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:

09 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:

790,099

0.17%

4,884,334

1.03%

(2) Cash-settled derivatives:

4,757,736

1.00%

608,437

0.13%

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

0

0.00%

0

0.00%

TOTAL: 

5,547,835

1.17%

5,492,771

1.16%

(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

464630

11.0300 GBP

10.8900 GBP

0.4p ordinary

Sale

315572

11.0220 GBP

10.8900 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

2,600

10.9800 GBP

0.4p ordinary

SWAP

Increasing Short

120

10.9300 GBP

0.4p ordinary

SWAP

Increasing Long

721

10.9781 GBP

0.4p ordinary

SWAP

Increasing Long

11,443

10.9811 GBP

0.4p ordinary

SWAP

Increasing Long

3,686

10.9866 GBP

0.4p ordinary

SWAP

Decreasing Long

326

10.9000 GBP

0.4p ordinary

SWAP

Decreasing Long

8,571

10.9304 GBP

0.4p ordinary

SWAP

Decreasing Long

20,874

10.9596 GBP

0.4p ordinary

SWAP

Decreasing Long

1,311

10.9654 GBP

0.4p ordinary

SWAP

Decreasing Long

395

10.9800 GBP

0.4p ordinary

SWAP

Decreasing Long

19,235

10.9812 GBP

0.4p ordinary

SWAP

Increasing Long

5,057

10.9682 GBP

0.4p ordinary

SWAP

Decreasing Long

268

10.9151 GBP

0.4p ordinary

SWAP

Decreasing Long

612

10.9190 GBP

0.4p ordinary

SWAP

Decreasing Long

7,864

10.9249 GBP

0.4p ordinary

SWAP

Decreasing Long

282

10.9289 GBP

0.4p ordinary

SWAP

Decreasing Long

578

10.9529 GBP

0.4p ordinary

SWAP

Decreasing Long

45,745

10.9800 GBP

0.4p ordinary

SWAP

Decreasing Short

724

10.9778 GBP

0.4p ordinary

SWAP

Decreasing Long

3,302

10.9210 GBP

0.4p ordinary

SWAP

Decreasing Long

3,301

10.9310 GBP

0.4p ordinary

SWAP

Decreasing Long

3,301

10.9410 GBP

0.4p ordinary

SWAP

Decreasing Long

3,302

10.9860 GBP

0.4p ordinary

SWAP

Decreasing Long

5,856

10.9414 GBP

0.4p ordinary

SWAP

Decreasing Long

26,731

10.9716 GBP

0.4p ordinary

SWAP

Decreasing Long

11,321

10.9800 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:

10 Jul 2024

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213