FORM 8.5
(EPT/NON-RI)
|
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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12 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)
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Class of relevant security:
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0.4p ordinary
|
|
Interests
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Short
Positions
|
Number
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(%)
|
Number
|
(%)
|
(1)
Relevant securities owned and/or controlled:
|
673,053
|
0.14%
|
6,167,025
|
1.30%
|
(2)
Cash-settled derivatives:
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6,159,994
|
1.30%
|
442,095
|
0.09%
|
(3)
Stock-settled derivatives (including options) and agreements to
purchase/sell:
|
0
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0.00%
|
0
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0.00%
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TOTAL:
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6,833,047
|
1.44%
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6,609,120
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1.39%
|
|
|
|
|
|
|
|
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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
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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
|
Highest price per unit
paid/received
|
Lowest price per unit
paid/received
|
0.4p
ordinary
|
Purchase
|
1931777
|
10.7500
GBP
|
10.6200
GBP
|
0.4p
ordinary
|
Sale
|
964335
|
10.7500
GBP
|
10.6200
GBP
|
|
|
|
|
|
|
|
|
(b)
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Cash-settled derivative transactions
|
Class of
relevant
security
|
Product
description
|
Nature of
dealing
|
Number of
reference
securities
|
Price per
unit
|
0.4p
ordinary
|
CFD
|
Closing
Long
|
33
|
10.6860
GBP
|
0.4p
ordinary
|
SWAP
|
Closing
Long
|
60
|
10.6405
GBP
|
0.4p
ordinary
|
CFD
|
Closing
Long
|
1,383
|
10.6400
GBP
|
0.4p
ordinary
|
SWAP
|
Closing
Long
|
6,430
|
10.7070
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
799
|
10.6851
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
1,048
|
10.6617
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
1,066
|
10.6279
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
1,310
|
10.6653
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
1,572
|
10.6573
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
2,353
|
10.6288
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
2,620
|
10.6564
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
2,821
|
10.6306
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
3,611
|
10.6895
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
5,137
|
10.6954
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
5,225
|
10.6874
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
6,341
|
10.6992
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
7,051
|
10.6410
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
7,605
|
10.6900
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
7,654
|
10.6732
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
8,065
|
10.6804
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
9,807
|
10.7000
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
12,439
|
10.6404
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
13,374
|
10.6450
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
15,251
|
10.6905
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
21,735
|
10.6861
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
35,311
|
10.6790
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
41,334
|
10.6996
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
45,501
|
10.6440
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
57,547
|
10.6840
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
158,118
|
10.7012
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
232,510
|
10.6400
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
302,027
|
10.7043
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Short
|
100
|
10.6698
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Short
|
1,200
|
10.6730
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Short
|
60,816
|
10.6378
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
98
|
10.6249
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
293
|
10.6963
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
440
|
10.6652
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
506
|
10.7000
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
922
|
10.6827
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
5,954
|
10.6667
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
9,432
|
10.6650
GBP
|
0.4p
ordinary
|
CFD
|
Opening
Short
|
1,416
|
10.7470
GBP
|
0.4p
ordinary
|
CFD
|
Opening
Short
|
1,684
|
10.7264
GBP
|
0.4p
ordinary
|
CFD
|
Opening
Short
|
7,347
|
10.6458
GBP
|
0.4p
ordinary
|
CFD
|
Opening
Short
|
21,728
|
10.7263
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
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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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|
|
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Class of relevant
security
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Product
description
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Exercising/ exercised
against
|
Number of
securities
|
Exercise price per
unit
|
|
|
|
|
|
|
|
|
|
|
|
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(d)
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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
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(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 Jun 2024
|
Contact name:
|
Large Holdings Regulatory
Operations
|
Telephone number:
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020 3134
7213
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