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

Barclays PLC

02 September 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:			30 Aug 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:				3,556,873	0.75%	522,659	0.11%
(2) Cash-settled derivatives:				379,871	0.08%	3,140,426	0.66%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				3,936,744	0.83%	3,663,085	0.77%
(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	539721	11.1100  GBP	11.0200  GBP
0.4p ordinary	Sale	484229	11.1100  GBP	11.0150  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	11.0450  GBP
0.4p ordinary	CFD	Decreasing Short	24,648	11.1089  GBP
0.4p ordinary	CFD	Increasing Short	5,607	11.0273  GBP
0.4p ordinary	CFD	Increasing Short	551	11.0441  GBP
0.4p ordinary	SWAP	Decreasing Short	2,237	11.0375  GBP
0.4p ordinary	SWAP	Increasing Short	58,445	11.1027  GBP
0.4p ordinary	SWAP	Decreasing Short	32	11.0400  GBP
0.4p ordinary	SWAP	Increasing Short	25,776	11.0308  GBP
0.4p ordinary	SWAP	Increasing Short	172	11.0308  GBP
0.4p ordinary	SWAP	Increasing Short	16	11.0355  GBP
0.4p ordinary	SWAP	Decreasing Short	15,714	11.0265  GBP
0.4p ordinary	SWAP	Decreasing Short	556	11.0356  GBP
0.4p ordinary	SWAP	Decreasing Short	48,213	11.1074  GBP
0.4p ordinary	SWAP	Decreasing Short	26,433	11.1098  GBP
0.4p ordinary	SWAP	Decreasing Short	4,488	11.1100  GBP
0.4p ordinary	SWAP	Increasing Short	62,275	11.0293  GBP
0.4p ordinary	SWAP	Increasing Short	3,087	11.0308  GBP
0.4p ordinary	SWAP	Increasing Short	1,715	11.0324  GBP
0.4p ordinary	SWAP	Increasing Short	699	11.0344  GBP
0.4p ordinary	SWAP	Increasing Long	1,097	11.0230  GBP
0.4p ordinary	SWAP	Decreasing Long	171	11.0245  GBP
0.4p ordinary	SWAP	Decreasing Long	150	11.0271  GBP
0.4p ordinary	SWAP	Decreasing Long	5,748	11.0321  GBP
0.4p ordinary	SWAP	Decreasing Long	985	11.0464  GBP
0.4p ordinary	SWAP	Decreasing Short	109	11.0316  GBP
0.4p ordinary	SWAP	Increasing Long	14,677	11.1100  GBP
0.4p ordinary	SWAP	Decreasing Long	2,296	11.0287  GBP
0.4p ordinary	SWAP	Decreasing Long	13,185	11.0302  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:				02 Sep 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

END