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

FORM 8.5 (EPT/NON-RI) - Amendment to 2a and 3aReplaces form Released at 12/08/2024 11:51 RNS Number : 1109A

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:

09 Aug 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:

1,378,078

0.23%

2,654,992

0.56%

(2) Cash-settled derivatives:

2,247,936

0.47%

938,529

0.20%

(3) Stock-settled derivatives (including options) and agreements to purchase/sell: 

0

0.00%

0

0.00%

TOTAL: 

3,340,945

0.70%

3,593,521

0.76%

(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

1547625

11.0275 GBP

10.9880 GBP

0.4p ordinary

Sale

984979

11.0210 GBP

10.9550 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

2,100

11.0200 GBP

0.4p ordinary

CFD

Decreasing Short

2,500

11.0090 GBP

0.4p ordinary

CFD

Decreasing Short

580

11.0490 GBP

0.4p ordinary

CFD

Increasing Short

74

10.9879 GBP

0.4p ordinary

CFD

Increasing Short

118,559

11.0015 GBP

0.4p ordinary

CFD

Increasing Short

52,778

11.0046 GBP

0.4p ordinary

CFD

Increasing Short

11,217

11.0080 GBP

0.4p ordinary

CFD

Increasing Short

6,120

11.0139 GBP

0.4p ordinary

CFD

Increasing Short

2,501

11.0156 GBP

0.4p ordinary

CFD

Increasing Short

600

11.0210 GBP

0.4p ordinary

CFD

Increasing Short

6,727

11.0230 GBP

0.4p ordinary

CFD

Increasing Short

2,499

11.0259 GBP

0.4p ordinary

SWAP

Decreasing Short

12,736

11.0017 GBP

0.4p ordinary

SWAP

Decreasing Short

30,383

11.0118 GBP

0.4p ordinary

SWAP

Increasing Short

99

11.0001 GBP

0.4p ordinary

SWAP

Increasing Short

33,607

11.0200 GBP

0.4p ordinary

SWAP

Increasing Short

154,912

11.0204 GBP

0.4p ordinary

SWAP

Increasing Short

1,575

11.0200 GBP

0.4p ordinary

SWAP

Increasing Long

127,351

11.0072 GBP

0.4p ordinary

SWAP

Increasing Long

19,759

11.0131 GBP

0.4p ordinary

SWAP

Decreasing Long

30,001

11.0027 GBP

0.4p ordinary

SWAP

Decreasing Long

1,087

11.0067 GBP

0.4p ordinary

SWAP

Decreasing Long

43,302

11.0171 GBP

0.4p ordinary

SWAP

Decreasing Long

92,442

11.0200 GBP

0.4p ordinary

SWAP

Decreasing Long

14,993

11.0209 GBP

0.4p ordinary

SWAP

Decreasing Long

264

11.0275 GBP

0.4p ordinary

SWAP

Increasing Long

1,758

10.9984 GBP

0.4p ordinary

SWAP

Decreasing Long

79,266

10.9800 GBP

0.4p ordinary

SWAP

Decreasing Long

37,978

11.0024 GBP

0.4p ordinary

SWAP

Decreasing Long

754

11.0216 GBP

0.4p ordinary

SWAP

Decreasing Long

1,139

11.0255 GBP

0.4p ordinary

SWAP

Decreasing Long

17,993

11.0258 GBP

0.4p ordinary

SWAP

Closing Short

68,882

11.0144 GBP

0.4p ordinary

SWAP

Increasing Short

41

11.0099 GBP

0.4p ordinary

SWAP

Increasing Long

69,035

11.0083 GBP

0.4p ordinary

SWAP

Decreasing Long

98,313

11.0165 GBP

0.4p ordinary

SWAP

Decreasing Long

73,791

11.0200 GBP

0.4p ordinary

SWAP

Increasing Short

13,536

10.7750 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:

13 Aug 2024

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213