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

Barclays PLC

20 December 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 Dec 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:			9,151,973	1.93%	145,553	0.03%
(2)	Cash-settled derivatives:
	and/or controlled:			412,375	0.09%	8,724,100	1.84%
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:			0	0.00%	0	0.00%
	TOTAL:			9,564,348	2.02%	8,869,653	1.87%
(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		143,397		10.9722  GBP	10.9450  GBP
0.4p ordinary		Sale		1,010,451		10.9500  GBP	10.9422  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		20,872	10.9443  GBP
0.4p ordinary		SWAP		Decreasing Short		29,330	10.9444  GBP
0.4p ordinary		SWAP		Decreasing Short		129,002	10.9450  GBP
0.4p ordinary		SWAP		Decreasing Short		2,333	10.9454  GBP
0.4p ordinary		SWAP		Decreasing Short		16,166	10.9458  GBP
0.4p ordinary		SWAP		Decreasing Short		20,060	10.9459  GBP
0.4p ordinary		SWAP		Decreasing Short		2,109	10.9461  GBP
0.4p ordinary		SWAP		Decreasing Short		9,746	10.9462  GBP
0.4p ordinary		SWAP		Decreasing Short		10,640	10.9465  GBP
0.4p ordinary		SWAP		Decreasing Short		7,278	10.9469  GBP
0.4p ordinary		SWAP		Decreasing Short		6,130	10.9482  GBP
0.4p ordinary		SWAP		Decreasing Short		5,397	10.9496  GBP
0.4p ordinary		SWAP		Decreasing Short		183	10.9498  GBP
0.4p ordinary		SWAP		Decreasing Short		722,044	10.9500  GBP
0.4p ordinary		SWAP		Decreasing Short		140	10.9600  GBP
0.4p ordinary		SWAP		Increasing Short		27,956	10.9450  GBP
0.4p ordinary		SWAP		Increasing Short		316	10.9463  GBP
0.4p ordinary		SWAP		Increasing Short		63,896	10.9482  GBP
0.4p ordinary		SWAP		Increasing Short		7,788	10.9492  GBP
0.4p ordinary		SWAP		Increasing Short		15,330	10.9548  GBP
0.4p ordinary		SWAP		Increasing Short		110	10.9550  GBP
0.4p ordinary		SWAP		Increasing Short		1,071	10.9642  GBP
0.4p ordinary		CFD		Decreasing Short		6,000	10.9469  GBP
0.4p ordinary		CFD		Decreasing Short		122	10.9590  GBP
0.4p ordinary		CFD		Increasing Short		122	10.9509  GBP
0.4p ordinary		CFD		Increasing Short		958	10.9542  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 Dec 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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