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

Barclays PLC

28 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:				27 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:			3,313,401	0.70%	514,188	0.11%
(2)	Cash-settled derivatives:
	and/or controlled:			395,191	0.08%	3,172,929	0.67%
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:			0	0.00%	0	0.00%
	TOTAL:			3,708,592	0.78%	3,687,117	0.78%
(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		114,582		11.0263  GBP	11.0050  GBP
0.4p ordinary		Sale		166,622		11.0250  GBP	11.0074  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		CFD		Increasing Short		2,402	11.0093  GBP
0.4p ordinary		SWAP		Decreasing Short		15,089	11.0200  GBP
0.4p ordinary		SWAP		Decreasing Short		4,254	11.0211  GBP
0.4p ordinary		SWAP		Increasing Short		13,278	11.0110  GBP
0.4p ordinary		SWAP		Decreasing Short		82	11.0186  GBP
0.4p ordinary		SWAP		Increasing Short		2,134	11.0200  GBP
0.4p ordinary		SWAP		Decreasing Short		8,888	11.0112  GBP
0.4p ordinary		SWAP		Decreasing Short		492	11.0123  GBP
0.4p ordinary		SWAP		Decreasing Short		22,745	11.0126  GBP
0.4p ordinary		SWAP		Decreasing Short		9,169	11.0167  GBP
0.4p ordinary		SWAP		Decreasing Short		8,935	11.0194  GBP
0.4p ordinary		SWAP		Decreasing Short		359	11.1000  GBP
0.4p ordinary		SWAP		Increasing Short		20,533	11.0200  GBP
0.4p ordinary		SWAP		Increasing Short		112	11.0212  GBP
0.4p ordinary		SWAP		Increasing Short		12,741	11.0226  GBP
0.4p ordinary		SWAP		Increasing Short		9,518	11.0263  GBP
0.4p ordinary		SWAP		Increasing Long		9,048	11.0156  GBP
0.4p ordinary		SWAP		Decreasing Long		1,210	11.0200  GBP
0.4p ordinary		SWAP		Decreasing Short		346	11.0189  GBP
0.4p ordinary		SWAP		Increasing Long		5,906	11.0110  GBP
0.4p ordinary		SWAP		Increasing Long		8,858	11.0120  GBP
0.4p ordinary		SWAP		Increasing Long		40,352	11.0161  GBP
0.4p ordinary		SWAP		Decreasing Long		10,261	11.0200  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:				28 Aug 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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