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

Barclays PLC
11 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:


10 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:



3,853,492

0.81%

436,197

0.09%

(2)

Cash-settled derivatives:






and/or controlled:



614,226

0.13%

3,769,042

0.79%

(3)

Stock-settled derivatives (including options)






and agreements to purchase/sell:



0

0.00%

0

0.00%










TOTAL:



4,467,718

0.94%

4,205,239

0.89%

(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

255,868

11.0794  GBP

11.0450  GBP

0.4p ordinary

Sale

131,764

11.0700  GBP

11.0450  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

35

11.0491  GBP

0.4p ordinary

SWAP

Decreasing Short

5,958

11.0531  GBP

0.4p ordinary

SWAP

Decreasing Short

300

11.0565  GBP

0.4p ordinary

SWAP

Decreasing Short

468

11.0571  GBP

0.4p ordinary

SWAP

Decreasing Short

4,661

11.0586  GBP

0.4p ordinary

SWAP

Decreasing Short

12,605

11.0590  GBP

0.4p ordinary

SWAP

Decreasing Short

19,321

11.0600  GBP

0.4p ordinary

SWAP

Decreasing Short

1,045

11.0608  GBP

0.4p ordinary

SWAP

Decreasing Short

143

11.0632  GBP

0.4p ordinary

SWAP

Decreasing Short

43

11.0850  GBP

0.4p ordinary

SWAP

Increasing Short

7,181

11.0529  GBP

0.4p ordinary

SWAP

Increasing Short

50

11.0550  GBP

0.4p ordinary

SWAP

Increasing Short

10,689

11.0574  GBP

0.4p ordinary

SWAP

Increasing Short

34,685

11.0579  GBP

0.4p ordinary

SWAP

Increasing Short

14,141

11.0584  GBP

0.4p ordinary

SWAP

Increasing Short

3,951

11.0596  GBP

0.4p ordinary

SWAP

Increasing Short

9,075

11.0599  GBP

0.4p ordinary

SWAP

Increasing Short

47,868

11.0600  GBP

0.4p ordinary

SWAP

Increasing Short

10

11.0601  GBP

0.4p ordinary

SWAP

Increasing Short

2,545

11.0603  GBP

0.4p ordinary

SWAP

Increasing Short

2,649

11.0605  GBP

0.4p ordinary

SWAP

Increasing Short

89

11.0607  GBP

0.4p ordinary

SWAP

Increasing Short

59,110

11.0667  GBP

0.4p ordinary

SWAP

Increasing Short

450

11.0700  GBP

0.4p ordinary

SWAP

Increasing Short

1,318

11.0993  GBP

0.4p ordinary

CFD

Decreasing Short

52

11.0840  GBP

0.4p ordinary

CFD

Increasing Short

52

11.0509  GBP

0.4p ordinary

CFD

Increasing Short

8,319

11.0591  GBP

0.4p ordinary

CFD

Increasing Short

8,814

11.0594  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:

11 Sep 2024

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213

























 

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