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:

26 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:

759,337

0.16%

6,096,593

1.29%

(2) Cash-settled derivatives:

6,182,228

1.30%

611,420

0.13%

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

0

0.00%

0

0.00%

TOTAL: 

6,941,565

1.46%

6,708,013

1.41%

(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

279183

11.4500 GBP

11.3535 GBP

0.4p ordinary

Sale

263495

11.4450 GBP

11.3514 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

Closing Long

24

11.4183 GBP

0.4p ordinary

SWAP

Closing Long

205

11.4003 GBP

0.4p ordinary

SWAP

Closing Long

694

11.4000 GBP

0.4p ordinary

SWAP

Decreasing Long

25

11.3800 GBP

0.4p ordinary

SWAP

Decreasing Long

69

11.3850 GBP

0.4p ordinary

SWAP

Decreasing Long

158

11.3800 GBP

0.4p ordinary

SWAP

Decreasing Long

242

11.4102 GBP

0.4p ordinary

SWAP

Decreasing Long

625

11.3500 GBP

0.4p ordinary

SWAP

Decreasing Long

1,005

11.4036 GBP

0.4p ordinary

SWAP

Decreasing Long

8,215

11.4368 GBP

0.4p ordinary

SWAP

Decreasing Long

8,373

11.4167 GBP

0.4p ordinary

SWAP

Decreasing Long

11,434

11.4378 GBP

0.4p ordinary

SWAP

Decreasing Long

51,983

11.4000 GBP

0.4p ordinary

SWAP

Decreasing Short

75

11.4321 GBP

0.4p ordinary

SWAP

Decreasing Short

11,829

11.3994 GBP

0.4p ordinary

CFD

Decreasing Short

46,218

11.4000 GBP

0.4p ordinary

SWAP

Increasing Long

98

11.3970 GBP

0.4p ordinary

SWAP

Increasing Long

450

11.3768 GBP

0.4p ordinary

SWAP

Increasing Long

462

11.4250 GBP

0.4p ordinary

SWAP

Increasing Long

509

11.3944 GBP

0.4p ordinary

SWAP

Increasing Long

911

11.3952 GBP

0.4p ordinary

SWAP

Increasing Long

967

11.3919 GBP

0.4p ordinary

SWAP

Increasing Long

1,332

11.3948 GBP

0.4p ordinary

SWAP

Increasing Long

3,059

11.4113 GBP

0.4p ordinary

SWAP

Increasing Long

3,436

11.3999 GBP

0.4p ordinary

SWAP

Increasing Long

3,977

11.4441 GBP

0.4p ordinary

SWAP

Increasing Long

8,764

11.3961 GBP

0.4p ordinary

SWAP

Increasing Long

20,211

11.4000 GBP

0.4p ordinary

SWAP

Increasing Short

78

11.4099 GBP

0.4p ordinary

SWAP

Increasing Short

150

11.3736 GBP

0.4p ordinary

CFD

Increasing Short

180

11.3803 GBP

0.4p ordinary

CFD

Increasing Short

1,501

11.4510 GBP

0.4p ordinary

SWAP

Increasing Short

4,000

11.4000 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:

27 Jun 2024

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213