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

Barclays PLC

15 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:			14 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:				1,346,918	0.28%	1,200,491	0.25%
(2) Cash-settled derivatives:				1,095,485	0.23%	1,212,154	0.26%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				2,442,403	0.51%	2,412,645	0.51%
(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	744330	11.0250  GBP	10.9694  GBP
0.4p ordinary	Sale	322575	11.0250  GBP	10.9700  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	1,711	11.0101  GBP
0.4p ordinary	CFD	Decreasing Short	237	10.9931  GBP
0.4p ordinary	CFD	Decreasing Short	646	10.9956  GBP
0.4p ordinary	CFD	Increasing Short	8,860	10.9962  GBP
0.4p ordinary	SWAP	Decreasing Short	767	10.9966  GBP
0.4p ordinary	SWAP	Decreasing Short	74,406	10.9700  GBP
0.4p ordinary	SWAP	Decreasing Short	135,593	10.9716  GBP
0.4p ordinary	SWAP	Increasing Short	16,526	11.0034  GBP
0.4p ordinary	SWAP	Decreasing Short	194	11.0007  GBP
0.4p ordinary	SWAP	Increasing Short	73,704	10.9958  GBP
0.4p ordinary	SWAP	Increasing Short	538	10.9958  GBP
0.4p ordinary	SWAP	Decreasing Short	6,325	10.9933  GBP
0.4p ordinary	SWAP	Decreasing Short	1,467	11.0009  GBP
0.4p ordinary	SWAP	Decreasing Short	1,979	11.0032  GBP
0.4p ordinary	SWAP	Increasing Short	71,751	10.9700  GBP
0.4p ordinary	SWAP	Increasing Short	27,616	10.9724  GBP
0.4p ordinary	SWAP	Increasing Short	12,468	10.9825  GBP
0.4p ordinary	SWAP	Increasing Short	48,767	11.0009  GBP
0.4p ordinary	SWAP	Increasing Short	112,475	11.0047  GBP
0.4p ordinary	SWAP	Increasing Short	673	11.0194  GBP
0.4p ordinary	SWAP	Increasing Short	257	11.0200  GBP
0.4p ordinary	SWAP	Increasing Long	16,814	10.9997  GBP
0.4p ordinary	SWAP	Decreasing Long	1,024	11.0027  GBP
0.4p ordinary	SWAP	Decreasing Long	833	11.0046  GBP
0.4p ordinary	SWAP	Decreasing Long	7,576	11.0075  GBP
0.4p ordinary	SWAP	Decreasing Long	1,536	11.0132  GBP
0.4p ordinary	SWAP	Increasing Short	24,187	10.9721  GBP
0.4p ordinary	SWAP	Decreasing Short	431	10.9966  GBP
0.4p ordinary	SWAP	Decreasing Short	717	11.0021  GBP
0.4p ordinary	SWAP	Decreasing Long	49,478	10.9700  GBP
0.4p ordinary	SWAP	Decreasing Long	286	10.9975  GBP
0.4p ordinary	SWAP	Decreasing Long	134,395	11.0009  GBP
0.4p ordinary	SWAP	Decreasing Long	47,532	11.0018  GBP
0.4p ordinary	SWAP	Decreasing Long	14,079	11.0050  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:				15 Aug 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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