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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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07 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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732,195
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0.15%
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7,473,755
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1.58%
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(2)
Cash-settled derivatives:
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7,460,041
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1.57%
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481,842
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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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8,192,236
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1.73%
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7,955,597
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1.68%
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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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444129
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10.6940
GBP
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10.5771
GBP
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0.4p
ordinary
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Sale
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164553
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10.6900
GBP
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10.5550
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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Closing
Long
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45
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10.6751
GBP
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0.4p
ordinary
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SWAP
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Closing
Long
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1,028
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10.5850
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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123
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10.6065
GBP
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0.4p
ordinary
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CFD
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Decreasing
Long
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142
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10.6553
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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166
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10.6604
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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206
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10.6788
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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216
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10.6806
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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233
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10.6656
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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238
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10.6706
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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263
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10.6824
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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264
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10.6756
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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270
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10.6654
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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329
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10.6463
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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356
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10.6670
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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390
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10.6134
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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443
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10.6782
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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460
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10.6356
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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477
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10.6593
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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484
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10.6721
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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548
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10.6808
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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642
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10.6517
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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794
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10.6932
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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846
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10.6804
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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879
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10.6805
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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1,079
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10.6779
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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1,148
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10.5771
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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1,472
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10.6241
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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1,507
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10.6312
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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1,990
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10.6657
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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2,019
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10.6854
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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2,020
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10.6940
GBP
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0.4p
ordinary
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CFD
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Decreasing
Long
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3,792
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10.6421
GBP
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0.4p
ordinary
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CFD
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Decreasing
Long
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6,784
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10.6436
GBP
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0.4p
ordinary
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CFD
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Decreasing
Long
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8,957
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10.5859
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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10,082
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10.6176
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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13,460
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10.6676
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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34,282
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10.6170
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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36,665
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10.6282
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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189,104
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10.5850
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Short
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39
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10.6449
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Short
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186
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10.6450
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Short
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2,692
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10.6317
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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31
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10.6765
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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360
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10.5849
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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559
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10.5800
GBP
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0.4p
ordinary
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CFD
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Increasing
Long
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1,003
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10.5850
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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1,445
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10.6245
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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1,548
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10.5850
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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1,876
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10.6512
GBP
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0.4p
ordinary
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CFD
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Increasing
Long
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2,789
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10.6368
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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6,626
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10.6493
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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9,279
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10.5885
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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12,068
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10.6185
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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10 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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