|
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:
|
|
10
Sep 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:
|
|
|
3,853,492
|
0.81%
|
436,197
|
0.09%
|
|
(2)
|
Cash-settled derivatives:
|
|
|
|
|
|
|
and/or controlled:
|
|
|
614,226
|
0.13%
|
3,769,042
|
0.79%
|
|
(3)
|
Stock-settled derivatives (including
options)
|
|
|
|
|
|
|
and
agreements to purchase/sell:
|
|
|
0
|
0.00%
|
0
|
0.00%
|
|
|
|
|
|
|
|
|
|
|
|
TOTAL:
|
|
|
4,467,718
|
0.94%
|
4,205,239
|
0.89%
|
|
(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
|
255,868
|
11.0794 GBP
|
11.0450 GBP
|
|
0.4p
ordinary
|
Sale
|
131,764
|
11.0700 GBP
|
11.0450 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
|
Decreasing Short
|
35
|
11.0491 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Short
|
5,958
|
11.0531 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Short
|
300
|
11.0565 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Short
|
468
|
11.0571 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Short
|
4,661
|
11.0586 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Short
|
12,605
|
11.0590 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Short
|
19,321
|
11.0600 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Short
|
1,045
|
11.0608 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Short
|
143
|
11.0632 GBP
|
|
0.4p
ordinary
|
SWAP
|
Decreasing Short
|
43
|
11.0850 GBP
|
|
0.4p
ordinary
|
SWAP
|
Increasing Short
|
7,181
|
11.0529 GBP
|
|
0.4p
ordinary
|
SWAP
|
Increasing Short
|
50
|
11.0550 GBP
|
|
0.4p
ordinary
|
SWAP
|
Increasing Short
|
10,689
|
11.0574 GBP
|
|
0.4p
ordinary
|
SWAP
|
Increasing Short
|
34,685
|
11.0579 GBP
|
|
0.4p
ordinary
|
SWAP
|
Increasing Short
|
14,141
|
11.0584 GBP
|
|
0.4p
ordinary
|
SWAP
|
Increasing Short
|
3,951
|
11.0596 GBP
|
|
0.4p
ordinary
|
SWAP
|
Increasing Short
|
9,075
|
11.0599 GBP
|
|
0.4p
ordinary
|
SWAP
|
Increasing Short
|
47,868
|
11.0600 GBP
|
|
0.4p
ordinary
|
SWAP
|
Increasing Short
|
10
|
11.0601 GBP
|
|
0.4p
ordinary
|
SWAP
|
Increasing Short
|
2,545
|
11.0603 GBP
|
|
0.4p
ordinary
|
SWAP
|
Increasing Short
|
2,649
|
11.0605 GBP
|
|
0.4p
ordinary
|
SWAP
|
Increasing Short
|
89
|
11.0607 GBP
|
|
0.4p
ordinary
|
SWAP
|
Increasing Short
|
59,110
|
11.0667 GBP
|
|
0.4p
ordinary
|
SWAP
|
Increasing Short
|
450
|
11.0700 GBP
|
|
0.4p
ordinary
|
SWAP
|
Increasing Short
|
1,318
|
11.0993 GBP
|
|
0.4p
ordinary
|
CFD
|
Decreasing Short
|
52
|
11.0840 GBP
|
|
0.4p
ordinary
|
CFD
|
Increasing Short
|
52
|
11.0509 GBP
|
|
0.4p
ordinary
|
CFD
|
Increasing Short
|
8,319
|
11.0591 GBP
|
|
0.4p
ordinary
|
CFD
|
Increasing Short
|
8,814
|
11.0594 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:
|
11 Sep 2024
|
|
Contact name:
|
Large Holdings Regulatory
Operations
|
|
Telephone number:
|
020 3134
7213
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|