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

Barclays PLC

29 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:				28 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:			3,339,739	0.70%	487,845	0.10%
(2)	Cash-settled derivatives:
	and/or controlled:			367,949	0.08%	3,169,720	0.67%
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:			0	0.00%	0	0.00%
	TOTAL:			3,707,688	0.78%	3,657,565	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)	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		274,024		11.0782  GBP	11.0125  GBP
0.4p ordinary		Sale		221,343		11.7500  GBP	11.0099  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		Decreasing Short		6,000	11.7500  GBP
0.4p ordinary		CFD		Increasing Short		4,153	11.0232  GBP
0.4p ordinary		SWAP		Decreasing Short		29	11.0148  GBP
0.4p ordinary		SWAP		Decreasing Short		6,612	11.0257  GBP
0.4p ordinary		SWAP		Decreasing Short		7,350	11.0400  GBP
0.4p ordinary		SWAP		Increasing Short		8,360	11.0255  GBP
0.4p ordinary		SWAP		Decreasing Short		72	11.0323  GBP
0.4p ordinary		SWAP		Increasing Short		48	11.0194  GBP
0.4p ordinary		SWAP		Decreasing Short		6,701	11.0157  GBP
0.4p ordinary		SWAP		Decreasing Short		2,355	11.0252  GBP
0.4p ordinary		SWAP		Decreasing Short		686	11.0300  GBP
0.4p ordinary		SWAP		Decreasing Short		15,307	11.0400  GBP
0.4p ordinary		SWAP		Increasing Short		67,235	11.0216  GBP
0.4p ordinary		SWAP		Increasing Short		4,343	11.0242  GBP
0.4p ordinary		SWAP		Increasing Short		539	11.0276  GBP
0.4p ordinary		SWAP		Increasing Short		22,124	11.0400  GBP
0.4p ordinary		SWAP		Increasing Short		19,461	11.0465  GBP
0.4p ordinary		SWAP		Increasing Long		258	11.0099  GBP
0.4p ordinary		SWAP		Decreasing Long		4,349	11.0202  GBP
0.4p ordinary		SWAP		Decreasing Long		3,445	11.0206  GBP
0.4p ordinary		SWAP		Decreasing Long		2,036	11.0254  GBP
0.4p ordinary		SWAP		Decreasing Long		317	11.0288  GBP
0.4p ordinary		SWAP		Closing Short		84,050	11.0398  GBP
0.4p ordinary		SWAP		Decreasing Short		15	11.0148  GBP
0.4p ordinary		SWAP		Decreasing Short		295	11.0273  GBP
0.4p ordinary		SWAP		Increasing Long		30,044	11.0367  GBP
0.4p ordinary		SWAP		Decreasing Long		19,363	11.0206  GBP
0.4p ordinary		SWAP		Decreasing Long		3,693	11.0221  GBP
0.4p ordinary		SWAP		Decreasing Long		24,341	11.0400  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:				29 Aug 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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