|
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
|
|
HARGREAVES LANSDOWN PLC
|
|
|
relevant securities this form relates:
|
|
|
(c)
|
Name of the party to the offer with which
exempt
|
HARGREAVES LANSDOWN PLC
|
|
|
principal trader is connected
|
|
|
|
(d)
|
Date position held/dealing undertaken:
|
|
12
Aug 2024
|
|
(e)
|
In
addition to the company in 1(b) above, is the exempt
principal
|
NO
|
|
|
|
|
trader making disclosures in respect of any other party to the
offer?
|
|
|
|
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:
|
|
|
1,127,016
|
0.24%
|
1,867,423
|
0.39%
|
|
(2)
|
Cash-settled derivatives:
|
|
|
|
|
|
|
and/or controlled:
|
|
|
1,747,552
|
0.37%
|
972,597
|
0.21%
|
|
(3)
|
Stock-settled derivatives (including
options)
|
|
|
|
|
|
|
and
agreements to purchase/sell:
|
|
|
0
|
0.00%
|
0
|
0.00%
|
|
|
|
|
|
|
|
|
|
|
|
TOTAL:
|
|
|
2,874,568
|
0.61%
|
2,840,020
|
0.60%
|
|
(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)
|
Purchases and sales
|
|
|
|
|
|
|
Class of
relevant
|
Purchase/sale
|
Total number
of
|
Highest price per
unit
|
Lowest price per
unit
|
|
security
|
|
securities
|
paid/received
|
paid/received
|
|
0.4p
ordinary
|
Purchase
|
780,667
|
11.0350 GBP
|
11.0100 GBP
|
|
0.4p
ordinary
|
Sale
|
244,160
|
11.0450 GBP
|
11.0100 GBP
|
|
|
|
|
|
|
|
|
|
|
(b)
|
Cash-settled derivative transactions
|
|
|
Class of
|
Product
|
Nature of
dealing
|
Number of
|
Price per
|
|
relevant
|
description
|
|
reference
|
unit
|
|
security
|
|
|
securities
|
|
|
0.4p
ordinary
|
SWAP
|
Increasing Short
|
200
|
11.0200 GBP
|
|
0.4p
ordinary
|
CFD
|
Decreasing Short
|
1,500
|
11.0090 GBP
|
|
0.4p
ordinary
|
CFD
|
Decreasing Short
|
36,615
|
11.0146 GBP
|
|
0.4p
ordinary
|
CFD
|
Decreasing Short
|
51,427
|
11.0177 GBP
|
|
0.4p
ordinary
|
CFD
|
Decreasing Short
|
3,902
|
11.0300 GBP
|
|
0.4p
ordinary
|
CFD
|
Decreasing Short
|
3,143
|
11.0302 GBP
|
|
0.4p
ordinary
|
CFD
|
Increasing Short
|
9,000
|
11.0150 GBP
|
|
0.4p
ordinary
|
CFD
|
Increasing Short
|
3,151
|
11.0252 GBP
|
|
0.4p
ordinary
|
CFD
|
Increasing Short
|
198
|
11.0268 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Short
|
1,116
|
11.0161 GBP
|
|
0.4p
ordinary
|
SWAP
|
Opening
Long
|
2,964
|
11.0200 GBP
|
|
0.4p
ordinary
|
SWAP
|
Closing
Long
|
1,408
|
11.0250 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Short
|
33,723
|
11.0200 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Short
|
479
|
11.0207 GBP
|
|
0.4p
ordinary
|
SWAP
|
Increasing Short
|
10,126
|
11.0173 GBP
|
|
0.4p
ordinary
|
SWAP
|
Increasing Short
|
112,642
|
11.0207 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Short
|
114
|
11.0181 GBP
|
|
0.4p
ordinary
|
SWAP
|
Opening
Short
|
32,168
|
11.0188 GBP
|
|
0.4p
ordinary
|
SWAP
|
Opening
Short
|
235
|
11.0188 GBP
|
|
0.4p
ordinary
|
SWAP
|
Increasing Long
|
22,763
|
11.0198 GBP
|
|
0.4p
ordinary
|
SWAP
|
Increasing Long
|
16,540
|
11.0233 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Long
|
3,172
|
11.0167 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Long
|
43,759
|
11.0182 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Long
|
14,077
|
11.0201 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Long
|
84,553
|
11.0203 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Long
|
1,826
|
11.0213 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Long
|
119,132
|
11.0223 GBP
|
|
0.4p
ordinary
|
SWAP
|
Increasing Long
|
20,447
|
11.0171 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Long
|
1,075
|
11.0220 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Long
|
2,336
|
11.0240 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Long
|
16,827
|
11.0272 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Long
|
1,475
|
11.0361 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Short
|
625
|
11.0161 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Short
|
300
|
11.0213 GBP
|
|
0.4p
ordinary
|
SWAP
|
Increasing Short
|
848
|
11.0239 GBP
|
|
0.4p
ordinary
|
SWAP
|
Increasing Long
|
463
|
11.0450 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Long
|
6,507
|
11.0171 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Long
|
130,200
|
11.0190 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Long
|
51,253
|
11.0200 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Long
|
66,300
|
11.0221 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Long
|
3,252
|
11.0229 GBP
|
|
0.4p
ordinary
|
SWAP
|
Increasing Short
|
14,853
|
11.0200 GBP
|
|
|
|
|
|
|
|
|
|
|
(c)
|
Stock-settled derivative transactions (including
options)
|
|
|
(i)
|
Writing, selling, purchasing or varying
|
|
|
Class
|
Product
|
Writing,
|
Number
|
Exercise
|
Type
|
Expiry
|
Option
|
|
of
|
description
|
purchasing,
|
of
|
price
|
|
date
|
money
|
|
relevant
|
|
selling,
|
securities
|
per unit
|
|
|
paid/
|
|
security
|
|
varying etc
|
to which
|
|
|
|
received
|
|
|
|
|
option
|
|
|
|
per unit
|
|
|
|
|
relates
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(ii)
|
Exercising
|
|
|
|
|
|
|
|
Class of
relevant
|
Product
description
|
Exercising/ exercised
against
|
Number of
|
Exercise price
per
|
|
security
|
|
|
securities
|
unit
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(d)
|
Other dealings (including subscribing for new
securities)
|
|
|
Class of
relevant
|
Nature of
Dealings
|
Details
|
Price per unit
(if
|
|
security
|
|
|
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:
|
13 Aug 2024
|
|
Contact name:
|
Large Holdings Regulatory
Operations
|
|
Telephone number:
|
020 3134
7213
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
