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

Barclays PLC
20 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

 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:

19 Sep 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:

4,316,230

0.91%

190,958

0.04%

(2) Cash-settled derivatives:

367,051

0.08%

4,036,022

0.85%

(3) Stock-settled derivatives (including options) and agreements to purchase/sell: 

0

0.00%

0

0.00%

 

 TOTAL:

 

4,683,281

0.99%

4,226,980

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)

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

1623427

11.0800  GBP

10.7517  GBP

0.4p ordinary

Sale

1011839

11.0875  GBP

11.0493  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

Decreasing Short

71

11.0540  GBP

0.4p ordinary

SWAP

Decreasing Short

4,623

11.0551  GBP

0.4p ordinary

SWAP

Decreasing Short

1,207

11.0568  GBP

0.4p ordinary

SWAP

Decreasing Short

888

11.0596  GBP

0.4p ordinary

SWAP

Decreasing Short

29

11.0597  GBP

0.4p ordinary

SWAP

Decreasing Short

7,288

11.0598  GBP

0.4p ordinary

SWAP

Decreasing Short

78

11.0600  GBP

0.4p ordinary

SWAP

Decreasing Short

40

11.0641  GBP

0.4p ordinary

SWAP

Decreasing Short

100

11.0788  GBP

0.4p ordinary

SWAP

Decreasing Short

23,120

11.0794  GBP

0.4p ordinary

SWAP

Decreasing Short

1,093

11.0800  GBP

0.4p ordinary

SWAP

Increasing Short

23,033

11.0577  GBP

0.4p ordinary

SWAP

Increasing Short

44,602

11.0588  GBP

0.4p ordinary

SWAP

Increasing Short

9,908

11.0601  GBP

0.4p ordinary

SWAP

Increasing Short

15,676

11.0610  GBP

0.4p ordinary

SWAP

Increasing Short

145,533

11.0611  GBP

0.4p ordinary

SWAP

Increasing Short

1,172

11.0630  GBP

0.4p ordinary

SWAP

Increasing Short

49,141

11.0646  GBP

0.4p ordinary

SWAP

Increasing Short

48,842

11.0772  GBP

0.4p ordinary

SWAP

Increasing Short

28,305

11.0792  GBP

0.4p ordinary

SWAP

Increasing Short

30,264

11.0799  GBP

0.4p ordinary

SWAP

Increasing Short

17,673

11.0800  GBP

0.4p ordinary

SWAP

Increasing Short

2,238

11.0805  GBP

0.4p ordinary

CFD

Decreasing Short

4

11.0875  GBP

0.4p ordinary

CFD

Increasing Short

3,361

11.0538  GBP

0.4p ordinary

CFD

Increasing Short

13,773

11.0547  GBP

0.4p ordinary

CFD

Increasing Short

473

11.0594  GBP

0.4p ordinary

CFD

Increasing Short

7,602

11.0605  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:

20 Sep 2024

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213

 

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