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% | |||
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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 | 347690 | 11.0186 GBP | 11.0000 GBP | |||
0.4p ordinary | Sale | 193821 | 11.0300 GBP | 10.9900 GBP | |||
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(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 | |||
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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 Aug 2024 | ||||||
Contact name: | Large Holdings Regulatory Operations | ||||||
Telephone number: | 020 3134 7213 |
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