Form8.5 (EPT/NON-RI) HARGREAVES LANSDOWN PLC Amend

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

Replaces form released on 11:19 14/06/2024

RNS Number : 5324S

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:

13-Jun-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:

666,919

0.14%

5,929,970

1.25%

(2) Cash-settled derivatives:

6,068,554

1.27%

588,549

0.12%

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

0

0.00%

0

0.00%

6,735,473

1.41%

6,513,648

1.37%

 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

371640

10.7700 GBP

10.5616 GBP

0.4p ordinary

Sale

137451

10.7700 GBP

10.5687 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

Decreasing Long

45

10.6737 GBP

0.4p ordinary

SWAP

Decreasing Long

229

10.5616 GBP

0.4p ordinary

SWAP

Decreasing Long

539

10.6350 GBP

0.4p ordinary

SWAP

Decreasing Long

695

10.5785 GBP

0.4p ordinary

SWAP

Decreasing Long

915

10.6582 GBP

0.4p ordinary

SWAP

Decreasing Long

2,509

10.5947 GBP

0.4p ordinary

SWAP

Decreasing Long

4,340

10.5806 GBP

0.4p ordinary

SWAP

Decreasing Long

5,346

10.5908 GBP

0.4p ordinary

SWAP

Decreasing Long

10,148

10.6635 GBP

0.4p ordinary

SWAP

Decreasing Long

12,202

10.6712 GBP

0.4p ordinary

SWAP

Decreasing Long

12,279

10.5929 GBP

0.4p ordinary

SWAP

Decreasing Long

13,906

10.6874 GBP

0.4p ordinary

SWAP

Decreasing Long

14,766

10.6599 GBP

0.4p ordinary

SWAP

Decreasing Long

37,551

10.6600 GBP

0.4p ordinary

SWAP

Decreasing Short

677

10.6522 GBP

0.4p ordinary

CFD

Decreasing Short

2,165

10.6487 GBP

0.4p ordinary

CFD

Decreasing Short

4,614

10.6600 GBP

0.4p ordinary

SWAP

Decreasing Short

4,727

10.7259 GBP

0.4p ordinary

CFD

Decreasing Short

15,000

10.6098 GBP

0.4p ordinary

SWAP

Increasing Long

285

10.6444 GBP

0.4p ordinary

SWAP

Increasing Long

390

10.7347 GBP

0.4p ordinary

SWAP

Increasing Long

588

10.7421 GBP

0.4p ordinary

SWAP

Increasing Long

1,203

10.5904 GBP

0.4p ordinary

SWAP

Increasing Long

1,496

10.6599 GBP

0.4p ordinary

SWAP

Increasing Long

2,181

10.6306 GBP

0.4p ordinary

SWAP

Increasing Long

2,289

10.6283 GBP

0.4p ordinary

SWAP

Increasing Long

15,598

10.7247 GBP

0.4p ordinary

SWAP

Increasing Short

50

10.7136 GBP

0.4p ordinary

SWAP

Increasing Short

160

10.6649 GBP

0.4p ordinary

SWAP

Increasing Short

296

10.6701 GBP

0.4p ordinary

CFD

Increasing Short

1,352

10.5532 GBP

0.4p ordinary

CFD

Increasing Short

6,779

10.6373 GBP

0.4p ordinary

CFD

Increasing Short

165,000

10.6987 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:

19-Jun-24

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213