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

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

Replaces form released on 11:42 13/06/2024

RNS Number : 3508S

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:

12-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:

673,053

0.14%

6,170,293

1.30%

(2) Cash-settled derivatives:

6,159,994

1.29%

442,095

0.09%

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

0

0.00%

0

0.00%

6,833,047

1.43%

6,609,120

1.39%

 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

1931777

10.7500 GBP

10.6200 GBP

0.4p ordinary

Sale

967602

10.7500 GBP

10.6200 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

CFD

Closing Long

33

10.6860 GBP

0.4p ordinary

SWAP

Closing Long

60

10.6405 GBP

0.4p ordinary

CFD

Closing Long

1,383

10.6400 GBP

0.4p ordinary

SWAP

Closing Long

6,430

10.7070 GBP

0.4p ordinary

SWAP

Decreasing Long

799

10.6851 GBP

0.4p ordinary

SWAP

Decreasing Long

1,048

10.6617 GBP

0.4p ordinary

SWAP

Decreasing Long

1,066

10.6279 GBP

0.4p ordinary

SWAP

Decreasing Long

1,310

10.6653 GBP

0.4p ordinary

SWAP

Decreasing Long

1,572

10.6573 GBP

0.4p ordinary

SWAP

Decreasing Long

2,353

10.6288 GBP

0.4p ordinary

SWAP

Decreasing Long

2,620

10.6564 GBP

0.4p ordinary

SWAP

Decreasing Long

2,821

10.6306 GBP

0.4p ordinary

SWAP

Decreasing Long

3,611

10.6895 GBP

0.4p ordinary

SWAP

Decreasing Long

5,137

10.6954 GBP

0.4p ordinary

SWAP

Decreasing Long

5,225

10.6874 GBP

0.4p ordinary

SWAP

Decreasing Long

6,341

10.6992 GBP

0.4p ordinary

SWAP

Decreasing Long

7,051

10.6410 GBP

0.4p ordinary

SWAP

Decreasing Long

7,605

10.6900 GBP

0.4p ordinary

SWAP

Decreasing Long

7,654

10.6732 GBP

0.4p ordinary

SWAP

Decreasing Long

8,065

10.6804 GBP

0.4p ordinary

SWAP

Decreasing Long

9,807

10.7000 GBP

0.4p ordinary

SWAP

Decreasing Long

12,439

10.6404 GBP

0.4p ordinary

SWAP

Decreasing Long

13,374

10.6450 GBP

0.4p ordinary

SWAP

Decreasing Long

15,251

10.6905 GBP

0.4p ordinary

SWAP

Decreasing Long

21,735

10.6861 GBP

0.4p ordinary

SWAP

Decreasing Long

35,311

10.6790 GBP

0.4p ordinary

SWAP

Decreasing Long

41,334

10.6996 GBP

0.4p ordinary

SWAP

Decreasing Long

45,501

10.6440 GBP

0.4p ordinary

SWAP

Decreasing Long

57,547

10.6840 GBP

0.4p ordinary

SWAP

Decreasing Long

158,118

10.7012 GBP

0.4p ordinary

SWAP

Decreasing Long

232,510

10.6400 GBP

0.4p ordinary

SWAP

Decreasing Long

302,027

10.7043 GBP

0.4p ordinary

SWAP

Decreasing Short

100

10.6698 GBP

0.4p ordinary

SWAP

Decreasing Short

1,200

10.6730 GBP

0.4p ordinary

SWAP

Decreasing Short

60,816

10.6378 GBP

0.4p ordinary

SWAP

Increasing Long

98

10.6249 GBP

0.4p ordinary

SWAP

Increasing Long

293

10.6963 GBP

0.4p ordinary

SWAP

Increasing Long

440

10.6652 GBP

0.4p ordinary

SWAP

Increasing Long

506

10.7000 GBP

0.4p ordinary

SWAP

Increasing Long

922

10.6827 GBP

0.4p ordinary

SWAP

Increasing Long

5,954

10.6667 GBP

0.4p ordinary

SWAP

Increasing Long

9,432

10.6650 GBP

0.4p ordinary

CFD

Closing Short

1,416

10.7470 GBP

0.4p ordinary

CFD

Opening Short

1,684

10.7264 GBP

0.4p ordinary

CFD

Opening Short

7,347

10.6458 GBP

0.4p ordinary

CFD

Opening Short

21,728

10.7263 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

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