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:

11 Jun 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:

727,420

0.15%

7,188,772

1.52%

(2) Cash-settled derivatives:

7,174,622

1.51%

490,003

0.10%

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

0

0.00%

0

0.00%

TOTAL: 

7,902,042

1.67%

7,678,775

1.62%

(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

1200693

10.8237 GBP

10.5869 GBP

0.4p ordinary

Sale

996526

10.8100 GBP

10.5900 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 Long

64

10.6754 GBP

0.4p ordinary

CFD

Decreasing Long

163

10.6053 GBP

0.4p ordinary

SWAP

Decreasing Long

225

10.6303 GBP

0.4p ordinary

SWAP

Decreasing Long

228

10.7450 GBP

0.4p ordinary

SWAP

Decreasing Long

522

10.8203 GBP

0.4p ordinary

SWAP

Decreasing Long

650

10.6922 GBP

0.4p ordinary

SWAP

Decreasing Long

885

10.6579 GBP

0.4p ordinary

SWAP

Decreasing Long

1,065

10.6773 GBP

0.4p ordinary

SWAP

Decreasing Long

1,234

10.8237 GBP

0.4p ordinary

CFD

Decreasing Long

1,489

10.7315 GBP

0.4p ordinary

SWAP

Decreasing Long

1,808

10.7733 GBP

0.4p ordinary

SWAP

Decreasing Long

1,830

10.8152 GBP

0.4p ordinary

SWAP

Decreasing Long

2,827

10.7098 GBP

0.4p ordinary

SWAP

Decreasing Long

3,017

10.7366 GBP

0.4p ordinary

SWAP

Decreasing Long

4,480

10.6163 GBP

0.4p ordinary

SWAP

Decreasing Long

6,438

10.6514 GBP

0.4p ordinary

CFD

Decreasing Long

6,664

10.7152 GBP

0.4p ordinary

SWAP

Decreasing Long

14,268

10.7152 GBP

0.4p ordinary

SWAP

Decreasing Long

14,685

10.5928 GBP

0.4p ordinary

CFD

Decreasing Long

16,905

10.6862 GBP

0.4p ordinary

CFD

Decreasing Long

22,068

10.5909 GBP

0.4p ordinary

SWAP

Decreasing Long

69,929

10.5901 GBP

0.4p ordinary

SWAP

Decreasing Long

93,104

10.5900 GBP

0.4p ordinary

SWAP

Decreasing Short

87

10.7565 GBP

0.4p ordinary

CFD

Increasing Long

655

10.7970 GBP

0.4p ordinary

SWAP

Increasing Long

1,953

10.6973 GBP

0.4p ordinary

SWAP

Increasing Long

2,111

10.7494 GBP

0.4p ordinary

SWAP

Increasing Long

2,170

10.7289 GBP

0.4p ordinary

SWAP

Increasing Long

5,747

10.7195 GBP

0.4p ordinary

CFD

Increasing Long

6,009

10.5900 GBP

0.4p ordinary

SWAP

Increasing Long

8,002

10.6983 GBP

0.4p ordinary

SWAP

Increasing Long

9,003

10.7054 GBP

0.4p ordinary

SWAP

Increasing Long

10,341

10.5964 GBP

0.4p ordinary

SWAP

Increasing Long

30,631

10.6907 GBP

0.4p ordinary

SWAP

Increasing Short

1,175

10.6285 GBP

0.4p ordinary

SWAP

Increasing Short

9,453

10.5921 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:

12 Jun 2024

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213