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

Barclays PLC

04 October 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:			03 Oct 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:				4,475,932	0.94%	430,197	0.09%
(2) Cash-settled derivatives:				571,499	0.12%	4,152,815	0.88%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				5,047,431	1.06%	4,583,012	0.97%
(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	99164	10.8500  GBP	10.8250  GBP
0.4p ordinary	Sale	63785	10.8500  GBP	10.8266  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	1,437	10.8266  GBP
0.4p ordinary	SWAP	Decreasing Short	986	10.8309  GBP
0.4p ordinary	SWAP	Decreasing Short	12,469	10.8320  GBP
0.4p ordinary	SWAP	Decreasing Short	2,509	10.8323  GBP
0.4p ordinary	SWAP	Decreasing Short	2,626	10.8334  GBP
0.4p ordinary	SWAP	Decreasing Short	300	10.8348  GBP
0.4p ordinary	SWAP	Decreasing Short	1,238	10.8351  GBP
0.4p ordinary	SWAP	Decreasing Short	3,176	10.8357  GBP
0.4p ordinary	SWAP	Decreasing Short	72	10.8366  GBP
0.4p ordinary	SWAP	Decreasing Short	355	10.8400  GBP
0.4p ordinary	SWAP	Decreasing Short	2,160	10.8411  GBP
0.4p ordinary	SWAP	Decreasing Short	270	10.8450  GBP
0.4p ordinary	SWAP	Decreasing Short	3,369	10.8466  GBP
0.4p ordinary	SWAP	Decreasing Short	10,679	10.8468  GBP
0.4p ordinary	SWAP	Decreasing Short	3,409	10.8494  GBP
0.4p ordinary	SWAP	Decreasing Short	9,271	10.8500  GBP
0.4p ordinary	SWAP	Increasing Short	7,730	10.8289  GBP
0.4p ordinary	SWAP	Increasing Short	2,001	10.8353  GBP
0.4p ordinary	SWAP	Increasing Short	583	10.8399  GBP
0.4p ordinary	SWAP	Increasing Short	1,172	10.8409  GBP
0.4p ordinary	SWAP	Increasing Short	10,325	10.8436  GBP
0.4p ordinary	SWAP	Increasing Short	11,002	10.8499  GBP
0.4p ordinary	SWAP	Increasing Short	21,441	10.8500  GBP
0.4p ordinary	CFD	Increasing Short	5,179	10.8331  GBP
0.4p ordinary	CFD	Increasing Short	333	10.8406  GBP
0.4p ordinary	CFD	Increasing Short	149	10.8418  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:				04 Oct 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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