Form8.5(EPT/NON-RI) HARGREAVES LANSDOWN PLC Replac

Barclays PLC

26 September 2024

 

FORM 8.5 (EPT/NON-RI) - Amendment to 2a and 3a
Replaces form Released at 12/09/2024 11:16 RNS Number : 9769D
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:			11 Sep 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:				3,869,250	0.82%	435,658	0.09%
(2) Cash-settled derivatives:				592,791	0.12%	3,763,559	0.79%
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:				0	0.00%	0	0.00%
TOTAL:				4,462,041	0.94%	4,199,217	0.89%
(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	73867	11.0868  GBP	11.0563  GBP
0.4p ordinary	Sale	57570	11.0878  GBP	11.0500  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	4,807	11.0556  GBP
0.4p ordinary	SWAP	Decreasing Short	306	11.0614  GBP
0.4p ordinary	SWAP	Decreasing Short	1,185	11.0692  GBP
0.4p ordinary	SWAP	Decreasing Short	124	11.0700  GBP
0.4p ordinary	SWAP	Decreasing Short	180	11.0732  GBP
0.4p ordinary	SWAP	Decreasing Short	10,454	11.0747  GBP
0.4p ordinary	SWAP	Decreasing Short	203	11.0791  GBP
0.4p ordinary	SWAP	Decreasing Short	10,959	11.0800  GBP
0.4p ordinary	SWAP	Decreasing Short	116	11.0814  GBP
0.4p ordinary	SWAP	Increasing Short	970	11.0550  GBP
0.4p ordinary	SWAP	Increasing Short	5,896	11.0641  GBP
0.4p ordinary	SWAP	Increasing Short	4,539	11.0661  GBP
0.4p ordinary	SWAP	Increasing Short	4,519	11.0665  GBP
0.4p ordinary	SWAP	Increasing Short	3,734	11.0676  GBP
0.4p ordinary	SWAP	Increasing Short	6,943	11.0681  GBP
0.4p ordinary	SWAP	Increasing Short	403	11.0750  GBP
0.4p ordinary	SWAP	Increasing Short	2,658	11.0780  GBP
0.4p ordinary	SWAP	Increasing Short	2,469	11.0800  GBP
0.4p ordinary	SWAP	Increasing Short	324	11.0801  GBP
0.4p ordinary	SWAP	Increasing Short	1,421	11.0805  GBP
0.4p ordinary	SWAP	Increasing Short	1,633	11.0825  GBP
0.4p ordinary	SWAP	Increasing Short	22	11.1000  GBP
0.4p ordinary	CFD	Decreasing Short	720	11.0877  GBP
0.4p ordinary	CFD	Increasing Short	7,515	11.0759  GBP
0.4p ordinary	CFD	Increasing Short	223	11.0806  GBP
0.4p ordinary	CFD	Increasing Short	72	11.0868  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:				26 Sep 2024
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

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