![](https://tracker.live.rns-distribution.com/track.live-rns/5321582_d9353a075fe0b610698e373da828b7e4.png)
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 Aug 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: | 3,029,943 | 0.64% | 503,290 | 0.11% | |||
(2) Cash-settled derivatives: | 387,171 | 0.08% | 2,905,580 | 0.61% | |||
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||
| 3,417,114 | 0.72% | 3,408,870 | 0.72% | |||
| | | | | | | |
(b) | Rights to subscribe for new securities (including directors and other executive options) | ||||||
Class of relevant security in relation to |
| ||||||
Details, including nature of the rights |
| ||||||
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 | 347690 | 11.0186 GBP | 11.0000 GBP | |||
0.4p ordinary | Sale | 193821 | 11.0300 GBP | 10.9900 GBP | |||
| | | | | | | |
(b) | a | ||||||
Class of | Product description | Nature of dealing | Number of | Price per | |||
0.4p ordinary | CFD | Increasing Short | 2,542 | 11.0174 GBP | |||
0.4p ordinary | SWAP | Decreasing Short | 1,149 | 11.0119 GBP | |||
0.4p ordinary | SWAP | Decreasing Short | 4,077 | 11.0035 GBP | |||
0.4p ordinary | SWAP | Decreasing Short | 57,120 | 11.0050 GBP | |||
0.4p ordinary | SWAP | Increasing Short | 6,139 | 11.0145 GBP | |||
0.4p ordinary | SWAP | Decreasing Short | 70 | 11.0099 GBP | |||
0.4p ordinary | SWAP | Increasing Short | 107,529 | 11.0008 GBP | |||
0.4p ordinary | SWAP | Increasing Short | 796 | 11.0008 GBP | |||
0.4p ordinary | SWAP | Decreasing Short | 8,238 | 11.0030 GBP | |||
0.4p ordinary | SWAP | Decreasing Short | 14,280 | 11.0041 GBP | |||
0.4p ordinary | SWAP | Decreasing Short | 14,998 | 11.0052 GBP | |||
0.4p ordinary | SWAP | Decreasing Short | 15,354 | 11.0174 GBP | |||
0.4p ordinary | SWAP | Increasing Short | 32,600 | 11.0050 GBP | |||
0.4p ordinary | SWAP | Increasing Short | 6,921 | 11.0067 GBP | |||
0.4p ordinary | SWAP | Increasing Short | 453 | 11.0078 GBP | |||
0.4p ordinary | SWAP | Increasing Short | 6,241 | 11.0123 GBP | |||
0.4p ordinary | SWAP | Increasing Short | 14,030 | 11.0140 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 818 | 11.0109 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 225 | 11.0110 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 1,778 | 11.0137 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 372 | 11.0142 GBP | |||
0.4p ordinary | SWAP | Increasing Short | 24,257 | 11.0072 GBP | |||
0.4p ordinary | SWAP | Decreasing Short | 958 | 11.0119 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 14,822 | 11.0041 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 24,713 | 11.0050 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 6,150 | 11.0091 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 39,627 | 11.0097 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 284 | 11.0125 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 4,379 | 11.0143 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 635 | 11.0150 GBP | |||
0.4p ordinary | SWAP | Opening Short | 2,513 | 10.9999 GBP | |||
0.4p ordinary | SWAP | Increasing Short | 1,081 | 11.0080 GBP | |||
0.4p ordinary | SWAP | Increasing Short | 3,737 | 11.0000 GBP | |||
| | | | | | | |
(c) | Stock-settled derivative transactions (including options) | ||||||
(i) | Writing, selling, purchasing or varying | ||||||
Class | Product | Writing, | Number | Exercise | Type | Expiry | Option |
|
|
|
|
|
|
|
|
| | | | | | | |
(ii) | Exercising |
| | | | | |
Class of relevant | Product description | Exercising/ exercised against | Number of | Exercise price per | |||
|
|
|
|
| |||
| | | | | | | |
(d) | Other dealings (including subscribing for new securities) | ||||||
Class of relevant | Nature of Dealings | Details | Price per unit (if | ||||
|
|
|
| ||||
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 Aug 2024 | ||||||
Contact name: | Large Holdings Regulatory Operations | ||||||
Telephone number: | 020 3134 7213 |
RNS may use your IP address to confirm compliance with the terms and conditions, to analyse how you engage with the information contained in this communication, and to share such analysis on an anonymised basis with others as part of our commercial services. For further information about how RNS and the London Stock Exchange use the personal data you provide us, please see our Privacy Policy.