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

Barclays PLC
16 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:

15 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:

804,384

0.17%

4,617,058

0.97%

(2) Cash-settled derivatives:

4,478,630

0.94%

602,161

0.13%

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

0

0.00%

0

0.00%

 

 TOTAL:

 

5,283,014

1.11%

5,219,219

1.10%

 








(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

118585

11.1200  GBP

10.9950  GBP

0.4p ordinary

Sale

100202

11.1205  GBP

11.0124  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

Increasing Short

7,800

11.1200  GBP

0.4p ordinary

SWAP

Decreasing Short

845

11.0277  GBP

0.4p ordinary

SWAP

Opening Long

23

11.0095  GBP

0.4p ordinary

SWAP

Increasing Long

8,183

11.0492  GBP

0.4p ordinary

SWAP

Decreasing Long

2

11.0500  GBP

0.4p ordinary

SWAP

Decreasing Long

8,130

11.0540  GBP

0.4p ordinary

SWAP

Increasing Long

1,455

11.0124  GBP

0.4p ordinary

SWAP

Increasing Long

5,643

11.0409  GBP

0.4p ordinary

SWAP

Increasing Long

151

11.0450  GBP

0.4p ordinary

SWAP

Increasing Long

1,488

11.1000  GBP

0.4p ordinary

SWAP

Increasing Long

12,821

11.1200  GBP

0.4p ordinary

SWAP

Decreasing Long

1,094

11.0267  GBP

0.4p ordinary

SWAP

Decreasing Long

731

11.0294  GBP

0.4p ordinary

SWAP

Decreasing Long

10,473

11.0297  GBP

0.4p ordinary

SWAP

Decreasing Long

250

11.0300  GBP

0.4p ordinary

SWAP

Decreasing Long

277

11.0350  GBP

0.4p ordinary

SWAP

Decreasing Long

1,985

11.0351  GBP

0.4p ordinary

SWAP

Increasing Long

3,025

11.0337  GBP

0.4p ordinary

SWAP

Increasing Long

288

11.0382  GBP

0.4p ordinary

SWAP

Increasing Long

1,715

11.0449  GBP

0.4p ordinary

SWAP

Increasing Long

57

11.0499  GBP

0.4p ordinary

SWAP

Increasing Long

5,289

11.1199  GBP

0.4p ordinary

SWAP

Decreasing Long

10

11.0500  GBP

0.4p ordinary

SWAP

Decreasing Long

2,225

11.1200  GBP

0.4p ordinary

SWAP

Decreasing Short

142

11.0119  GBP

0.4p ordinary

SWAP

Decreasing Short

470

11.0277  GBP

0.4p ordinary

SWAP

Decreasing Long

2,810

11.0122  GBP

0.4p ordinary

SWAP

Decreasing Long

9,417

11.0762  GBP

0.4p ordinary

SWAP

Decreasing Long

3,673

11.1182  GBP

0.4p ordinary

SWAP

Decreasing Long

9,278

11.0876  GBP

0.4p ordinary

SWAP

Increasing Long

4,144

11.1200  GBP

0.4p ordinary

SWAP

Decreasing Long

2,311

11.0321  GBP

0.4p ordinary

SWAP

Decreasing Long

1,930

11.0393  GBP

0.4p ordinary

SWAP

Decreasing Long

606

11.0457  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:

16 Jul 2024

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213

 

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