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:

08 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:

785,237

0.17%

5,028,530

1.06%

(2) Cash-settled derivatives:

4,900,004

1.03%

611,641

0.13%

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

0

0.00%

0

0.00%

TOTAL: 

5,685,241

1.20%

5,640,171

1.19%

(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

277853

11.0109 GBP

10.9314 GBP

0.4p ordinary

Sale

286007

11.0700 GBP

10.9330 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

6,000

11.0000 GBP

0.4p ordinary

CFD

Decreasing Short

13,954

10.9990 GBP

0.4p ordinary

SWAP

Decreasing Long

6,443

11.0016 GBP

0.4p ordinary

SWAP

Decreasing Long

1,453

11.0017 GBP

0.4p ordinary

SWAP

Increasing Long

938

10.9836 GBP

0.4p ordinary

SWAP

Increasing Long

21,997

10.9991 GBP

0.4p ordinary

SWAP

Increasing Long

157

11.0206 GBP

0.4p ordinary

SWAP

Increasing Long

2,328

11.0249 GBP

0.4p ordinary

SWAP

Decreasing Long

1,013

10.9664 GBP

0.4p ordinary

SWAP

Decreasing Long

1,197

10.9687 GBP

0.4p ordinary

SWAP

Decreasing Long

918

10.9937 GBP

0.4p ordinary

SWAP

Decreasing Long

19,933

11.0000 GBP

0.4p ordinary

SWAP

Increasing Long

12

10.9349 GBP

0.4p ordinary

SWAP

Increasing Long

3,091

10.9356 GBP

0.4p ordinary

SWAP

Increasing Long

786

10.9387 GBP

0.4p ordinary

SWAP

Increasing Long

47

10.9499 GBP

0.4p ordinary

SWAP

Increasing Long

12,122

10.9999 GBP

0.4p ordinary

SWAP

Increasing Long

496

11.0192 GBP

0.4p ordinary

SWAP

Increasing Long

219

11.0340 GBP

0.4p ordinary

SWAP

Increasing Short

250

10.9530 GBP

0.4p ordinary

SWAP

Decreasing Long

809

10.9702 GBP

0.4p ordinary

SWAP

Decreasing Long

1,625

10.9755 GBP

0.4p ordinary

SWAP

Decreasing Long

19,979

11.0000 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:

09 Jul 2024

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213