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

Barclays PLC

30 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:			29 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:				8,011,206	1.69%	89,728	0.02%
(2) Cash-settled derivatives:				306,511	0.06%	7,845,648	1.65%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				8,317,717	1.75%	7,935,376	1.67%
(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	449916	10.8924  GBP	10.8794  GBP
0.4p ordinary	Sale	246837	10.8852  GBP	10.8800  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	35,087	10.8648  GBP
0.4p ordinary	SWAP	Decreasing Short	560	10.8750  GBP
0.4p ordinary	SWAP	Decreasing Short	1	10.8800  GBP
0.4p ordinary	SWAP	Decreasing Short	10,205	10.8804  GBP
0.4p ordinary	SWAP	Decreasing Short	13,849	10.8815  GBP
0.4p ordinary	SWAP	Decreasing Short	34,116	10.8831  GBP
0.4p ordinary	SWAP	Decreasing Short	114,846	10.8837  GBP
0.4p ordinary	SWAP	Decreasing Short	3,663	10.8846  GBP
0.4p ordinary	SWAP	Decreasing Short	200	10.8848  GBP
0.4p ordinary	SWAP	Decreasing Short	19,916	10.8852  GBP
0.4p ordinary	SWAP	Increasing Short	13,433	10.8700  GBP
0.4p ordinary	SWAP	Increasing Short	44,558	10.8705  GBP
0.4p ordinary	SWAP	Increasing Short	14,352	10.8710  GBP
0.4p ordinary	SWAP	Increasing Short	120	10.8712  GBP
0.4p ordinary	SWAP	Increasing Short	28,095	10.8800  GBP
0.4p ordinary	SWAP	Increasing Short	12,113	10.8820  GBP
0.4p ordinary	SWAP	Increasing Short	2,612	10.8832  GBP
0.4p ordinary	SWAP	Increasing Short	11,964	10.8841  GBP
0.4p ordinary	SWAP	Increasing Short	2,221	10.8850  GBP
0.4p ordinary	SWAP	Increasing Short	1,638	10.8876  GBP
0.4p ordinary	SWAP	Increasing Short	11,230	10.8888  GBP
0.4p ordinary	SWAP	Increasing Short	3,095	10.8900  GBP
0.4p ordinary	SWAP	Increasing Short	2,187	10.8908  GBP
0.4p ordinary	SWAP	Increasing Short	297,388	10.8924  GBP
0.4p ordinary	SWAP	Decreasing Long	200	10.8851  GBP
0.4p ordinary	CFD	Increasing Short	16,131	10.8871  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:				30 Oct 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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