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

FORM 8.5 (EPT/NON-RI) - Amendment to 2a and 3aReplaces form Released at 25/10/2024 11:44 RNS Number : 7104J

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:

24 Oct 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:

7,589,476

1.60%

101,715

0.02%

(2) Cash-settled derivatives:

299,454

0.06%

7,502,671

1.58%

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

0

0.00%

0

0.00%

TOTAL: 

7,888,930

1.66%

7,604,386

1.60%

(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

336931

10.8745 GBP

10.8644 GBP

0.4p ordinary

Sale

398058

10.8751 GBP

10.8628 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

24,011

10.8629 GBP

0.4p ordinary

SWAP

Decreasing Short

3,769

10.8650 GBP

0.4p ordinary

SWAP

Decreasing Short

10,707

10.8664 GBP

0.4p ordinary

SWAP

Decreasing Short

54,067

10.8668 GBP

0.4p ordinary

SWAP

Decreasing Short

11,516

10.8669 GBP

0.4p ordinary

SWAP

Decreasing Short

15,398

10.8689 GBP

0.4p ordinary

SWAP

Increasing Short

20,417

10.8650 GBP

0.4p ordinary

SWAP

Increasing Short

26,177

10.8687 GBP

0.4p ordinary

SWAP

Increasing Short

9,781

10.8700 GBP

0.4p ordinary

SWAP

Increasing Short

261

10.8718 GBP

0.4p ordinary

SWAP

Increasing Short

16,631

10.8721 GBP

0.4p ordinary

CFD

Increasing Short

1,738

10.8673 GBP

0.4p ordinary

CFD

Increasing Short

2,430

10.8706 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:

29 Oct 2024

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213