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 Aug 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:

3,312,728

0.70%

461,475

0.10%

(2) Cash-settled derivatives:

342,498

0.07%

3,182,570

0.67%

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

0

0.00%

0

0.00%

TOTAL: 

3,655,226

0.77%

3,644,045

0.77%

(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

446951

11.0200 GBP

11.0000 GBP

0.4p ordinary

Sale

122351

11.0200 GBP

11.0000 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

CFD

Increasing Short

1,128

11.0006 GBP

0.4p ordinary

CFD

Increasing Short

58

11.0168 GBP

0.4p ordinary

SWAP

Decreasing Short

119

11.0049 GBP

0.4p ordinary

SWAP

Decreasing Short

1,828

11.0031 GBP

0.4p ordinary

SWAP

Increasing Short

11,288

11.0166 GBP

0.4p ordinary

SWAP

Increasing Short

41,817

11.0200 GBP

0.4p ordinary

SWAP

Decreasing Short

35

11.0049 GBP

0.4p ordinary

SWAP

Increasing Short

127,801

11.0008 GBP

0.4p ordinary

SWAP

Increasing Short

1

11.0000 GBP

0.4p ordinary

SWAP

Increasing Short

944

11.0008 GBP

0.4p ordinary

SWAP

Increasing Short

2,127

11.0050 GBP

0.4p ordinary

SWAP

Decreasing Short

3,691

11.0013 GBP

0.4p ordinary

SWAP

Decreasing Short

1,118

11.0058 GBP

0.4p ordinary

SWAP

Decreasing Short

20,774

11.0123 GBP

0.4p ordinary

SWAP

Increasing Short

478

11.0050 GBP

0.4p ordinary

SWAP

Increasing Short

6,370

11.0090 GBP

0.4p ordinary

SWAP

Increasing Short

66,615

11.0113 GBP

0.4p ordinary

SWAP

Increasing Short

5,106

11.0158 GBP

0.4p ordinary

SWAP

Increasing Short

44,718

11.0200 GBP

0.4p ordinary

SWAP

Increasing Long

19,186

11.0018 GBP

0.4p ordinary

SWAP

Decreasing Long

1,838

11.0050 GBP

0.4p ordinary

SWAP

Decreasing Long

3,072

11.0124 GBP

0.4p ordinary

SWAP

Decreasing Long

649

11.0156 GBP

0.4p ordinary

SWAP

Decreasing Long

751

11.0176 GBP

0.4p ordinary

SWAP

Decreasing Short

65

11.0050 GBP

0.4p ordinary

SWAP

Decreasing Short

237

11.0090 GBP

0.4p ordinary

SWAP

Decreasing Long

4,485

11.0078 GBP

0.4p ordinary

SWAP

Decreasing Long

16,243

11.0091 GBP

0.4p ordinary

SWAP

Decreasing Long

33,193

11.0200 GBP

0.4p ordinary

SWAP

Decreasing Short

1,423

11.0023 GBP

0.4p ordinary

SWAP

Decreasing Short

575

11.0050 GBP

0.4p ordinary

SWAP

Closing Short

1,596

11.0152 GBP

0.4p ordinary

SWAP

Decreasing Long

3,628

11.0200 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-Aug-24

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213