAP	Decreasing Long	1,636	11.0070  GBP
0.4p ordinary	SWAP	Decreasing Long	274	11.0100  GBP
0.4p ordinary	SWAP	Decreasing Long	8,947	11.0042  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:				14 Aug 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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