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

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:

04 Jun 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:

689,911

0.15%

8,704,417

1.84%

(2) Cash-settled derivatives:

8,698,080

1.83%

483,579

0.10%

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

0

0.00%

0

0.00%

TOTAL: 

9,387,991

1.98%

9,187,996

1.94%

(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

487390

10.6250 GBP

10.5100 GBP

0.4p ordinary

Sale

347029

10.6250 GBP

10.5100 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 Long

140

10.5465 GBP

0.4p ordinary

SWAP

Decreasing Long

206

10.5961 GBP

0.4p ordinary

SWAP

Decreasing Long

298

10.6100 GBP

0.4p ordinary

SWAP

Decreasing Long

487

10.6408 GBP

0.4p ordinary

SWAP

Decreasing Long

495

10.5859 GBP

0.4p ordinary

SWAP

Decreasing Long

599

10.5531 GBP

0.4p ordinary

SWAP

Decreasing Long

866

10.5559 GBP

0.4p ordinary

SWAP

Decreasing Long

1,210

10.5348 GBP

0.4p ordinary

SWAP

Decreasing Long

1,264

10.5321 GBP

0.4p ordinary

SWAP

Decreasing Long

1,390

10.5434 GBP

0.4p ordinary

SWAP

Decreasing Long

1,402

10.5525 GBP

0.4p ordinary

SWAP

Decreasing Long

4,313

10.5596 GBP

0.4p ordinary

SWAP

Decreasing Long

5,006

10.5356 GBP

0.4p ordinary

SWAP

Decreasing Long

5,794

10.5597 GBP

0.4p ordinary

SWAP

Decreasing Long

6,923

10.5816 GBP

0.4p ordinary

SWAP

Decreasing Long

10,677

10.5576 GBP

0.4p ordinary

SWAP

Decreasing Long

13,024

10.5609 GBP

0.4p ordinary

SWAP

Decreasing Long

19,734

10.5580 GBP

0.4p ordinary

SWAP

Decreasing Long

40,267

10.5900 GBP

0.4p ordinary

SWAP

Decreasing Long

61,156

10.5663 GBP

0.4p ordinary

SWAP

Decreasing Long

176,795

10.6200 GBP

0.4p ordinary

SWAP

Decreasing Short

89

10.5587 GBP

0.4p ordinary

SWAP

Decreasing Short

479

10.5644 GBP

0.4p ordinary

SWAP

Decreasing Short

4,376

10.5605 GBP

0.4p ordinary

SWAP

Increasing Long

44

10.6400 GBP

0.4p ordinary

SWAP

Increasing Long

198

10.5413 GBP

0.4p ordinary

SWAP

Increasing Long

231

10.5399 GBP

0.4p ordinary

SWAP

Increasing Long

1,028

10.5639 GBP

0.4p ordinary

SWAP

Increasing Long

1,815

10.5629 GBP

0.4p ordinary

SWAP

Increasing Long

7,243

10.6199 GBP

0.4p ordinary

SWAP

Increasing Long

8,632

10.6200 GBP

0.4p ordinary

CFD

Opening Long

5,445

10.5940 GBP

0.4p ordinary

CFD

Opening Long

15,000

10.5199 GBP

0.4p ordinary

CFD

Opening Long

75,000

10.5803 GBP

0.4p ordinary

CFD

Opening Long

84,555

10.5527 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:

05 Jun 2024

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213