FORM 8.5
(EPT/NON-RI)
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PUBLIC OPENING POSITION
DISCLOSURE/DEALING DISCLOSURE BY AN
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EXEMPT PRINCIPAL TRADER
WITHOUT RECOGNISED INTERMEDIARY ("RI") STATUS
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(OR WHERE RI STATUS IS NOT
APPLICABLE)
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Rule 8.5 of the Takeover Code
(the "Code")
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1.
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KEY
INFORMATION
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(a)
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Name of exempt principal trader:
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BARCLAYS CAPITAL SECURITIES LTD
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(b)
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Name of offeror/offeree in relation to whose
relevant securities this form relates:
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HARGREAVES LANSDOWN PLC
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(c)
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Name of the party to the offer with which exempt
principal trader is connected
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HARGREAVES LANSDOWN PLC
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(d)
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Date position held/dealing undertaken:
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24 May 2024
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(e)
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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?
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NO
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2.
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POSITIONS OF THE EXEMPT PRINCIPAL TRADER
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(a)
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Interests and short positions in the relevant securities of
the offeror or offeree
|
|
to
which the disclosure relates following the dealing (if
any)
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Class of relevant security:
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0.4p ordinary
|
|
Interests
|
Short
Positions
|
Number
|
(%)
|
Number
|
(%)
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(1)
Relevant securities owned and/or controlled:
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906,840
|
0.19%
|
9,441,412
|
1.99%
|
(2)
Cash-settled derivatives:
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9,456,034
|
1.99%
|
621,729
|
0.13%
|
(3)
Stock-settled derivatives (including options) and agreements to
purchase/sell:
|
0
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0.00%
|
0
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0.00%
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TOTAL:
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10,362,874
|
2.18%
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10,063,141
|
2.12%
|
|
|
|
|
|
|
|
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(b)
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Rights to subscribe for new securities (including directors
and other executive options)
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Class of relevant security in relation to
which subscription right exists
|
|
Details, including nature of the rights
concerned and relevant percentages:
|
|
3.
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DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL
TRADER
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(a)
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Purchase and sales
|
|
|
|
|
|
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Class of relevant
security
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Purchase/sale
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Total number of
securities
|
Highest price per unit
paid/received
|
Lowest price per unit
paid/received
|
0.4p
ordinary
|
Purchase
|
615759
|
10.9800
GBP
|
10.4950
GBP
|
0.4p
ordinary
|
Sale
|
489627
|
10.9800
GBP
|
10.4950
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
|
Closing
Long
|
2,230
|
10.7298
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
162
|
10.8353
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
202
|
10.9025
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
259
|
10.7699
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
290
|
10.8653
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
290
|
10.8503
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
290
|
10.9128
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
870
|
10.7195
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
3,385
|
10.9021
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
4,996
|
10.8340
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
15,949
|
10.7172
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
18,640
|
10.8324
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
25,495
|
10.6955
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
32,740
|
10.7347
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
35,012
|
10.7764
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
46,024
|
10.9000
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
49,206
|
10.8879
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
81,622
|
10.8957
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Short
|
250
|
10.8724
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Short
|
485
|
10.7876
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Short
|
1,595
|
10.7872
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Short
|
2,943
|
10.7911
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Short
|
6,023
|
10.7912
GBP
|
0.4p
ordinary
|
CFD
|
Decreasing
Short
|
7,517
|
10.6387
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
125
|
10.6300
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
576
|
10.7872
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
891
|
10.8978
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
1,552
|
10.8026
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
1,636
|
10.6467
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
3,021
|
10.8647
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
3,190
|
10.9041
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
3,320
|
10.8513
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
7,916
|
10.9000
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
25,725
|
10.9321
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
40,516
|
10.8020
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
75,327
|
10.7702
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Short
|
128
|
10.7150
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Short
|
968
|
10.7116
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Short
|
1,790
|
10.6680
GBP
|
0.4p
ordinary
|
CFD
|
Increasing
Short
|
11,686
|
10.8480
GBP
|
0.4p
ordinary
|
SWAP
|
Opening
Long
|
4,763
|
10.7396
GBP
|
0.4p
ordinary
|
SWAP
|
Opening
Long
|
19,776
|
10.6959
GBP
|
|
|
|
|
|
|
|
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(c)
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Stock-settled derivative transactions (including
options)
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(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
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
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(ii)
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Exercising
|
|
|
|
|
|
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Class of relevant
security
|
Product
description
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Exercising/ exercised
against
|
Number of
securities
|
Exercise price per
unit
|
|
|
|
|
|
|
|
|
|
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(d)
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Other dealings (including subscribing for new
securities)
|
Class of relevant
security
|
Nature of
Dealings
|
Details
|
Price per unit (if
applicable)
|
|
|
|
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4.
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OTHER INFORMATION
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(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
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(b)
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Agreements, arrangements or understandings relating to options
or derivatives
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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:
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NONE
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(c)
|
Attachments
|
Is
a Supplemental Form 8 (Open Positions) attached?
|
NO
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Date of disclosure:
|
28-May-24
|
Contact name:
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Large Holdings Regulatory
Operations
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Telephone number:
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020 3134
7213
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