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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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05 Jun 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
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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
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Interests
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Short
Positions
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Number
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(%)
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Number
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(%)
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(1)
Relevant securities owned and/or controlled:
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696,370
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0.15%
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8,451,524
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1.78%
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(2)
Cash-settled derivatives:
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8,440,445
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1.78%
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480,367
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0.10%
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(3)
Stock-settled derivatives (including options) and agreements to
purchase/sell:
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0
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0.00%
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0
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0.00%
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TOTAL:
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9,136,815
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1.93%
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8,931,891
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1.88%
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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
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Details, including nature of the rights
concerned and relevant percentages:
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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
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Highest price per unit
paid/received
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Lowest price per unit
paid/received
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0.4p
ordinary
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Purchase
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457100
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10.7607
GBP
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10.6909
GBP
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0.4p
ordinary
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Sale
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197683
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10.7550
GBP
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10.6500
GBP
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(b)
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Cash-settled derivative transactions
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Class of
relevant
security
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Product
description
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Nature of
dealing
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Number of
reference
securities
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Price per
unit
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0.4p
ordinary
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SWAP
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Decreasing
Long
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63
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10.7300
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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77
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10.7324
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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126
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10.6909
GBP
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0.4p
ordinary
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CFD
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Decreasing
Long
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153
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10.7128
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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192
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10.7182
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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239
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10.7156
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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265
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10.7453
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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326
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10.7606
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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488
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10.7350
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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875
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10.7254
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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1,124
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10.7049
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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1,132
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10.7091
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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1,300
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10.7061
GBP
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0.4p
ordinary
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CFD
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Decreasing
Long
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2,984
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10.7367
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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3,103
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10.7319
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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3,480
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10.7127
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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3,506
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10.7093
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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3,817
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10.7269
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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4,017
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10.6971
GBP
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0.4p
ordinary
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CFD
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Decreasing
Long
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4,225
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10.7231
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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6,378
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10.6954
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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10,355
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10.7396
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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11,601
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10.7275
GBP
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0.4p
ordinary
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CFD
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Decreasing
Long
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18,337
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10.7003
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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30,453
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10.7237
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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231,574
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10.6950
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Short
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74
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10.7199
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Short
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376
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10.7134
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Short
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598
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10.7364
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Short
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2,958
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10.7053
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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5
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10.7223
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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76
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10.7400
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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188
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10.7000
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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444
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10.6900
GBP
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0.4p
ordinary
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CFD
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Increasing
Long
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1,031
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10.7012
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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2,700
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10.7161
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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3,432
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10.7329
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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5,648
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10.7119
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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6,211
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10.7217
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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7,449
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10.7170
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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8,130
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10.6950
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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10,874
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10.7139
GBP
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0.4p
ordinary
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CFD
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Increasing
Long
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17,306
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10.6950
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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19,061
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10.7174
GBP
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0.4p
ordinary
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SWAP
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Increasing
Short
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794
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10.7197
GBP
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(c)
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Stock-settled derivative transactions (including
options)
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(i)
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Writing, selling, purchasing or varying
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Class of
relevant security
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Product
description
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Writing,
purchasing, selling, varying etc
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Number of
securities to which option
relates
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Exercise price per
unit
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Type
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Expiry
date
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Option money
paid/ received per unit
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(ii)
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Exercising
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Class of relevant
security
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Product
description
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Exercising/ exercised
against
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Number of
securities
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Exercise price per
unit
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(d)
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Other dealings (including subscribing for new
securities)
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Class of relevant
security
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Nature of
Dealings
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Details
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Price per unit (if
applicable)
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4.
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OTHER INFORMATION
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(a)
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Indemnity and other dealings arrangements
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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:
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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)
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Attachments
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Is
a Supplemental Form 8 (Open Positions) attached?
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NO
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Date of disclosure:
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06 Jun 2024
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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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