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

Barclays PLC

22 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:			21 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:				2,938,874	0.62%	580,994	0.12%
(2) Cash-settled derivatives:				453,431	0.10%	2,816,722	0.59%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				3,392,305	0.72%	3,397,716	0.72%
(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	301944	11.0105  GBP	10.9977  GBP
0.4p ordinary	Sale	248155	11.0150  GBP	10.9900  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	Decreasing Short	1,576	11.0014  GBP
0.4p ordinary	SWAP	Decreasing Short	18,561	11.0000  GBP
0.4p ordinary	SWAP	Decreasing Short	3,080	11.0007  GBP
0.4p ordinary	SWAP	Increasing Short	6,294	10.9985  GBP
0.4p ordinary	SWAP	Decreasing Short	63	10.9972  GBP
0.4p ordinary	SWAP	Increasing Short	20,218	10.9999  GBP
0.4p ordinary	SWAP	Increasing Short	149	10.9999  GBP
0.4p ordinary	SWAP	Decreasing Short	1,160	10.9909  GBP
0.4p ordinary	SWAP	Decreasing Short	5,495	10.9957  GBP
0.4p ordinary	SWAP	Decreasing Short	28,844	11.0000  GBP
0.4p ordinary	SWAP	Decreasing Short	6,342	11.0005  GBP
0.4p ordinary	SWAP	Decreasing Short	17	11.0250  GBP
0.4p ordinary	SWAP	Increasing Short	4,397	10.9996  GBP
0.4p ordinary	SWAP	Increasing Short	36,897	11.0000  GBP
0.4p ordinary	SWAP	Increasing Short	8,053	11.0011  GBP
0.4p ordinary	SWAP	Increasing Short	17,550	11.0079  GBP
0.4p ordinary	SWAP	Increasing Long	7,676	10.9984  GBP
0.4p ordinary	SWAP	Decreasing Long	263	11.0050  GBP
0.4p ordinary	SWAP	Decreasing Short	292	10.9991  GBP
0.4p ordinary	SWAP	Decreasing Short	886	11.0014  GBP
0.4p ordinary	SWAP	Increasing Long	28,424	10.9999  GBP
0.4p ordinary	SWAP	Increasing Long	986	11.0000  GBP
0.4p ordinary	SWAP	Decreasing Long	4,034	10.9993  GBP
0.4p ordinary	SWAP	Decreasing Long	39,625	11.0000  GBP
0.4p ordinary	SWAP	Decreasing Long	3,285	11.0009  GBP
0.4p ordinary	SWAP	Decreasing Long	34,318	11.0016  GBP
0.4p ordinary	SWAP	Increasing Short	3,132	11.0500  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:				22 Aug 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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