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

FORM 8.5 (EPT/NON-RI)- Amendment to section 3b

Replaces form released on 11:35 19/08/2024

RNS Number : 9564A

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:

16 Aug 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:

2,598,571

0.55%

827,851

0.17%

(2) Cash-settled derivatives:

719,983

0.15%

2,469,048

0.52%

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

0

0.00%

0

0.00%

TOTAL: 

3,318,554

0.70%

3,296,899

0.70%

(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

1180395

11.0500 GBP

10.9912 GBP

0.4p ordinary

Sale

208718

11.0439 GBP

10.9925 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

Increasing Short

268

11.0049 GBP

0.4p ordinary

CFD

Increasing Short

86

11.0010 GBP

0.4p ordinary

CFD

Increasing Short

7,718

11.0193 GBP

0.4p ordinary

SWAP

Decreasing Short

159

10.9950 GBP

0.4p ordinary

SWAP

Decreasing Short

44,040

10.9950 GBP

0.4p ordinary

SWAP

Decreasing Short

7,590

11.0342 GBP

0.4p ordinary

SWAP

Increasing Short

13,838

11.0075 GBP

0.4p ordinary

SWAP

Decreasing Short

131

11.0065 GBP

0.4p ordinary

SWAP

Increasing Short

57,547

10.9966 GBP

0.4p ordinary

SWAP

Increasing Short

440,327

11.0076 GBP

0.4p ordinary

SWAP

Increasing Short

425

10.9966 GBP

0.4p ordinary

SWAP

Increasing Short

3,235

11.0076 GBP

0.4p ordinary

SWAP

Increasing Short

469

11.0000 GBP

0.4p ordinary

SWAP

Decreasing Short

5

10.9900 GBP

0.4p ordinary

SWAP

Decreasing Short

25,292

10.9950 GBP

0.4p ordinary

SWAP

Decreasing Short

19,071

10.9965 GBP

0.4p ordinary

SWAP

Increasing Short

95,212

10.9958 GBP

0.4p ordinary

SWAP

Increasing Short

56,597

10.9961 GBP

0.4p ordinary

SWAP

Increasing Short

88,055

10.9992 GBP

0.4p ordinary

SWAP

Increasing Short

48,515

11.0048 GBP

0.4p ordinary

SWAP

Increasing Short

271

11.0150 GBP

0.4p ordinary

SWAP

Increasing Long

6,639

11.0018 GBP

0.4p ordinary

SWAP

Decreasing Long

29,722

11.0129 GBP

0.4p ordinary

SWAP

Decreasing Long

5,902

11.0295 GBP

0.4p ordinary

SWAP

Decreasing Long

11,525

11.0296 GBP

0.4p ordinary

SWAP

Decreasing Long

5,170

11.0389 GBP

0.4p ordinary

SWAP

Decreasing Short

90

10.9950 GBP

0.4p ordinary

SWAP

Decreasing Short

574

11.0076 GBP

0.4p ordinary

SWAP

Increasing Long

6,928

10.9993 GBP

0.4p ordinary

SWAP

Decreasing Long

44,212

10.9950 GBP

0.4p ordinary

SWAP

Decreasing Long

133,415

11.0053 GBP

0.4p ordinary

SWAP

Decreasing Long

28,715

11.0070 GBP

0.4p ordinary

SWAP

Decreasing Long

11,053

10.9900 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:

19 Aug 2024

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213