| 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 | ||||
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| relevant securities this form relates: |
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| (c) | Name of the party to the offer with which exempt | HARGREAVES LANSDOWN PLC | |||||
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| principal trader is connected |
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| (d) | Date position held/dealing undertaken: |
| 19 Aug 2024 | ||||
| (e) | In addition to the company in 1(b) above, is the exempt principal | NO |
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| trader making disclosures in respect of any other party to the offer? |
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| 2. | POSITIONS OF THE EXEMPT PRINCIPAL TRADER | ||||||
| (a) | Interests and short positions in the relevant securities of the offeror or offeree |
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| to which the disclosure relates following the dealing (if any) |
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| Class of relevant security: | 0.4p ordinary | ||||||
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| Interests | Short Positions | |||||
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| Number | (%) | Number | (%) | |||
| (1) | Relevant securities owned |
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| and/or controlled: |
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| 2,945,361 | 0.62% | 677,317 | 0.14% |
| (2) | Cash-settled derivatives: |
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| and/or controlled: |
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| 569,455 | 0.12% | 2,820,393 | 0.59% |
| (3) | Stock-settled derivatives (including options) |
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| and agreements to purchase/sell: |
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| 0 | 0.00% | 0 | 0.00% |
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| TOTAL: |
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| 3,514,816 | 0.74% | 3,497,710 | 0.74% |
| (b) | Rights to subscribe for new securities (including directors and other executive |
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| options) |
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| Class of relevant security in relation to |
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| which subscription right exists |
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| Details, including nature of the rights |
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| concerned and relevant percentages: |
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| 3. | DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER | ||||||
| (a) | Purchases and sales |
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| 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 | 589,244 | 11.0225 GBP | 10.9948 GBP | |||
| 0.4p ordinary | Sale | 91,920 | 11.0200 GBP | 11.0002 GBP | |||
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| (b) | Cash-settled derivative transactions |
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| Class of | Product | Nature of dealing | Number of | Price per | |||
| relevant | description |
| reference | unit | |||
| security |
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| securities |
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| 0.4p ordinary | SWAP | Increasing Short | 220 | 11.0163 GBP | |||
| 0.4p ordinary | CFD | Increasing Short | 51,315 | 11.0100 GBP | |||
| 0.4p ordinary | CFD | Increasing Short | 200 | 11.0206 GBP | |||
| 0.4p ordinary | SWAP | Decreasing Short | 1,576 | 11.0073 GBP | |||
| 0.4p ordinary | SWAP | Decreasing Short | 3,287 | 11.0134 GBP | |||
| 0.4p ordinary | SWAP | Increasing Short | 104,586 | 11.0098 GBP | |||
| 0.4p ordinary | SWAP | Increasing Short | 7,360 | 11.0100 GBP | |||
| 0.4p ordinary | SWAP | Decreasing Short | 34 | 11.0250 GBP | |||
| 0.4p ordinary | SWAP | Increasing Short | 6,853 | 10.9948 GBP | |||
| 0.4p ordinary | SWAP | Increasing Short | 50 | 10.9948 GBP | |||
| 0.4p ordinary | SWAP | Decreasing Short | 1,874 | 11.0002 GBP | |||
| 0.4p ordinary | SWAP | Decreasing Short | 444 | 11.0015 GBP | |||
| 0.4p ordinary | SWAP | Decreasing Short | 510 | 11.0050 GBP | |||
| 0.4p ordinary | SWAP | Decreasing Short | 7,035 | 11.0100 GBP | |||
| 0.4p ordinary | SWAP | Increasing Short | 28,217 | 11.0052 GBP | |||
| 0.4p ordinary | SWAP | Increasing Short | 24,629 | 11.0057 GBP | |||
| 0.4p ordinary | SWAP | Increasing Short | 118,017 | 11.0099 GBP | |||
| 0.4p ordinary | SWAP | Increasing Short | 1,133 | 11.0119 GBP | |||
| 0.4p ordinary | SWAP | Increasing Short | 1,203 | 11.0120 GBP | |||
| 0.4p ordinary | SWAP | Increasing Short | 19,477 | 11.0136 GBP | |||
| 0.4p ordinary | SWAP | Increasing Short | 3,359 | 11.0184 GBP | |||
| 0.4p ordinary | SWAP | Increasing Long | 5,615 | 11.0077 GBP | |||
| 0.4p ordinary | SWAP | Decreasing Long | 3,214 | 11.0022 GBP | |||
| 0.4p ordinary | SWAP | Decreasing Long | 1,746 | 11.0068 GBP | |||
| 0.4p ordinary | SWAP | Opening Short | 6,787 | 11.0071 GBP | |||
| 0.4p ordinary | SWAP | Decreasing Short | 885 | 11.0073 GBP | |||
| 0.4p ordinary | SWAP | Decreasing Short | 367 | 11.0078 GBP | |||
| 0.4p ordinary | SWAP | Increasing Long | 398 | 11.0003 GBP | |||
| 0.4p ordinary | SWAP | Decreasing Long | 3,410 | 11.0081 GBP | |||
| 0.4p ordinary | SWAP | Decreasing Long | 113,299 | 11.0100 GBP | |||
| 0.4p ordinary | SWAP | Decreasing Long | 20,610 | 11.0138 GBP | |||
| 0.4p ordinary | SWAP | Decreasing Long | 6,404 | 11.0144 GBP | |||
| 0.4p ordinary | SWAP | Increasing Short | 1,809 | 10.9950 GBP | |||
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| (c) | Stock-settled derivative transactions (including options) |
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| (i) | Writing, selling, purchasing or varying |
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| Class | Product | Writing, | Number | Exercise | Type | Expiry | Option |
| of | description | purchasing, | of | price |
| date | money |
| relevant |
| selling, | securities | per unit |
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| paid/ |
| security |
| varying etc | to which |
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| received |
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| option |
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| per unit |
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| relates |
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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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| securities | unit | |||
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| (d) | Other dealings (including subscribing for new securities) |
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| Class of relevant | Nature of Dealings | Details | Price per unit (if | ||||
| security |
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| applicable) | ||||
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| 4. | OTHER INFORMATION | ||||||
| (a) | Indemnity and other dealings arrangements |
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| Details of any indemnity or option arrangement, or any agreement or understanding, |
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| formal or informal, relating to relevant securities which may be an inducement to deal |
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| or refrain from dealing entered into by the exempt principal trader making the disclosure and any party |
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| to the offer or any person acting in concert with a party to the offer: |
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| NONE | |||||||
| (b) | Agreements, arrangements or understandings relating to options or derivatives |
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| Details of any agreement, arrangement or understanding, formal or informal, between |
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| the exempt principal trader making the disclosure and any other person relating to: |
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| (i) the voting rights of any relevant securities under any option; or |
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| (ii) the voting rights of future acquisition or disposal of any relevant securities to which |
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| any derivative is referenced: |
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| NONE | |||||||
| (c) | Attachments |
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| Is a Supplemental Form 8 (Open Positions) attached? | NO | ||||||
| Date of disclosure: | 20 Aug 2024 | ||||||
| Contact name: | Large Holdings Regulatory Operations | ||||||
| Telephone number: | 020 3134 7213 | ||||||
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