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

Barclays PLC

03 September 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:				02 Sep 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:			3,777,269	0.80%	498,696	0.11%
(2)	Cash-settled derivatives:
	and/or controlled:			668,608	0.14%	3,594,899	0.76%
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:			0	0.00%	0	0.00%
	TOTAL:			4,445,877	0.94%	4,093,595	0.86%
(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		418,235		11.0950  GBP	11.0299  GBP
0.4p ordinary		Sale		173,876		11.0950  GBP	11.0297  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		Opening Long		1,131	11.0297  GBP
0.4p ordinary		SWAP		Increasing Long		1,462	11.0300  GBP
0.4p ordinary		SWAP		Increasing Long		477	11.0400  GBP
0.4p ordinary		SWAP		Increasing Long		727	11.0446  GBP
0.4p ordinary		SWAP		Increasing Long		19,527	11.0498  GBP
0.4p ordinary		SWAP		Increasing Long		2,361	11.0500  GBP
0.4p ordinary		SWAP		Increasing Long		5,531	11.0505  GBP
0.4p ordinary		SWAP		Increasing Long		496	11.0510  GBP
0.4p ordinary		SWAP		Increasing Long		1,321	11.0537  GBP
0.4p ordinary		SWAP		Increasing Long		35	11.0541  GBP
0.4p ordinary		SWAP		Increasing Long		38	11.0547  GBP
0.4p ordinary		SWAP		Increasing Long		342	11.0550  GBP
0.4p ordinary		SWAP		Increasing Long		1,078	11.0568  GBP
0.4p ordinary		SWAP		Opening Short		113,581	11.0300  GBP
0.4p ordinary		SWAP		Increasing Short		2,540	11.0355  GBP
0.4p ordinary		SWAP		Increasing Short		1,620	11.0410  GBP
0.4p ordinary		SWAP		Increasing Short		314	11.0450  GBP
0.4p ordinary		SWAP		Increasing Short		102,973	11.0482  GBP
0.4p ordinary		SWAP		Increasing Short		20,283	11.0500  GBP
0.4p ordinary		SWAP		Increasing Short		362	11.0506  GBP
0.4p ordinary		SWAP		Increasing Short		5,255	11.0529  GBP
0.4p ordinary		SWAP		Increasing Short		3,474	11.0547  GBP
0.4p ordinary		SWAP		Increasing Short		1,143	11.0553  GBP
0.4p ordinary		SWAP		Increasing Short		691	11.0562  GBP
0.4p ordinary		SWAP		Increasing Short		10,974	11.0566  GBP
0.4p ordinary		SWAP		Increasing Short		1,680	11.0577  GBP
0.4p ordinary		SWAP		Increasing Short		802	11.0587  GBP
0.4p ordinary		CFD		Increasing Short		99	11.0510  GBP
0.4p ordinary		CFD		Increasing Short		30	11.0566  GBP
0.4p ordinary		CFD		Increasing Short		7,927	11.0595  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:				03 Sep 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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