Form 8.5 (EPT/NON-RI) - Hargreaves Replacement

FORM 8.5 (EPT/NON-RI) - Amendment to 2a and 3bReplaces form Released at 02/12/2024 09:57 RNS Number : 4084O

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:

29 Nov 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:

9,257,568

1.95%

112,949

0.02%

(2) Cash-settled derivatives:

344,805

0.07%

9,049,019

1.90%

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

0

0.00%

0

0.00%

TOTAL: 

9,602,373

2.02%

9,161,968

1.92%

(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

91338

10.9350 GBP

10.9146 GBP

0.4p ordinary

Sale

80939

10.9357 GBP

10.9100 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

607

10.9120 GBP

0.4p ordinary

SWAP

Decreasing Short

130

10.9149 GBP

0.4p ordinary

SWAP

Decreasing Short

35,765

10.9327 GBP

0.4p ordinary

SWAP

Decreasing Short

558

10.9350 GBP

0.4p ordinary

SWAP

Increasing Short

3,244

10.9168 GBP

0.4p ordinary

SWAP

Decreasing Short

14,238

10.9111 GBP

0.4p ordinary

SWAP

Increasing Short

5,341

10.9169 GBP

0.4p ordinary

SWAP

Increasing Short

2,297

10.9177 GBP

0.4p ordinary

SWAP

Increasing Short

2,886

10.9180 GBP

0.4p ordinary

SWAP

Increasing Short

15,272

10.9200 GBP

0.4p ordinary

SWAP

Increasing Short

17,534

10.9349 GBP

0.4p ordinary

SWAP

Increasing Short

12,552

10.9350 GBP

0.4p ordinary

CFD

Increasing Short

535

10.9206 GBP

0.4p ordinary

CFD

Increasing Short

59

10.9218 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:

06 Dec 2024

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213