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:

13 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:

1,173,985

0.25%

1,449,313

0.31%

(2) Cash-settled derivatives:

1,335,410

0.28%

1,035,383

0.22%

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

0

0.00%

0

0.00%

TOTAL: 

2,509,395

0.53%

2,484,696

0.52%

(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

869100

11.0150 GBP

10.9900 GBP

0.4p ordinary

Sale

404021

11.0150 GBP

10.9800 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

Increasing Short

300

10.9900 GBP

0.4p ordinary

CFD

Decreasing Short

2,435

10.9793 GBP

0.4p ordinary

CFD

Decreasing Short

113,830

10.9975 GBP

0.4p ordinary

CFD

Increasing Short

5,885

11.0058 GBP

0.4p ordinary

SWAP

Decreasing Short

3,977

11.0004 GBP

0.4p ordinary

SWAP

Decreasing Short

4,913

11.0026 GBP

0.4p ordinary

SWAP

Increasing Short

13,956

10.9986 GBP

0.4p ordinary

SWAP

Increasing Short

30,334

11.0050 GBP

0.4p ordinary

SWAP

Decreasing Short

277

10.9979 GBP

0.4p ordinary

SWAP

Increasing Short

58,320

11.0055 GBP

0.4p ordinary

SWAP

Increasing Short

426

11.0055 GBP

0.4p ordinary

SWAP

Increasing Short

1,740

11.0100 GBP

0.4p ordinary

SWAP

Increasing Long

18,576

10.9960 GBP

0.4p ordinary

SWAP

Increasing Long

27,464

11.0045 GBP

0.4p ordinary

SWAP

Increasing Long

12

11.0200 GBP

0.4p ordinary

SWAP

Decreasing Long

2,004

11.0005 GBP

0.4p ordinary

SWAP

Decreasing Long

16,136

11.0038 GBP

0.4p ordinary

SWAP

Decreasing Long

64,384

11.0048 GBP

0.4p ordinary

SWAP

Decreasing Long

84,444

11.0050 GBP

0.4p ordinary

SWAP

Decreasing Long

27,135

11.0051 GBP

0.4p ordinary

SWAP

Opening Short

71,425

11.0053 GBP

0.4p ordinary

SWAP

Increasing Short

555

11.0062 GBP

0.4p ordinary

SWAP

Increasing Short

326

11.0100 GBP

0.4p ordinary

SWAP

Increasing Long

15,327

10.9928 GBP

0.4p ordinary

SWAP

Decreasing Long

7,522

11.0013 GBP

0.4p ordinary

SWAP

Decreasing Long

1,357

11.0038 GBP

0.4p ordinary

SWAP

Decreasing Long

5,518

11.0065 GBP

0.4p ordinary

SWAP

Decreasing Long

4,724

11.0076 GBP

0.4p ordinary

SWAP

Opening Short

17,749

11.0072 GBP

0.4p ordinary

SWAP

Decreasing Short

936

10.9977 GBP

0.4p ordinary

SWAP

Decreasing Short

2,234

11.0004 GBP

0.4p ordinary

SWAP

Decreasing Long

29,797

11.0028 GBP

0.4p ordinary

SWAP

Decreasing Long

1,859

11.0036 GBP

0.4p ordinary

SWAP

Decreasing Long

10,707

11.0042 GBP

0.4p ordinary

SWAP

Decreasing Long

144,739

11.0044 GBP

0.4p ordinary

SWAP

Decreasing Long

52,710

11.0050 GBP

0.4p ordinary

SWAP

Decreasing Long

1,636

11.0070 GBP

0.4p ordinary

SWAP

Decreasing Long

274

11.0100 GBP

0.4p ordinary

SWAP

Decreasing Long

8,947

11.0042 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:

14 Aug 2024

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213