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

Barclays PLC

10 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:			09 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:				5,546,317	1.17%	162,122	0.03%
(2) Cash-settled derivatives:				312,227	0.07%	5,330,019	1.12%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				5,858,544	1.24%	5,492,141	1.16%
(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	1143800	10.8450  GBP	10.8146  GBP
0.4p ordinary	Sale	142188	10.8378  GBP	10.8217  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	4	10.8200  GBP
0.4p ordinary	SWAP	Decreasing Short	15,493	10.8217  GBP
0.4p ordinary	SWAP	Decreasing Short	1,711	10.8230  GBP
0.4p ordinary	SWAP	Decreasing Short	6	10.8249  GBP
0.4p ordinary	SWAP	Decreasing Short	1,012	10.8293  GBP
0.4p ordinary	SWAP	Decreasing Short	370	10.8314  GBP
0.4p ordinary	SWAP	Decreasing Short	5,085	10.8337  GBP
0.4p ordinary	SWAP	Decreasing Short	69	10.8350  GBP
0.4p ordinary	SWAP	Decreasing Short	45,888	10.8367  GBP
0.4p ordinary	SWAP	Decreasing Short	164	10.8378  GBP
0.4p ordinary	SWAP	Increasing Short	69,664	10.8276  GBP
0.4p ordinary	SWAP	Increasing Short	10,042	10.8291  GBP
0.4p ordinary	SWAP	Increasing Short	4,610	10.8296  GBP
0.4p ordinary	SWAP	Increasing Short	348,622	10.8304  GBP
0.4p ordinary	SWAP	Increasing Short	21,781	10.8308  GBP
0.4p ordinary	SWAP	Increasing Short	3,459	10.8321  GBP
0.4p ordinary	SWAP	Increasing Short	16,536	10.8350  GBP
0.4p ordinary	SWAP	Increasing Short	2,105	10.8354  GBP
0.4p ordinary	SWAP	Increasing Short	159	10.8450  GBP
0.4p ordinary	SWAP	Decreasing Long	100	10.8251  GBP
0.4p ordinary	CFD	Increasing Short	31,922	10.8146  GBP
0.4p ordinary	CFD	Increasing Short	31,373	10.8157  GBP
0.4p ordinary	CFD	Increasing Short	55,474	10.8171  GBP
0.4p ordinary	CFD	Increasing Short	100,000	10.8177  GBP
0.4p ordinary	CFD	Increasing Short	49,691	10.8221  GBP
0.4p ordinary	CFD	Increasing Short	50,000	10.8227  GBP
0.4p ordinary	CFD	Increasing Short	253,675	10.8260  GBP
0.4p ordinary	CFD	Increasing Short	25	10.8268  GBP
0.4p ordinary	CFD	Increasing Short	14,044	10.8320  GBP
0.4p ordinary	CFD	Increasing Short	7,930	10.8357  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:				10 Oct 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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