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

Barclays PLC

19 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:				16 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:			2,598,571	0.55%	827,851	0.17%
(2)	Cash-settled derivatives:
	and/or controlled:			719,983	0.15%	2,469,048	0.52%
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:			0	0.00%	0	0.00%
	TOTAL:			3,318,554	0.70%	3,296,899	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)	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		1,180,395		11.0500  GBP	10.9912  GBP
0.4p ordinary		Sale		208,718		11.0439  GBP	10.9925  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		268	11.0049  GBP
0.4p ordinary		CFD		Increasing Short		86	11.0010  GBP
0.4p ordinary		CFD		Increasing Short		7,718	11.0193  GBP
0.4p ordinary		SWAP		Decreasing Short		159	10.9950  GBP
0.4p ordinary		SWAP		Decreasing Short		44,040	10.9950  GBP
0.4p ordinary		SWAP		Decreasing Short		7,590	11.0342  GBP
0.4p ordinary		SWAP		Increasing Short		13,838	11.0075  GBP
0.4p ordinary		SWAP		Decreasing Short		131	11.0065  GBP
0.4p ordinary		SWAP		Increasing Short		57,547	10.9966  GBP
0.4p ordinary		SWAP		Increasing Short		440,327	11.0076  GBP
0.4p ordinary		SWAP		Increasing Short		425	10.9966  GBP
0.4p ordinary		SWAP		Increasing Short		3,235	11.0076  GBP
0.4p ordinary		SWAP		Increasing Short		469	11.0000  GBP
0.4p ordinary		SWAP		Decreasing Short		5	10.9900  GBP
0.4p ordinary		SWAP		Decreasing Short		25,292	10.9950  GBP
0.4p ordinary		SWAP		Decreasing Short		19,071	10.9965  GBP
0.4p ordinary		SWAP		Increasing Short		95,212	10.9958  GBP
0.4p ordinary		SWAP		Increasing Short		56,597	10.9961  GBP
0.4p ordinary		SWAP		Increasing Short		88,055	10.9992  GBP
0.4p ordinary		SWAP		Increasing Short		48,515	11.0048  GBP
0.4p ordinary		SWAP		Increasing Short		271	11.0150  GBP
0.4p ordinary		SWAP		Increasing Long		6,639	11.0018  GBP
0.4p ordinary		SWAP		Decreasing Long		29,722	11.0129  GBP
0.4p ordinary		SWAP		Decreasing Long		5,902	11.0295  GBP
0.4p ordinary		SWAP		Decreasing Long		11,525	11.0296  GBP
0.4p ordinary		SWAP		Decreasing Long		5,170	11.0389  GBP
0.4p ordinary		SWAP		Decreasing Short		90	10.9950  GBP
0.4p ordinary		SWAP		Decreasing Short		574	11.0076  GBP
0.4p ordinary		SWAP		Increasing Long		6,928	10.9993  GBP
0.4p ordinary		SWAP		Decreasing Long		44,212	10.9950  GBP
0.4p ordinary		SWAP		Decreasing Long		133,415	11.0053  GBP
0.4p ordinary		SWAP		Decreasing Long		28,715	11.0070  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:				19 Aug 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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