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 whoserelevant 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:

29 May 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:

844,614

0.18%

8,978,232

1.89%

(2) Cash-settled derivatives:

9,045,795

1.91%

633,234

0.13%

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

0

0.00%

0

0.00%

TOTAL: 

9,890,409

2.09%

9,611,466

2.03%

(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

575454

10.6950 GBP

10.6200 GBP

0.4p ordinary

Sale

390022

10.6950 GBP

10.6100 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 Long

51

10.6577 GBP

0.4p ordinary

SWAP

Decreasing Long

149

10.6447 GBP

0.4p ordinary

SWAP

Decreasing Long

570

10.6745 GBP

0.4p ordinary

SWAP

Decreasing Long

800

10.6435 GBP

0.4p ordinary

SWAP

Decreasing Long

1,237

10.6608 GBP

0.4p ordinary

SWAP

Decreasing Long

1,705

10.6615 GBP

0.4p ordinary

SWAP

Decreasing Long

2,281

10.6733 GBP

0.4p ordinary

SWAP

Decreasing Long

4,152

10.6717 GBP

0.4p ordinary

SWAP

Decreasing Long

6,908

10.6627 GBP

0.4p ordinary

SWAP

Decreasing Long

9,865

10.6768 GBP

0.4p ordinary

SWAP

Decreasing Long

12,382

10.6653 GBP

0.4p ordinary

SWAP

Decreasing Long

17,350

10.6547 GBP

0.4p ordinary

SWAP

Decreasing Long

24,970

10.6597 GBP

0.4p ordinary

SWAP

Decreasing Long

34,390

10.6600 GBP

0.4p ordinary

SWAP

Decreasing Long

38,057

10.6537 GBP

0.4p ordinary

SWAP

Decreasing Long

44,083

10.6568 GBP

0.4p ordinary

SWAP

Decreasing Long

59,527

10.6513 GBP

0.4p ordinary

SWAP

Decreasing Long

74,765

10.6541 GBP

0.4p ordinary

SWAP

Decreasing Short

397

10.6600 GBP

0.4p ordinary

SWAP

Decreasing Short

816

10.6484 GBP

0.4p ordinary

SWAP

Decreasing Short

4,169

10.6564 GBP

0.4p ordinary

SWAP

Increasing Long

31

10.6539 GBP

0.4p ordinary

SWAP

Increasing Long

32

10.6750 GBP

0.4p ordinary

SWAP

Increasing Long

66

10.6550 GBP

0.4p ordinary

SWAP

Increasing Long

74

10.6532 GBP

0.4p ordinary

SWAP

Increasing Long

1,194

10.6761 GBP

0.4p ordinary

SWAP

Increasing Long

1,439

10.6578 GBP

0.4p ordinary

SWAP

Increasing Long

2,116

10.6485 GBP

0.4p ordinary

SWAP

Increasing Long

13,184

10.6404 GBP

0.4p ordinary

SWAP

Increasing Long

13,915

10.6599 GBP

0.4p ordinary

SWAP

Increasing Long

14,256

10.6425 GBP

0.4p ordinary

SWAP

Increasing Long

14,685

10.6460 GBP

0.4p ordinary

SWAP

Increasing Long

17,998

10.6600 GBP

0.4p ordinary

SWAP

Increasing Long

24,720

10.6576 GBP

0.4p ordinary

SWAP

Increasing Long

32,960

10.6490 GBP

0.4p ordinary

SWAP

Increasing Short

190

10.6360 GBP

0.4p ordinary

SWAP

Increasing Short

493

10.6800 GBP

0.4p ordinary

SWAP

Increasing Short

1,433

10.6694 GBP

0.4p ordinary

SWAP

Opening Long

297

10.6568 GBP

0.4p ordinary

SWAP

Opening Long

1,804

10.6605 GBP

0.4p ordinary

SWAP

Opening Long

3,668

10.6461 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:

30 May 2024

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213