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

Barclays PLC

27 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:			23 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:				3,312,728	0.70%	461,475	0.10%
(2) Cash-settled derivatives:				342,498	0.07%	3,182,570	0.67%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				3,655,226	0.77%	3,644,045	0.77%
(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	446951	11.0200  GBP	11.0000  GBP
0.4p ordinary	Sale	122351	11.0200  GBP	11.0000  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	CFD	Increasing Short	1,128	11.0006  GBP
0.4p ordinary	CFD	Increasing Short	58	11.0168  GBP
0.4p ordinary	SWAP	Decreasing Short	119	11.0049  GBP
0.4p ordinary	SWAP	Decreasing Short	1,828	11.0031  GBP
0.4p ordinary	SWAP	Increasing Short	11,288	11.0166  GBP
0.4p ordinary	SWAP	Increasing Short	41,817	11.0200  GBP
0.4p ordinary	SWAP	Decreasing Short	35	11.0049  GBP
0.4p ordinary	SWAP	Increasing Short	127,801	11.0008  GBP
0.4p ordinary	SWAP	Increasing Short	1	11.0000  GBP
0.4p ordinary	SWAP	Increasing Short	944	11.0008  GBP
0.4p ordinary	SWAP	Increasing Short	2,127	11.0050  GBP
0.4p ordinary	SWAP	Decreasing Short	3,691	11.0013  GBP
0.4p ordinary	SWAP	Decreasing Short	1,118	11.0058  GBP
0.4p ordinary	SWAP	Decreasing Short	20,774	11.0123  GBP
0.4p ordinary	SWAP	Increasing Short	478	11.0050  GBP
0.4p ordinary	SWAP	Increasing Short	6,370	11.0090  GBP
0.4p ordinary	SWAP	Increasing Short	66,615	11.0113  GBP
0.4p ordinary	SWAP	Increasing Short	5,106	11.0158  GBP
0.4p ordinary	SWAP	Increasing Short	44,718	11.0200  GBP
0.4p ordinary	SWAP	Increasing Long	19,186	11.0018  GBP
0.4p ordinary	SWAP	Decreasing Long	1,838	11.0050  GBP
0.4p ordinary	SWAP	Decreasing Long	3,072	11.0124  GBP
0.4p ordinary	SWAP	Decreasing Long	649	11.0156  GBP
0.4p ordinary	SWAP	Decreasing Long	751	11.0176  GBP
0.4p ordinary	SWAP	Decreasing Short	65	11.0050  GBP
0.4p ordinary	SWAP	Decreasing Short	237	11.0090  GBP
0.4p ordinary	SWAP	Decreasing Long	4,485	11.0078  GBP
0.4p ordinary	SWAP	Decreasing Long	16,243	11.0091  GBP
0.4p ordinary	SWAP	Decreasing Long	33,193	11.0200  GBP
0.4p ordinary	SWAP	Decreasing Short	1,423	11.0023  GBP
0.4p ordinary	SWAP	Decreasing Short	575	11.0050  GBP
0.4p ordinary	SWAP	Closing Short	1,596	11.0152  GBP
0.4p ordinary	SWAP	Decreasing Long	3,628	11.0200  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:				27-Aug-24
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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