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FORM 8.5 (EPT/NON-RI) Amendment in 2(a) and 3(a) | |||||||
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: | 03 Jul 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: | 774,810 | 0.16% | 5,231,385 | 1.10% | |||
(2) Cash-settled derivatives: | 5,100,229 | 1.08% | 635,355 | 0.13% | |||
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||
| 5,875,039 | 1.24% | 5,866,740 | 1.24% | |||
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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 | 455056 | 11.2457 GBP | 11.1494 GBP | |||
0.4p ordinary | Sale | 274957 | 11.2400 GBP | 11.1499 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 | Decreasing Short | 5,800 | 11.1500 GBP | |||
0.4p ordinary | CFD | Increasing Short | 7,133 | 11.1510 GBP | |||
0.4p ordinary | CFD | Increasing Short | 3,366 | 11.1886 GBP | |||
0.4p ordinary | SWAP | Increasing Short | 20 | 11.2351 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 279 | 11.2100 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 22,630 | 11.1518 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 23,007 | 11.1500 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 60 | 11.2000 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 806 | 11.2111 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 507 | 11.2224 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 72,474 | 11.1500 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 9,385 | 11.1857 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 70,006 | 11.2041 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 1,850 | 11.2071 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 1,358 | 11.2266 GBP | |||
0.4p ordinary | SWAP | Opening Long | 15,687 | 11.1499 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 794 | 11.1752 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 104 | 11.1899 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 4,290 | 11.2066 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 12,033 | 11.2121 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 2,359 | 11.2182 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 3,573 | 11.1500 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 14,826 | 11.2006 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 2,503 | 11.2403 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 377 | 11.2457 GBP | |||
0.4p ordinary | SWAP | Increasing Short | 125 | 11.2341 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 2,240 | 11.1502 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 6,384 | 11.1625 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 1,190 | 11.1921 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 2,682 | 11.2065 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 60,416 | 11.1500 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 14,539 | 11.1600 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: | 08 Jul 2024 | ||||||
Contact name: | Large Holdings Regulatory Operations | ||||||
Telephone number: | 020 3134 7213 |
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