FORM 8.5 (EPT/NON-RI)- Amendment to section 2a, 3a and
3b
|
|
|
Replaces form released on 11:42 13/06/2024
|
|
|
|
|
RNS
Number : 3508S
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
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
|
|
relevant securities this form relates:
|
(c)
|
Name of the party to the offer with which
exempt
|
HARGREAVES LANSDOWN PLC
|
|
principal trader is connected
|
(d)
|
Date position held/dealing undertaken:
|
12-Jun-24
|
(e)
|
In
addition to the company in 1(b) above, is the exempt
principal
|
NO
|
|
trader making disclosures in respect of any other party
to the offer?
|
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:
|
673,053
|
0.14%
|
6,170,293
|
1.30%
|
(2)
Cash-settled derivatives:
|
6,159,994
|
1.29%
|
442,095
|
0.09%
|
(3)
Stock-settled derivatives (including options) and agreements to
purchase/sell:
|
0
|
0.00%
|
0
|
0.00%
|
|
6,833,047
|
1.43%
|
6,609,120
|
1.39%
|
|
TOTAL:
|
|
|
|
|
|
|
|
|
|
|
(b)
|
Rights to subscribe for new securities (including directors
and other executive options)
|
Class of relevant security in relation to
|
|
|
which subscription right exists
|
Details, including nature of the rights
|
|
|
concerned and relevant percentages:
|
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
|
|
|
|
|
security
|
securities
|
paid/received
|
paid/received
|
0.4p
ordinary
|
Purchase
|
1931777
|
10.7500
GBP
|
10.6200
GBP
|
0.4p
ordinary
|
Sale
|
967602
|
10.7500
GBP
|
10.6200
GBP
|
|
|
|
|
|
|
|
|
(b)
|
Cash-settled derivative transactions
|
Class of
|
Product
description
|
Nature of
dealing
|
Number of
|
Price per
|
|
|
|
relevant
|
reference
|
unit
|
|
|
|
security
|
securities
|
|
0.4p
ordinary
|
CFD
|
Closing
Long
|
33
|
10.6860
GBP
|
0.4p
ordinary
|
SWAP
|
Closing
Long
|
60
|
10.6405
GBP
|
0.4p
ordinary
|
CFD
|
Closing
Long
|
1,383
|
10.6400
GBP
|
0.4p
ordinary
|
SWAP
|
Closing
Long
|
6,430
|
10.7070
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
799
|
10.6851
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
1,048
|
10.6617
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
1,066
|
10.6279
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
1,310
|
10.6653
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
1,572
|
10.6573
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
2,353
|
10.6288
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
2,620
|
10.6564
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
2,821
|
10.6306
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
3,611
|
10.6895
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
5,137
|
10.6954
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
5,225
|
10.6874
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
6,341
|
10.6992
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
7,051
|
10.6410
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
7,605
|
10.6900
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
7,654
|
10.6732
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
8,065
|
10.6804
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
9,807
|
10.7000
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
12,439
|
10.6404
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
13,374
|
10.6450
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
15,251
|
10.6905
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
21,735
|
10.6861
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
35,311
|
10.6790
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
41,334
|
10.6996
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
45,501
|
10.6440
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
57,547
|
10.6840
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
158,118
|
10.7012
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
232,510
|
10.6400
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Long
|
302,027
|
10.7043
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Short
|
100
|
10.6698
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Short
|
1,200
|
10.6730
GBP
|
0.4p
ordinary
|
SWAP
|
Decreasing
Short
|
60,816
|
10.6378
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
98
|
10.6249
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
293
|
10.6963
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
440
|
10.6652
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
506
|
10.7000
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
922
|
10.6827
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
5,954
|
10.6667
GBP
|
0.4p
ordinary
|
SWAP
|
Increasing
Long
|
9,432
|
10.6650
GBP
|
0.4p
ordinary
|
CFD
|
Closing
Short
|
1,416
|
10.7470
GBP
|
0.4p
ordinary
|
CFD
|
Opening
Short
|
1,684
|
10.7264
GBP
|
0.4p
ordinary
|
CFD
|
Opening
Short
|
7,347
|
10.6458
GBP
|
0.4p
ordinary
|
CFD
|
Opening
Short
|
21,728
|
10.7263
GBP
|
|
|
|
|
|
|
|
|
(c)
|
Stock-settled derivative transactions (including
options)
|
(i)
|
Writing, selling, purchasing or varying
|
Class of
relevant security
|
Product
description
|
Writing,
purchasing, selling, varying etc
|
Number of
securities to which option
relates
|
Exercise price per
unit
|
Type
|
Expiry
date
|
Option money
paid/ received per unit
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(ii)
|
Exercising
|
|
|
|
|
|
|
Class of
relevant
|
Product
description
|
Exercising/ exercised
against
|
Number of
|
Exercise price
per
|
|
|
|
security
|
securities
|
unit
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(d)
|
Other dealings (including subscribing for new
securities)
|
Class of
relevant
|
Nature of
Dealings
|
Details
|
Price per unit
(if
|
|
|
security
|
applicable)
|
|
|
|
|
4
|
OTHER INFORMATION
|
(a)
|
Indemnity and other dealings arrangements
|
Details of any indemnity or option arrangement, or any
agreement or understanding,
|
|
formal or informal, relating to relevant securities
which may be an inducement to deal or refrain from dealing entered
into by
|
|
the exempt principal trader making the disclosure and
any party
|
|
to the offer or any person acting in concert with a
party to the offer:
|
NONE
|
(b)
|
Agreements, arrangements or understandings relating to options
or derivatives
|
Details of any agreement, arrangement or understanding, formal
or informal, between
|
|
the exempt principal trader making the disclosure and
any other person relating to:
|
|
(i) the voting rights of any relevant
securities under any option; or
|
|
(ii) the voting rights of future acquisition
or disposal of any relevant securities to which
|
|
any derivative is referenced:
|
NONE
|
(c)
|
Attachments
|
Is
a Supplemental Form 8 (Open Positions) attached?
|
NO
|
Date of disclosure:
|
19-Jun-24
|
Contact name:
|
Large Holdings Regulatory
Operations
|
Telephone number:
|
020 3134
7213
|