Form 8.5 (EPT/NON-RI) - Hargreaves Lansdown plc

Barclays PLC
30 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:

29 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:

758,878

0.16%

3,869,673

0.82%

(2) Cash-settled derivatives:

3,749,113

0.79%

572,817

0.12%

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

0

0.00%

0

0.00%

 

 TOTAL:

 

4,507,991

0.95%

4,442,490

0.94%

 








(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

331451

11.0900  GBP

10.9978  GBP

0.4p ordinary

Sale

299069

11.0911  GBP

10.9965  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

100

11.0550  GBP

0.4p ordinary

CFD

Decreasing Short

12

11.0733  GBP

0.4p ordinary

CFD

Increasing Short

4,688

11.0231  GBP

0.4p ordinary

CFD

Increasing Short

25

11.0568  GBP

0.4p ordinary

SWAP

Increasing Short

175

11.0420  GBP

0.4p ordinary

SWAP

Increasing Long

15,699

11.0345  GBP

0.4p ordinary

SWAP

Increasing Long

3,367

11.0402  GBP

0.4p ordinary

SWAP

Increasing Long

705

11.0574  GBP

0.4p ordinary

SWAP

Increasing Long

118

11.0900  GBP

0.4p ordinary

SWAP

Decreasing Long

7,685

10.9988  GBP

0.4p ordinary

SWAP

Decreasing Long

24,331

11.0350  GBP

0.4p ordinary

SWAP

Decreasing Long

12,933

11.0379  GBP

0.4p ordinary

SWAP

Decreasing Long

26,463

11.0451  GBP

0.4p ordinary

SWAP

Decreasing Long

6,084

11.0475  GBP

0.4p ordinary

SWAP

Increasing Long

39,909

11.0097  GBP

0.4p ordinary

SWAP

Increasing Long

1,772

11.0220  GBP

0.4p ordinary

SWAP

Increasing Long

3,071

11.0248  GBP

0.4p ordinary

SWAP

Increasing Long

22,718

11.0349  GBP

0.4p ordinary

SWAP

Increasing Long

270

11.0378  GBP

0.4p ordinary

SWAP

Increasing Long

11,295

11.0457  GBP

0.4p ordinary

SWAP

Increasing Long

15

11.0699  GBP

0.4p ordinary

SWAP

Decreasing Long

9,530

11.0598  GBP

0.4p ordinary

SWAP

Decreasing Short

425

11.0703  GBP

0.4p ordinary

SWAP

Increasing Short

312

11.0403  GBP

0.4p ordinary

SWAP

Closing Long

193

11.0540  GBP

0.4p ordinary

SWAP

Increasing Long

95

11.0750  GBP

0.4p ordinary

SWAP

Decreasing Long

21,039

11.0350  GBP

0.4p ordinary

SWAP

Decreasing Long

10,296

11.0396  GBP

0.4p ordinary

SWAP

Decreasing Long

3,432

11.0501  GBP

0.4p ordinary

SWAP

Decreasing Long

4,314

10.6473  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 Jul 2024

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213

 

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