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

Barclays PLC

30 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:			29 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:				3,485,071	0.73%	506,349	0.11%
(2) Cash-settled derivatives:				386,632	0.08%	3,181,266	0.67%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				3,871,703	0.82%	3,687,615	0.78%
(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	231000	11.1000  GBP	11.0200  GBP
0.4p ordinary	Sale	104172	11.0432  GBP	11.0150  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	100	11.0400  GBP
0.4p ordinary	CFD	Increasing Short	175	11.0209  GBP
0.4p ordinary	CFD	Increasing Short	4,958	11.0310  GBP
0.4p ordinary	CFD	Increasing Short	75	11.0368  GBP
0.4p ordinary	SWAP	Decreasing Short	7	11.0398  GBP
0.4p ordinary	SWAP	Decreasing Short	4,818	11.0312  GBP
0.4p ordinary	SWAP	Increasing Short	543	11.0786  GBP
0.4p ordinary	SWAP	Decreasing Short	33	11.0250  GBP
0.4p ordinary	SWAP	Increasing Short	728	11.0233  GBP
0.4p ordinary	SWAP	Increasing Short	112	11.0280  GBP
0.4p ordinary	SWAP	Increasing Short	56	11.0290  GBP
0.4p ordinary	SWAP	Decreasing Short	354	11.0200  GBP
0.4p ordinary	SWAP	Decreasing Short	35,511	11.0218  GBP
0.4p ordinary	SWAP	Decreasing Short	3,232	11.0247  GBP
0.4p ordinary	SWAP	Decreasing Short	1,327	11.0354  GBP
0.4p ordinary	SWAP	Decreasing Short	93	11.0900  GBP
0.4p ordinary	SWAP	Increasing Short	8,505	11.0200  GBP
0.4p ordinary	SWAP	Increasing Short	23,027	11.0364  GBP
0.4p ordinary	SWAP	Increasing Short	12,241	11.0401  GBP
0.4p ordinary	SWAP	Increasing Long	8,606	11.0219  GBP
0.4p ordinary	SWAP	Decreasing Long	619	11.0245  GBP
0.4p ordinary	SWAP	Decreasing Long	341	11.0305  GBP
0.4p ordinary	SWAP	Decreasing Long	262	11.0376  GBP
0.4p ordinary	SWAP	Decreasing Short	203	11.0318  GBP
0.4p ordinary	SWAP	Decreasing Short	4	11.0398  GBP
0.4p ordinary	SWAP	Increasing Long	1,778	11.0172  GBP
0.4p ordinary	SWAP	Increasing Long	11,136	11.0177  GBP
0.4p ordinary	SWAP	Increasing Long	8,289	11.0197  GBP
0.4p ordinary	SWAP	Decreasing Long	8,139	11.0200  GBP
0.4p ordinary	SWAP	Decreasing Long	1,765	11.0250  GBP
0.4p ordinary	SWAP	Increasing Short	6,608	11.0400  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:				30 Aug 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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