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

Barclays PLC

17 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				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:				16 Sep 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:			3,714,702	0.78%	344,983	0.07%
(2)	Cash-settled derivatives:
	and/or controlled:			521,048	0.11%	3,625,253	0.76%
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:			0	0.00%	0	0.00%
	TOTAL:			4,235,750	0.89%	3,970,236	0.84%
(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		95,244		11.0763  GBP	11.0550  GBP
0.4p ordinary		Sale		305,019		11.0877  GBP	11.0550  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		Decreasing Short		208,045	11.0550  GBP
0.4p ordinary		SWAP		Decreasing Short		56,947	11.0556  GBP
0.4p ordinary		SWAP		Decreasing Short		12,583	11.0582  GBP
0.4p ordinary		SWAP		Decreasing Short		228	11.0600  GBP
0.4p ordinary		SWAP		Decreasing Short		3,809	11.0601  GBP
0.4p ordinary		SWAP		Decreasing Short		64	11.0646  GBP
0.4p ordinary		SWAP		Decreasing Short		1,400	11.0666  GBP
0.4p ordinary		SWAP		Decreasing Short		100	11.0672  GBP
0.4p ordinary		SWAP		Decreasing Short		100	11.0698  GBP
0.4p ordinary		SWAP		Increasing Short		24,712	11.0550  GBP
0.4p ordinary		SWAP		Increasing Short		811	11.0596  GBP
0.4p ordinary		SWAP		Increasing Short		6,208	11.0599  GBP
0.4p ordinary		SWAP		Increasing Short		3,545	11.0622  GBP
0.4p ordinary		SWAP		Increasing Short		2,343	11.0639  GBP
0.4p ordinary		SWAP		Increasing Short		2,089	11.0642  GBP
0.4p ordinary		SWAP		Increasing Short		19	11.0650  GBP
0.4p ordinary		SWAP		Increasing Short		721	11.0658  GBP
0.4p ordinary		SWAP		Increasing Short		6,907	11.0663  GBP
0.4p ordinary		SWAP		Increasing Short		22,819	11.0668  GBP
0.4p ordinary		SWAP		Increasing Short		1,014	11.0763  GBP
0.4p ordinary		CFD		Decreasing Short		49	11.0877  GBP
0.4p ordinary		CFD		Increasing Short		2,279	11.0620  GBP
0.4p ordinary		CFD		Increasing Short		8	11.0675  GBP
0.4p ordinary		CFD		Increasing Short		713	11.0700  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:				17 Sep 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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