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: | 23 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: | 750,821 | 0.16% | 4,092,494 | 0.86% | |||
(2) Cash-settled derivatives: | 3,968,045 | 0.84% | 565,716 | 0.12% | |||
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||
| 4,718,866 | 0.99% | 4,658,210 | 0.98% | |||
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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 | 329154 | 11.1628 GBP | 11.0494 GBP | |||
0.4p ordinary | Sale | 178823 | 11.1650 GBP | 11.0499 GBP | |||
| | | | | | | |
(b) | Cash-settled derivative transactions | ||||||
Class of | Product description | Nature of dealing | Number of | Price per | |||
0.4p ordinary | SWAP | Increasing Short | 130 | 11.0709 GBP | |||
0.4p ordinary | CFD | Increasing Short | 2,859 | 11.1503 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 9,345 | 11.0500 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 71 | 11.0900 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 18,196 | 11.0974 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 95,431 | 11.0500 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 3,335 | 11.0527 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 6,064 | 11.1037 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 32,406 | 11.1404 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 19,864 | 11.0499 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 2,367 | 11.0863 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 26,253 | 11.0919 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 182 | 11.0984 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 853 | 11.0999 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 10,203 | 11.1366 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 2,055 | 11.1522 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 42 | 11.1541 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 70 | 11.1556 GBP | |||
0.4p ordinary | SWAP | Increasing Short | 375 | 11.0794 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 1,422 | 11.0976 GBP | |||
0.4p ordinary | SWAP | Increasing Long | 1,573 | 11.1125 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 56,080 | 11.0500 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 3,627 | 11.1027 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 10,828 | 11.1259 GBP | |||
0.4p ordinary | SWAP | Decreasing Long | 5,668 | 11.1404 GBP | |||
| | | | | | | |
(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: | 24 Jul 2024 | ||||||
Contact name: | Large Holdings Regulatory Operations | ||||||
Telephone number: | 020 3134 7213 |
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