Form 8.5 (EPT/NON-RI)HARGREAVES LANSDOWN PLC Amend

FORM 8.5 (EPT/NON-RI)- Amendment to section 2a, 3a and 3b

Replaces form released on 11:03 28/05/2024

RNS Number : 1044Q

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

HARGREAVES LANSDOWN PLC

 relevant securities this form relates:

(c)

Name of the party to the offer with which exempt

HARGREAVES LANSDOWN PLC

 principal trader is connected

(d)

Date position held/dealing undertaken:

24-May-24

(e)

In addition to the company in 1(b) above, is the exempt principal

NO

 trader making disclosures in respect of any other party to the offer?

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:

906,840

0.19%

9,407,405

1.98%

(2) Cash-settled derivatives:

9,456,034

1.99%

616,858

0.13%

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

0

0.00%

0

0.00%

10,362,874

2.18%

10,024,263

2.11%

 TOTAL:

(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

Purchase/sale

Total number of

Highest price per unit

Lowest price per unit

 security

 securities

 paid/received

 paid/received

0.4p ordinary

Purchase

615759

10.9800 GBP

10.4950 GBP

0.4p ordinary

Sale

489943

10.9800 GBP

10.4950 GBP

(b)

Cash-settled derivative transactions

Class of

Product description

Nature of dealing

Number of

Price per

 relevant

 reference

 unit

 security

 securities

0.4p ordinary

SWAP

Closing Long

2,230

10.7298 GBP

0.4p ordinary

SWAP

Decreasing Long

162

10.8353 GBP

0.4p ordinary

SWAP

Decreasing Long

202

10.9025 GBP

0.4p ordinary

SWAP

Decreasing Long

259

10.7699 GBP

0.4p ordinary

SWAP

Decreasing Long

290

10.8653 GBP

0.4p ordinary

SWAP

Decreasing Long

290

10.8503 GBP

0.4p ordinary

SWAP

Decreasing Long

290

10.9128 GBP

0.4p ordinary

SWAP

Decreasing Long

870

10.7195 GBP

0.4p ordinary

SWAP

Decreasing Long

3,385

10.9021 GBP

0.4p ordinary

SWAP

Decreasing Long

4,996

10.8340 GBP

0.4p ordinary

SWAP

Decreasing Long

15,949

10.7172 GBP

0.4p ordinary

SWAP

Decreasing Long

18,640

10.8324 GBP

0.4p ordinary

SWAP

Decreasing Long

25,495

10.6955 GBP

0.4p ordinary

SWAP

Decreasing Long

32,740

10.7347 GBP

0.4p ordinary

SWAP

Decreasing Long

35,012

10.7764 GBP

0.4p ordinary

SWAP

Decreasing Long

46,024

10.9000 GBP

0.4p ordinary

SWAP

Decreasing Long

49,206

10.8879 GBP

0.4p ordinary

SWAP

Decreasing Long

81,622

10.8957 GBP

0.4p ordinary

SWAP

Decreasing Short

250

10.8724 GBP

0.4p ordinary

SWAP

Decreasing Short

485

10.7876 GBP

0.4p ordinary

SWAP

Decreasing Short

1,595

10.7872 GBP

0.4p ordinary

SWAP

Decreasing Short

2,943

10.7911 GBP

0.4p ordinary

SWAP

Decreasing Short

6,023

10.7912 GBP

0.4p ordinary

CFD

Decreasing Short

7,517

10.6387 GBP

0.4p ordinary

SWAP

Increasing Long

125

10.6300 GBP

0.4p ordinary

SWAP

Increasing Long

576

10.7872 GBP

0.4p ordinary

SWAP

Increasing Long

891

10.8978 GBP

0.4p ordinary

SWAP

Increasing Long

1,552

10.8026 GBP

0.4p ordinary

SWAP

Increasing Long

1,636

10.6467 GBP

0.4p ordinary

SWAP

Increasing Long

3,021

10.8647 GBP

0.4p ordinary

SWAP

Increasing Long

3,190

10.9041 GBP

0.4p ordinary

SWAP

Increasing Long

3,320

10.8513 GBP

0.4p ordinary

SWAP

Increasing Long

7,916

10.9000 GBP

0.4p ordinary

SWAP

Increasing Long

25,725

10.9321 GBP

0.4p ordinary

SWAP

Increasing Long

40,516

10.8020 GBP

0.4p ordinary

SWAP

Increasing Long

75,327

10.7702 GBP

0.4p ordinary

SWAP

Increasing Short

128

10.7150 GBP

0.4p ordinary

SWAP

Increasing Short

968

10.7116 GBP

0.4p ordinary

SWAP

Increasing Short

1,790

10.6680 GBP

0.4p ordinary

CFD

Increasing Short

11,686

10.8480 GBP

0.4p ordinary

SWAP

Opening Long

4,763

10.7396 GBP

0.4p ordinary

SWAP

Opening Long

19,776

10.6959 GBP

(c)

Stock-settled derivative transactions (including options)

(i)

Writing, selling, purchasing or varying

Class

Product

Writing,

Number

Exercise

Type

Expiry

Option

 of

 description

 purchasing,

 of

 price

 date

 money

 relevant

 selling,

 securities

 per unit

 paid/

 security

 varying etc

 to which

 received

 option

 per unit

 relates

(ii)

Exercising

Class of relevant

Product description

Exercising/ exercised against

Number of

Exercise price per

 security

 securities

 unit

(d)

Other dealings (including subscribing for new securities)

Class of relevant

Nature of Dealings

Details

Price per unit (if

 security

 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:

24-Jun-24

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213