REG - Barclays PLC Hargreaves Lansdown - Form 8.5 (EPT/NON-RI) HARGREAVES LANSDOWN PLC

BarclaysAnnouncement

10/10/2024 12:00

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RNS Number : 7338H  Barclays PLC  10 October 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:                                               09 Oct 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:                                                        5,546,317     1.17%         162,122       0.03%
 (2) Cash-settled derivatives:                                                                           312,227       0.07%         5,330,019     1.12%
 (3) Stock-settled derivatives (including options) and agreements to                                     0             0.00%         0             0.00%
 purchase/sell:
                                                                                                         5,858,544     1.24%         5,492,141     1.16%

 TOTAL:

 

 (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  Purchase/sale              Total number of                Highest price per unit     Lowest price per unit

 security
 securities
 paid/received
 paid/received
 0.4p ordinary      Purchase                   1143800                        10.8450  GBP               10.8146  GBP
 0.4p ordinary      Sale                       142188                         10.8378  GBP               10.8217  GBP

 (b)                Cash-settled derivative transactions
 Class of           Product  description       Nature of dealing              Number of                  Price per

 relevant
 reference
 unit

 security
 securities
 0.4p ordinary      SWAP                       Decreasing Short               4                          10.8200  GBP
 0.4p ordinary      SWAP                       Decreasing Short               15,493                     10.8217  GBP
 0.4p ordinary      SWAP                       Decreasing Short               1,711                      10.8230  GBP
 0.4p ordinary      SWAP                       Decreasing Short               6                          10.8249  GBP
 0.4p ordinary      SWAP                       Decreasing Short               1,012                      10.8293  GBP
 0.4p ordinary      SWAP                       Decreasing Short               370                        10.8314  GBP
 0.4p ordinary      SWAP                       Decreasing Short               5,085                      10.8337  GBP
 0.4p ordinary      SWAP                       Decreasing Short               69                         10.8350  GBP
 0.4p ordinary      SWAP                       Decreasing Short               45,888                     10.8367  GBP
 0.4p ordinary      SWAP                       Decreasing Short               164                        10.8378  GBP
 0.4p ordinary      SWAP                       Increasing Short               69,664                     10.8276  GBP
 0.4p ordinary      SWAP                       Increasing Short               10,042                     10.8291  GBP
 0.4p ordinary      SWAP                       Increasing Short               4,610                      10.8296  GBP
 0.4p ordinary      SWAP                       Increasing Short               348,622                    10.8304  GBP
 0.4p ordinary      SWAP                       Increasing Short               21,781                     10.8308  GBP
 0.4p ordinary      SWAP                       Increasing Short               3,459                      10.8321  GBP
 0.4p ordinary      SWAP                       Increasing Short               16,536                     10.8350  GBP
 0.4p ordinary      SWAP                       Increasing Short               2,105                      10.8354  GBP
 0.4p ordinary      SWAP                       Increasing Short               159                        10.8450  GBP
 0.4p ordinary      SWAP                       Decreasing Long                100                        10.8251  GBP
 0.4p ordinary      CFD                        Increasing Short               31,922                     10.8146  GBP
 0.4p ordinary      CFD                        Increasing Short               31,373                     10.8157  GBP
 0.4p ordinary      CFD                        Increasing Short               55,474                     10.8171  GBP
 0.4p ordinary      CFD                        Increasing Short               100,000                    10.8177  GBP
 0.4p ordinary      CFD                        Increasing Short               49,691                     10.8221  GBP
 0.4p ordinary      CFD                        Increasing Short               50,000                     10.8227  GBP
 0.4p ordinary      CFD                        Increasing Short               253,675                    10.8260  GBP
 0.4p ordinary      CFD                        Increasing Short               25                         10.8268  GBP
 0.4p ordinary      CFD                        Increasing Short               14,044                     10.8320  GBP
 0.4p ordinary      CFD                        Increasing Short               7,930                      10.8357  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:                                                                                     10 Oct 2024
 Contact name:                                                                                           Large Holdings Regulatory Operations
 Telephone number:                                                                                       020 3134 7213

 

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