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

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

Replaces form released on 11:35 24/05/2024

RNS Number : 8622P

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:

23-May-24

(e)

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

NA

 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:

959,541

0.20%

9,585,922

2.02%

(2) Cash-settled derivatives:

9,585,362

2.02%

621,099

0.13%

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

0

0.00%

0

0.00%

10,544,903

2.22%

10,207,021

2.15%

 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

1256222

11.3652 GBP

10.4950 GBP

0.4p ordinary

Sale

1974898

11.3979 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

Opening Long

4

11.1125 GBP

0.4p ordinary

SWAP

Opening Long

23

10.6050 GBP

0.4p ordinary

SWAP

Opening Long

479

11.1211 GBP

0.4p ordinary

SWAP

Opening Long

1,077

10.8689 GBP

0.4p ordinary

SWAP

Opening Long

1,445

10.7321 GBP

0.4p ordinary

SWAP

Opening Long

1,583

10.8230 GBP

0.4p ordinary

SWAP

Opening Long

1,996

10.7056 GBP

0.4p ordinary

SWAP

Opening Long

3,161

10.8030 GBP

0.4p ordinary

SWAP

Opening Long

3,236

11.1977 GBP

0.4p ordinary

SWAP

Opening Long

3,687

11.2022 GBP

0.4p ordinary

SWAP

Opening Long

4,118

10.9072 GBP

0.4p ordinary

SWAP

Opening Long

5,434

10.7009 GBP

0.4p ordinary

SWAP

Opening Long

6,249

10.9951 GBP

0.4p ordinary

SWAP

Opening Long

7,005

11.2522 GBP

0.4p ordinary

SWAP

Opening Long

7,013

10.6664 GBP

0.4p ordinary

SWAP

Opening Long

10,191

11.1734 GBP

0.4p ordinary

SWAP

Opening Long

12,280

11.0093 GBP

0.4p ordinary

SWAP

Opening Long

13,428

11.1934 GBP

0.4p ordinary

SWAP

Opening Long

13,876

11.1783 GBP

0.4p ordinary

SWAP

Opening Long

14,417

10.9476 GBP

0.4p ordinary

SWAP

Opening Long

14,479

10.9993 GBP

0.4p ordinary

SWAP

Opening Long

15,490

11.1923 GBP

0.4p ordinary

SWAP

Opening Long

19,803

10.5711 GBP

0.4p ordinary

SWAP

Opening Long

25,000

11.1283 GBP

0.4p ordinary

SWAP

Opening Long

29,331

10.8041 GBP

0.4p ordinary

SWAP

Opening Long

31,851

11.1087 GBP

0.4p ordinary

SWAP

Opening Long

36,770

11.1906 GBP

0.4p ordinary

SWAP

Opening Long

43,696

10.7268 GBP

0.4p ordinary

SWAP

Opening Long

46,626

10.9681 GBP

0.4p ordinary

SWAP

Opening Long

47,075

11.0679 GBP

0.4p ordinary

SWAP

Opening Long

55,952

10.8857 GBP

0.4p ordinary

SWAP

Opening Long

62,711

10.8810 GBP

0.4p ordinary

SWAP

Opening Long

92,489

10.9320 GBP

0.4p ordinary

SWAP

Opening Long

96,782

10.7423 GBP

0.4p ordinary

SWAP

Opening Long

99,832

11.1999 GBP

0.4p ordinary

SWAP

Opening Long

129,851

11.1870 GBP

0.4p ordinary

SWAP

Opening Long

135,549

10.8579 GBP

0.4p ordinary

SWAP

Opening Long

153,528

11.2000 GBP

0.4p ordinary

SWAP

Opening Long

309,507

10.8632 GBP

0.4p ordinary

CFD

Opening Short

1

11.3300 GBP

0.4p ordinary

CFD

Opening Short

2,000

11.2010 GBP

0.4p ordinary

CFD

Opening Short

3,599

11.3312 GBP

0.4p ordinary

CFD

Opening Short

3,952

11.1083 GBP

0.4p ordinary

CFD

Opening Short

4,194

10.7514 GBP

0.4p ordinary

CFD

Opening Short

4,325

11.0610 GBP

0.4p ordinary

CFD

Opening Short

5,782

11.2841 GBP

0.4p ordinary

CFD

Opening Short

6,000

10.7862 GBP

0.4p ordinary

CFD

Opening Short

8,000

11.1527 GBP

0.4p ordinary

SWAP

Opening Short

9,970

10.9118 GBP

0.4p ordinary

CFD

Opening Short

10,000

11.3191 GBP

0.4p ordinary

CFD

Opening Short

10,000

11.2391 GBP

0.4p ordinary

SWAP

Opening Short

15,000

10.7753 GBP

0.4p ordinary

SWAP

Opening Short

18,158

10.8074 GBP

0.4p ordinary

CFD

Opening Short

20,000

11.3633 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:

13-Jun-24

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213