FORM 8.5
(EPT/NON-RI)
|
PUBLIC OPENING POSITION
DISCLOSURE/DEALING DISCLOSURE BY AN
|
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
|
(c)
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Name of the party to the offer with which exempt
principal trader is connected
|
HARGREAVES LANSDOWN PLC
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(d)
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Date position held/dealing undertaken:
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10 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
|
|
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:
|
728,164
|
0.15%
|
7,393,622
|
1.56%
|
(2)
Cash-settled derivatives:
|
7,362,548
|
1.55%
|
479,462
|
0.10%
|
(3)
Stock-settled derivatives (including options) and agreements to
purchase/sell:
|
0
|
0.00%
|
0
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0.00%
|
TOTAL:
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8,090,712
|
1.71%
|
7,873,084
|
1.66%
|
|
|
|
|
|
|
|
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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
|
(a)
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Purchase and sales
|
|
|
|
|
|
|
Class of relevant
security
|
Purchase/sale
|
Total number of
securities
|
Highest price per unit
paid/received
|
Lowest price per unit
paid/received
|
0.4p
ordinary
|
Purchase
|
329966
|
10.8705
GBP
|
10.6450
GBP
|
0.4p
ordinary
|
Sale
|
253374
|
10.8550
GBP
|
10.6357
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
|
5,373
|
10.7400
GBP
|
0.4p
ordinary
|
SWAP
|
Closing
Long
|
14,637
|
10.7619
GBP
|
0.4p
ordinary
|
SWAP
|
Closing
Long
|
23,233
|
10.7346
GBP
|
0.4p
ordinary
|
SWAP
|
Closing
Short
|
1,168
|
10.7400
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
23
|
10.7222
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
62
|
10.7300
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
116
|
10.7249
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
214
|
10.7556
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
227
|
10.7550
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
270
|
10.7403
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
444
|
10.8705
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
532
|
10.7557
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
572
|
10.7354
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
646
|
10.7140
GBP
|
0.4p
ordinary
|
CFD
|
Decreasing
Long
|
714
|
10.8003
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
1,180
|
10.7562
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
2,200
|
10.7400
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
3,254
|
10.7416
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
3,465
|
10.7362
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
3,774
|
10.7328
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
4,238
|
10.7593
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
4,717
|
10.7980
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
5,177
|
10.7404
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
5,415
|
10.7692
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
7,089
|
10.7891
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
12,121
|
10.7378
GBP
|
0.4p
ordinary
|
CFD
|
Decreasing
Long
|
12,139
|
10.7720
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
14,234
|
10.7351
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
19,617
|
10.7386
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
81,269
|
10.7400
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Short
|
166
|
10.8335
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Short
|
1,046
|
10.7237
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
19
|
10.8349
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
44
|
10.8059
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
162
|
10.8503
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
163
|
10.7400
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
848
|
10.7126
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
1,064
|
10.7400
GBP
|
0.4p
ordinary
|
CFD
|
Increasing
Long
|
2,699
|
10.6357
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
3,938
|
10.7730
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
8,134
|
10.7842
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
8,997
|
10.7827
GBP
|
0.4p
ordinary
|
CFD
|
Increasing
Long
|
9,440
|
10.7400
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
12,077
|
10.7769
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
12,706
|
10.8033
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
29,148
|
10.7739
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)
|
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
|
(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:
|
11 Jun 2024
|
Contact name:
|
Large Holdings Regulatory
Operations
|
Telephone number:
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020 3134
7213
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