Form 8.5 (EPT/NON-RI) - Hargreaves Replacement

Barclays PLC

17 January 2025

 

FORM 8.5 (EPT/NON-RI) - Amendment to 2a, 3a and 3b Replaces form Released at 15/01/2025 10:45 RNS Number : 4453T
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:			14 Jan 2025
(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:				10,430,468	2.19%	80,929	0.02%
(2) Cash-settled derivatives:				343,413	0.07%	9,906,891	2.08%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				10,773,881	2.27%	9,987,820	2.10%
(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	718499	11.0258  GBP	11.0138  GBP
0.4p ordinary	Sale	135387	11.0184  GBP	11.0125  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	Decreasing Short	752	11.0125  GBP
0.4p ordinary	SWAP	Decreasing Short	2,275	11.0143  GBP
0.4p ordinary	SWAP	Decreasing Short	3,390	11.0148  GBP
0.4p ordinary	SWAP	Decreasing Short	10,144	11.0149  GBP
0.4p ordinary	SWAP	Decreasing Short	11,306	11.0150  GBP
0.4p ordinary	SWAP	Decreasing Short	42	11.0153  GBP
0.4p ordinary	SWAP	Decreasing Short	8,802	11.0155  GBP
0.4p ordinary	SWAP	Decreasing Short	2,754	11.0184  GBP
0.4p ordinary	SWAP	Increasing Short	17,209	11.0150  GBP
0.4p ordinary	SWAP	Increasing Short	2,045	11.0151  GBP
0.4p ordinary	SWAP	Increasing Short	350,000	11.0167  GBP
0.4p ordinary	SWAP	Increasing Short	9,403	11.0154  GBP
0.4p ordinary	SWAP	Increasing Short	3,771	11.0157  GBP
0.4p ordinary	SWAP	Increasing Short	6,692	11.0158  GBP
0.4p ordinary	SWAP	Increasing Short	150,000	11.0168  GBP
0.4p ordinary	SWAP	Increasing Short	51,693	11.0190  GBP
0.4p ordinary	SWAP	Increasing Short	151	11.0200  GBP
0.4p ordinary	CFD	Decreasing Short	9,715	11.0150  GBP
0.4p ordinary	CFD	Increasing Short	8,849	11.0150  GBP
0.4p ordinary	CFD	Increasing Short	162	11.0258  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:				17 Jan 2025
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

END