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

Barclays PLC
04 July 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 Jul 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:

774,810

0.16%

5,225,563

1.10%

(2) Cash-settled derivatives:

5,100,229

1.08%

635,355

0.13%

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

0

0.00%

0

0.00%

 

 TOTAL:

 

5,875,039

1.24%

5,860,918

1.24%

 








(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

455056

11.2457  GBP

11.1494  GBP

0.4p ordinary

Sale

269135

11.2400  GBP

11.1499  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

5,800

11.1500  GBP

0.4p ordinary

CFD

Increasing Short

7,133

11.1510  GBP

0.4p ordinary

CFD

Increasing Short

3,366

11.1886  GBP

0.4p ordinary

SWAP

Increasing Short

20

11.2351  GBP

0.4p ordinary

SWAP

Decreasing Long

279

11.2100  GBP

0.4p ordinary

SWAP

Decreasing Long

22,630

11.1518  GBP

0.4p ordinary

SWAP

Increasing Long

23,007

11.1500  GBP

0.4p ordinary

SWAP

Increasing Long

60

11.2000  GBP

0.4p ordinary

SWAP

Increasing Long

806

11.2111  GBP

0.4p ordinary

SWAP

Increasing Long

507

11.2224  GBP

0.4p ordinary

SWAP

Decreasing Long

72,474

11.1500  GBP

0.4p ordinary

SWAP

Decreasing Long

9,385

11.1857  GBP

0.4p ordinary

SWAP

Decreasing Long

70,006

11.2041  GBP

0.4p ordinary

SWAP

Decreasing Long

1,850

11.2071  GBP

0.4p ordinary

SWAP

Decreasing Long

1,358

11.2266  GBP

0.4p ordinary

SWAP

Opening Long

15,687

11.1499  GBP

0.4p ordinary

SWAP

Increasing Long

794

11.1752  GBP

0.4p ordinary

SWAP

Increasing Long

104

11.1899  GBP

0.4p ordinary

SWAP

Increasing Long

4,290

11.2066  GBP

0.4p ordinary

SWAP

Increasing Long

12,033

11.2121  GBP

0.4p ordinary

SWAP

Increasing Long

2,359

11.2182  GBP

0.4p ordinary

SWAP

Decreasing Long

3,573

11.1500  GBP

0.4p ordinary

SWAP

Decreasing Long

14,826

11.2006  GBP

0.4p ordinary

SWAP

Decreasing Long

2,503

11.2403  GBP

0.4p ordinary

SWAP

Decreasing Long

377

11.2457  GBP

0.4p ordinary

SWAP

Increasing Short

125

11.2341  GBP

0.4p ordinary

SWAP

Decreasing Long

2,240

11.1502  GBP

0.4p ordinary

SWAP

Decreasing Long

6,384

11.1625  GBP

0.4p ordinary

SWAP

Decreasing Long

1,190

11.1921  GBP

0.4p ordinary

SWAP

Decreasing Long

2,682

11.2065  GBP

0.4p ordinary

SWAP

Decreasing Long

60,416

11.1500  GBP

0.4p ordinary

SWAP

Decreasing Long

14,539

11.1600  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 Jul 2024

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213

 

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