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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 | |||||
(c) | Name of the party to the offer with which exempt | HARGREAVES LANSDOWN PLC | |||||
(d) | Date position held/dealing undertaken: | 26 Jun 2024 | |||||
(e) | In addition to the company in 1(b) above, is the exempt principal | NO | |||||
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: | 759,337 | 0.16% | 6,096,593 | 1.29% | |||
(2) Cash-settled derivatives: | 6,182,228 | 1.30% | 611,420 | 0.13% | |||
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||
| 6,941,565 | 1.46% | 6,708,013 | 1.41% | |||
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(b) | Rights to subscribe for new securities (including directors and other executive options) | ||||||
Class of relevant security in relation to |
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Details, including nature of the rights |
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3. | DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER | ||||||
(a) | Purchase and sales |
| | | | | |
Class of relevant | Purchase/sale | Total number of | Highest price per unit | Lowest price per unit | |||
0.4p ordinary | Purchase | 279183 | 11.4500 GBP | 11.3535 GBP | |||
0.4p ordinary | Sale | 263495 | 11.4450 GBP | 11.3514 GBP | |||
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(b) | Cash-settled derivative transactions | ||||||
Class of | Product description | Nature of dealing | Number of | Price per | |||
0.4p ordinary | SWAP | Closing Long | 24 | 11.4183 GBP | |||
0.4p ordinary | SWAP | Closing Long | 205 | 11.4003 GBP | |||
0.4p ordinary | SWAP | Closing Long | 694 | 11.4000 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 25 | 11.3800 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 69 | 11.3850 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 158 | 11.3800 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 242 | 11.4102 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 625 | 11.3500 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 1,005 | 11.4036 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 8,215 | 11.4368 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 8,373 | 11.4167 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 11,434 | 11.4378 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 51,983 | 11.4000 GBP | |||
0.4p ordinary | SWAP | Decreasing Short | 75 | 11.4321 GBP | |||
0.4p ordinary | SWAP | Decreasing Short | 11,829 | 11.3994 GBP | |||
0.4p ordinary | CFD | Decreasing Short | 46,218 | 11.4000 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 98 | 11.3970 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 450 | 11.3768 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 462 | 11.4250 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 509 | 11.3944 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 911 | 11.3952 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 967 | 11.3919 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 1,332 | 11.3948 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 3,059 | 11.4113 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 3,436 | 11.3999 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 3,977 | 11.4441 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 8,764 | 11.3961 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 20,211 | 11.4000 GBP | |||
0.4p ordinary | SWAP | Increasing Short | 78 | 11.4099 GBP | |||
0.4p ordinary | SWAP | Increasing Short | 150 | 11.3736 GBP | |||
0.4p ordinary | CFD | Increasing Short | 180 | 11.3803 GBP | |||
0.4p ordinary | CFD | Increasing Short | 1,501 | 11.4510 GBP | |||
0.4p ordinary | SWAP | Increasing Short | 4,000 | 11.4000 GBP | |||
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(c) | Stock-settled derivative transactions (including options) | ||||||
(i) | Writing, selling, purchasing or varying | ||||||
Class | Product | Writing, | Number | Exercise | Type | Expiry | Option |
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(ii) | Exercising |
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Class of relevant | Product description | Exercising/ exercised against | Number of | Exercise price per | |||
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(d) | Other dealings (including subscribing for new securities) | ||||||
Class of relevant | Nature of Dealings | Details | Price per unit (if | ||||
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4. | OTHER INFORMATION | ||||||
(a) | Indemnity and other dealings arrangements | ||||||
Details of any indemnity or option arrangement, or any agreement or understanding, | |||||||
NONE | |||||||
(b) | Agreements, arrangements or understandings relating to options or derivatives | ||||||
Details of any agreement, arrangement or understanding, formal or informal, between | |||||||
NONE | |||||||
(c) | Attachments | ||||||
Is a Supplemental Form 8 (Open Positions) attached? | NO | ||||||
Date of disclosure: | 27 Jun 2024 | ||||||
Contact name: | Large Holdings Regulatory Operations | ||||||
Telephone number: | 020 3134 7213 |
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