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

Barclays PLC

20 August 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				HARGREAVES LANSDOWN PLC
	relevant securities this form relates:
(c)	Name of the party to the offer with which exempt				HARGREAVES LANSDOWN PLC
	principal trader is connected
(d)	Date position held/dealing undertaken:				19 Aug 2024
(e)	In addition to the company in 1(b) above, is the exempt principal				NO
	trader making disclosures in respect of any other party to the offer?
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:			2,945,361	0.62%	677,317	0.14%
(2)	Cash-settled derivatives:
	and/or controlled:			569,455	0.12%	2,820,393	0.59%
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:			0	0.00%	0	0.00%
	TOTAL:			3,514,816	0.74%	3,497,710	0.74%
(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)	Purchases and sales
Class of relevant		Purchase/sale		Total number of		Highest price per unit	Lowest price per unit
security				securities		paid/received	paid/received
0.4p ordinary		Purchase		589,244		11.0225  GBP	10.9948  GBP
0.4p ordinary		Sale		91,920		11.0200  GBP	11.0002  GBP
(b)	Cash-settled derivative transactions
Class of		Product		Nature of dealing		Number of	Price per
relevant		description				reference	unit
security						securities
0.4p ordinary		SWAP		Increasing Short		220	11.0163  GBP
0.4p ordinary		CFD		Increasing Short		51,315	11.0100  GBP
0.4p ordinary		CFD		Increasing Short		200	11.0206  GBP
0.4p ordinary		SWAP		Decreasing Short		1,576	11.0073  GBP
0.4p ordinary		SWAP		Decreasing Short		3,287	11.0134  GBP
0.4p ordinary		SWAP		Increasing Short		104,586	11.0098  GBP
0.4p ordinary		SWAP		Increasing Short		7,360	11.0100  GBP
0.4p ordinary		SWAP		Decreasing Short		34	11.0250  GBP
0.4p ordinary		SWAP		Increasing Short		6,853	10.9948  GBP
0.4p ordinary		SWAP		Increasing Short		50	10.9948  GBP
0.4p ordinary		SWAP		Decreasing Short		1,874	11.0002  GBP
0.4p ordinary		SWAP		Decreasing Short		444	11.0015  GBP
0.4p ordinary		SWAP		Decreasing Short		510	11.0050  GBP
0.4p ordinary		SWAP		Decreasing Short		7,035	11.0100  GBP
0.4p ordinary		SWAP		Increasing Short		28,217	11.0052  GBP
0.4p ordinary		SWAP		Increasing Short		24,629	11.0057  GBP
0.4p ordinary		SWAP		Increasing Short		118,017	11.0099  GBP
0.4p ordinary		SWAP		Increasing Short		1,133	11.0119  GBP
0.4p ordinary		SWAP		Increasing Short		1,203	11.0120  GBP
0.4p ordinary		SWAP		Increasing Short		19,477	11.0136  GBP
0.4p ordinary		SWAP		Increasing Short		3,359	11.0184  GBP
0.4p ordinary		SWAP		Increasing Long		5,615	11.0077  GBP
0.4p ordinary		SWAP		Decreasing Long		3,214	11.0022  GBP
0.4p ordinary		SWAP		Decreasing Long		1,746	11.0068  GBP
0.4p ordinary		SWAP		Opening Short		6,787	11.0071  GBP
0.4p ordinary		SWAP		Decreasing Short		885	11.0073  GBP
0.4p ordinary		SWAP		Decreasing Short		367	11.0078  GBP
0.4p ordinary		SWAP		Increasing Long		398	11.0003  GBP
0.4p ordinary		SWAP		Decreasing Long		3,410	11.0081  GBP
0.4p ordinary		SWAP		Decreasing Long		113,299	11.0100  GBP
0.4p ordinary		SWAP		Decreasing Long		20,610	11.0138  GBP
0.4p ordinary		SWAP		Decreasing Long		6,404	11.0144  GBP
0.4p ordinary		SWAP		Increasing Short		1,809	10.9950  GBP
(c)	Stock-settled derivative transactions (including options)
(i)	Writing, selling, purchasing or varying
Class	Product	Writing,	Number	Exercise	Type	Expiry	Option
of	description	purchasing,	of	price		date	money
relevant		selling,	securities	per unit			paid/
security		varying etc	to which				received
			option				per unit
			relates
(ii)	Exercising
Class of relevant		Product description		Exercising/ exercised against		Number of	Exercise price per
security						securities	unit
(d)	Other dealings (including subscribing for new securities)
Class of relevant		Nature of Dealings		Details		Price per unit (if
security						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:				20 Aug 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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