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:

29 Jul 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:

758,878

0.16%

3,869,673

0.82%

(2) Cash-settled derivatives:

3,749,113

0.79%

572,817

0.12%

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

0

0.00%

0

0.00%

TOTAL: 

4,507,991

0.95%

4,442,490

0.94%

(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

331451

11.0900 GBP

10.9978 GBP

0.4p ordinary

Sale

299069

11.0911 GBP

10.9965 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

100

11.0550 GBP

0.4p ordinary

CFD

Decreasing Short

12

11.0733 GBP

0.4p ordinary

CFD

Increasing Short

4,688

11.0231 GBP

0.4p ordinary

CFD

Increasing Short

25

11.0568 GBP

0.4p ordinary

SWAP

Increasing Short

175

11.0420 GBP

0.4p ordinary

SWAP

Increasing Long

15,699

11.0345 GBP

0.4p ordinary

SWAP

Increasing Long

3,367

11.0402 GBP

0.4p ordinary

SWAP

Increasing Long

705

11.0574 GBP

0.4p ordinary

SWAP

Increasing Long

118

11.0900 GBP

0.4p ordinary

SWAP

Decreasing Long

7,685

10.9988 GBP

0.4p ordinary

SWAP

Decreasing Long

24,331

11.0350 GBP

0.4p ordinary

SWAP

Decreasing Long

12,933

11.0379 GBP

0.4p ordinary

SWAP

Decreasing Long

26,463

11.0451 GBP

0.4p ordinary

SWAP

Decreasing Long

6,084

11.0475 GBP

0.4p ordinary

SWAP

Increasing Long

39,909

11.0097 GBP

0.4p ordinary

SWAP

Increasing Long

1,772

11.0220 GBP

0.4p ordinary

SWAP

Increasing Long

3,071

11.0248 GBP

0.4p ordinary

SWAP

Increasing Long

22,718

11.0349 GBP

0.4p ordinary

SWAP

Increasing Long

270

11.0378 GBP

0.4p ordinary

SWAP

Increasing Long

11,295

11.0457 GBP

0.4p ordinary

SWAP

Increasing Long

15

11.0699 GBP

0.4p ordinary

SWAP

Decreasing Long

9,530

11.0598 GBP

0.4p ordinary

SWAP

Decreasing Short

425

11.0703 GBP

0.4p ordinary

SWAP

Increasing Short

312

11.0403 GBP

0.4p ordinary

SWAP

Closing Long

193

11.0540 GBP

0.4p ordinary

SWAP

Increasing Long

95

11.0750 GBP

0.4p ordinary

SWAP

Decreasing Long

21,039

11.0350 GBP

0.4p ordinary

SWAP

Decreasing Long

10,296

11.0396 GBP

0.4p ordinary

SWAP

Decreasing Long

3,432

11.0501 GBP

0.4p ordinary

SWAP

Decreasing Long

4,314

10.6473 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:

30 Jul 2024

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213