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:

23 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:

750,821

0.16%

4,092,494

0.86%

(2) Cash-settled derivatives:

3,968,045

0.84%

565,716

0.12%

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

0

0.00%

0

0.00%

TOTAL: 

4,718,866

0.99%

4,658,210

0.98%

(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

329154

11.1628 GBP

11.0494 GBP

0.4p ordinary

Sale

178823

11.1650 GBP

11.0499 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

130

11.0709 GBP

0.4p ordinary

CFD

Increasing Short

2,859

11.1503 GBP

0.4p ordinary

SWAP

Increasing Long

9,345

11.0500 GBP

0.4p ordinary

SWAP

Increasing Long

71

11.0900 GBP

0.4p ordinary

SWAP

Increasing Long

18,196

11.0974 GBP

0.4p ordinary

SWAP

Decreasing Long

95,431

11.0500 GBP

0.4p ordinary

SWAP

Decreasing Long

3,335

11.0527 GBP

0.4p ordinary

SWAP

Decreasing Long

6,064

11.1037 GBP

0.4p ordinary

SWAP

Decreasing Long

32,406

11.1404 GBP

0.4p ordinary

SWAP

Increasing Long

19,864

11.0499 GBP

0.4p ordinary

SWAP

Increasing Long

2,367

11.0863 GBP

0.4p ordinary

SWAP

Increasing Long

26,253

11.0919 GBP

0.4p ordinary

SWAP

Increasing Long

182

11.0984 GBP

0.4p ordinary

SWAP

Increasing Long

853

11.0999 GBP

0.4p ordinary

SWAP

Decreasing Long

10,203

11.1366 GBP

0.4p ordinary

SWAP

Decreasing Long

2,055

11.1522 GBP

0.4p ordinary

SWAP

Decreasing Long

42

11.1541 GBP

0.4p ordinary

SWAP

Decreasing Long

70

11.1556 GBP

0.4p ordinary

SWAP

Increasing Short

375

11.0794 GBP

0.4p ordinary

SWAP

Increasing Long

1,422

11.0976 GBP

0.4p ordinary

SWAP

Increasing Long

1,573

11.1125 GBP

0.4p ordinary

SWAP

Decreasing Long

56,080

11.0500 GBP

0.4p ordinary

SWAP

Decreasing Long

3,627

11.1027 GBP

0.4p ordinary

SWAP

Decreasing Long

10,828

11.1259 GBP

0.4p ordinary

SWAP

Decreasing Long

5,668

11.1404 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:

24 Jul 2024

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213