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 Sep 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:

4,204,823

0.89%

438,598

0.09%

(2) Cash-settled derivatives:

584,098

0.12%

3,880,213

0.82%

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

0

0.00%

0

0.00%

TOTAL: 

4,788,921

1.01%

4,318,811

0.91%

(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

228722

11.1068 GBP

11.0937 GBP

0.4p ordinary

Sale

98439

11.1050 GBP

11.0900 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

1,291

11.0904 GBP

0.4p ordinary

SWAP

Decreasing Short

1,034

11.0937 GBP

0.4p ordinary

SWAP

Decreasing Short

7,599

11.0958 GBP

0.4p ordinary

SWAP

Decreasing Short

3,291

11.0988 GBP

0.4p ordinary

SWAP

Decreasing Short

4,210

11.0990 GBP

0.4p ordinary

SWAP

Decreasing Short

232

11.1023 GBP

0.4p ordinary

SWAP

Decreasing Short

561

11.1050 GBP

0.4p ordinary

SWAP

Decreasing Short

1

11.1100 GBP

0.4p ordinary

SWAP

Increasing Short

1,893

11.0957 GBP

0.4p ordinary

SWAP

Increasing Short

12,549

11.0975 GBP

0.4p ordinary

SWAP

Increasing Short

7,844

11.0981 GBP

0.4p ordinary

SWAP

Increasing Short

5,098

11.0988 GBP

0.4p ordinary

SWAP

Increasing Short

23,479

11.0992 GBP

0.4p ordinary

SWAP

Increasing Short

4,139

11.0995 GBP

0.4p ordinary

SWAP

Increasing Short

32

11.1000 GBP

0.4p ordinary

SWAP

Increasing Short

6,919

11.1042 GBP

0.4p ordinary

SWAP

Increasing Short

17,454

11.1046 GBP

0.4p ordinary

SWAP

Increasing Short

18,772

11.1047 GBP

0.4p ordinary

SWAP

Increasing Short

23,878

11.1049 GBP

0.4p ordinary

SWAP

Increasing Short

17,172

11.1050 GBP

0.4p ordinary

SWAP

Decreasing Long

100

11.0951 GBP

0.4p ordinary

CFD

Increasing Short

410

11.0994 GBP

0.4p ordinary

CFD

Increasing Short

1,126

11.1035 GBP

0.4p ordinary

CFD

Increasing Short

7,637

11.1043 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 Sep 2024

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213