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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: | 22 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: | 747,319 | 0.16% | 4,239,323 | 0.89% | |||
(2) Cash-settled derivatives: | 4,113,728 | 0.87% | 562,352 | 0.12% | |||
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||
| 4,861,047 | 1.02% | 4,801,675 | 1.01% | |||
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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 | 242684 | 11.2050 GBP | 11.1233 GBP | |||
0.4p ordinary | Sale | 129299 | 11.1900 GBP | 11.0900 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 | Increasing Short | 173 | 11.1810 GBP | |||
0.4p ordinary | SWAP | Increasing Short | 7,200 | 11.1850 GBP | |||
0.4p ordinary | CFD | Increasing Short | 4,723 | 11.1900 GBP | |||
0.4p ordinary | CFD | Increasing Short | 1,961 | 11.1930 GBP | |||
0.4p ordinary | SWAP | Increasing Short | 1,040 | 11.1669 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 1,599 | 11.1243 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 250 | 11.1537 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 157 | 11.1600 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 1,673 | 11.1847 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 634 | 11.1850 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 16,852 | 11.1775 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 6,773 | 11.1780 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 38,751 | 11.1849 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 26,587 | 11.1850 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 197 | 11.1900 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 13,617 | 11.1218 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 650 | 11.1648 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 181 | 11.1658 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 160 | 11.1788 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 22,047 | 11.1849 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 12 | 11.2124 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 164 | 11.1222 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 4 | 11.1700 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 6,218 | 11.1728 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 1,403 | 11.1809 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 14,320 | 11.1852 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 204 | 11.0900 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 283 | 11.1127 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 1,234 | 11.1850 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 3,321 | 11.1739 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 6,775 | 11.1794 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 21,706 | 11.1850 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 2,399 | 11.1218 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: | 23 Jul 2024 | ||||||
Contact name: | Large Holdings Regulatory Operations | ||||||
Telephone number: | 020 3134 7213 |
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