| FORM 8.5 (EPT/NON-RI) - Amendment to 2a | |||||||
| 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: | 30 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 | ||||||
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| 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: | 3,556,873 | 0.75% | 522,659 | 0.11% | |||
| (2) Cash-settled derivatives: | 379,871 | 0.08% | 3,337,997 | 0.70% | |||
| (3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||
| | 3,936,744 | 0.83% | 3,860,656 | 0.81% | |||
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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 | 539721 | 11.1100 GBP | 11.0200 GBP | |||
| 0.4p ordinary | Sale | 484229 | 11.1100 GBP | 11.0150 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 | 100 | 11.0450 GBP | |||
| 0.4p ordinary | CFD | Decreasing Short | 24,648 | 11.1089 GBP | |||
| 0.4p ordinary | CFD | Increasing Short | 5,607 | 11.0273 GBP | |||
| 0.4p ordinary | CFD | Increasing Short | 551 | 11.0441 GBP | |||
| 0.4p ordinary | SWAP | Decreasing Short | 2,237 | 11.0375 GBP | |||
| 0.4p ordinary | SWAP | Increasing Short | 58,445 | 11.1027 GBP | |||
| 0.4p ordinary | SWAP | Decreasing Short | 32 | 11.0400 GBP | |||
| 0.4p ordinary | SWAP | Increasing Short | 25,776 | 11.0308 GBP | |||
| 0.4p ordinary | SWAP | Increasing Short | 172 | 11.0308 GBP | |||
| 0.4p ordinary | SWAP | Increasing Short | 16 | 11.0355 GBP | |||
| 0.4p ordinary | SWAP | Decreasing Short | 15,714 | 11.0265 GBP | |||
| 0.4p ordinary | SWAP | Decreasing Short | 556 | 11.0356 GBP | |||
| 0.4p ordinary | SWAP | Decreasing Short | 48,213 | 11.1074 GBP | |||
| 0.4p ordinary | SWAP | Decreasing Short | 26,433 | 11.1098 GBP | |||
| 0.4p ordinary | SWAP | Decreasing Short | 4,488 | 11.1100 GBP | |||
| 0.4p ordinary | SWAP | Increasing Short | 62,275 | 11.0293 GBP | |||
| 0.4p ordinary | SWAP | Increasing Short | 3,087 | 11.0308 GBP | |||
| 0.4p ordinary | SWAP | Increasing Short | 1,715 | 11.0324 GBP | |||
| 0.4p ordinary | SWAP | Increasing Short | 699 | 11.0344 GBP | |||
| 0.4p ordinary | SWAP | Increasing Long | 1,097 | 11.0230 GBP | |||
| 0.4p ordinary | SWAP | Decreasing Long | 171 | 11.0245 GBP | |||
| 0.4p ordinary | SWAP | Decreasing Long | 150 | 11.0271 GBP | |||
| 0.4p ordinary | SWAP | Decreasing Long | 5,748 | 11.0321 GBP | |||
| 0.4p ordinary | SWAP | Decreasing Long | 985 | 11.0464 GBP | |||
| 0.4p ordinary | SWAP | Decreasing Short | 109 | 11.0316 GBP | |||
| 0.4p ordinary | SWAP | Increasing Long | 14,677 | 11.1100 GBP | |||
| 0.4p ordinary | SWAP | Decreasing Long | 2,296 | 11.0287 GBP | |||
| 0.4p ordinary | SWAP | Decreasing Long | 13,185 | 11.0302 GBP | |||
| 0.4p ordinary | SWAP | Increasing Short | 120,718 | 11.0200 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: | 02 Sep 2024 | ||||||
| Contact name: | Large Holdings Regulatory Operations | ||||||
| Telephone number: | 020 3134 7213 | ||||||
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