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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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18 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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746,791
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0.16%
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6,157,224
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1.30%
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(2)
Cash-settled derivatives:
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6,251,246
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1.32%
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595,930
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0.13%
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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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6,998,037
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1.48%
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6,753,154
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1.42%
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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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1668670
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11.3560
GBP
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10.6250
GBP
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0.4p
ordinary
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Sale
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2039667
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11.3022
GBP
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10.6255
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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173,953
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11.2657
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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13
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11.2423
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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75
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10.8600
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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1,247
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10.8155
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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3,210
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11.1237
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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5,444
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10.7283
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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8,478
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10.8821
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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8,766
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11.2960
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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8,783
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10.5507
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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14,702
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11.1897
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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14,797
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11.2089
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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15,382
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11.0026
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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17,438
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11.2757
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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17,472
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10.7314
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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63,957
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11.3000
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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88,131
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10.9792
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Long
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114,175
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10.9775
GBP
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0.4p
ordinary
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CFD
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Decreasing
Short
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608
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10.9921
GBP
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0.4p
ordinary
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SWAP
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Decreasing
Short
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1,825
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11.0212
GBP
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0.4p
ordinary
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CFD
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Decreasing
Short
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10,330
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10.9880
GBP
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0.4p
ordinary
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CFD
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Decreasing
Short
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18,037
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11.2445
GBP
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0.4p
ordinary
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CFD
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Decreasing
Short
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50,000
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11.2625
GBP
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0.4p
ordinary
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CFD
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Decreasing
Short
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109,617
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11.3000
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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250
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10.6956
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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1,079
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11.0035
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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1,319
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11.2777
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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1,355
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11.2561
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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2,279
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11.2939
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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2,438
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11.2741
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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2,659
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11.2575
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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2,979
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11.2607
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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5,394
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11.2997
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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6,717
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11.2457
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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9,346
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11.2292
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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11,203
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11.2340
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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23,410
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11.2806
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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24,624
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11.2498
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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28,016
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11.2788
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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30,502
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10.8520
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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40,480
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11.2605
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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40,500
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11.2806
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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67,922
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11.1470
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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89,567
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11.2433
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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113,850
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11.1806
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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185,262
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11.3000
GBP
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0.4p
ordinary
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SWAP
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Increasing
Long
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236,752
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11.1903
GBP
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0.4p
ordinary
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SWAP
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Increasing
Short
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185
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11.2550
GBP
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0.4p
ordinary
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SWAP
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Increasing
Short
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1,000
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10.8510
GBP
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0.4p
ordinary
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CFD
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Increasing
Short
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3,000
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11.2590
GBP
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0.4p
ordinary
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CFD
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Increasing
Short
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5,000
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11.2858
GBP
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0.4p
ordinary
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CFD
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Increasing
Short
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5,000
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11.2408
GBP
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0.4p
ordinary
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CFD
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Increasing
Short
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7,334
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10.7184
GBP
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0.4p
ordinary
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SWAP
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Increasing
Short
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9,349
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11.3022
GBP
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0.4p
ordinary
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CFD
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Increasing
Short
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119,947
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11.1504
GBP
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0.4p
ordinary
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SWAP
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Opening
Short
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54,800
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11.3000
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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19 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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