Form 8.5 (EPT/NON-RI)HARGREAVES LANSDOWN PLC
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FORM 8.5 (EPT/NON-RI) |
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PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN |
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EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY ("RI") STATUS |
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(OR WHERE RI STATUS IS NOT APPLICABLE) |
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Rule 8.5 of the Takeover Code (the "Code") |
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1. |
KEY INFORMATION |
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(a) |
Name of exempt principal trader: |
BARCLAYS CAPITAL SECURITIES LTD |
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(b) |
Name of offeror/offeree in relation to whose |
HARGREAVES LANSDOWN PLC |
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(c) |
Name of the party to the offer with which exempt |
HARGREAVES LANSDOWN PLC |
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(d) |
Date position held/dealing undertaken: |
18 Jul 2024 |
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(e) |
In addition to the company in 1(b) above, is the exempt principal |
NO |
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2. |
POSITIONS OF THE EXEMPT PRINCIPAL TRADER |
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(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) |
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Class of relevant security: |
0.4p ordinary |
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Interests |
Short Positions |
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Number |
(%) |
Number |
(%) |
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(1) Relevant securities owned and/or controlled: |
770,690 |
0.16% |
4,414,241 |
0.93% |
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(2) Cash-settled derivatives: |
4,286,684 |
0.90% |
579,280 |
0.12% |
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(3) Stock-settled derivatives (including options) and agreements to purchase/sell: |
0 |
0.00% |
0 |
0.00% |
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5,057,374 |
1.07% |
4,993,521 |
1.05% |
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(b) |
Rights to subscribe for new securities (including directors and other executive options) |
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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 |
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(a) |
Purchase and sales |
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Class of relevant |
Purchase/sale |
Total number of |
Highest price per unit |
Lowest price per unit |
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0.4p ordinary |
Purchase |
245903 |
11.1825 GBP |
10.9362 GBP |
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0.4p ordinary |
Sale |
162418 |
11.1800 GBP |
10.9250 GBP |
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(b) |
Cash-settled derivative transactions |
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Class of |
Product description |
Nature of dealing |
Number of |
Price per |
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0.4p ordinary |
SWAP |
Increasing Short |
13,200 |
11.0800 GBP |
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0.4p ordinary |
SWAP |
Increasing Short |
200 |
11.1075 GBP |
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0.4p ordinary |
CFD |
Increasing Short |
1,251 |
11.1574 GBP |
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0.4p ordinary |
SWAP |
Opening Short |
187 |
11.1084 GBP |
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0.4p ordinary |
SWAP |
Increasing Long |
882 |
11.0746 GBP |
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0.4p ordinary |
SWAP |
Increasing Long |
10,459 |
11.0748 GBP |
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0.4p ordinary |
SWAP |
Increasing Long |
575 |
11.0862 GBP |
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0.4p ordinary |
SWAP |
Increasing Long |
10,743 |
11.0875 GBP |
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0.4p ordinary |
SWAP |
Increasing Long |
7,713 |
11.0984 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
10,138 |
11.0188 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
6,264 |
11.0758 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
23,149 |
11.0799 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
977 |
11.0813 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
6,041 |
11.0933 GBP |
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0.4p ordinary |
SWAP |
Increasing Long |
10,736 |
11.1162 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
17,495 |
11.0800 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
1,725 |
11.1112 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
3,316 |
11.1163 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
6,083 |
11.1181 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
1,986 |
11.1410 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
13,885 |
11.1436 GBP |
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0.4p ordinary |
SWAP |
Decreasing Short |
1,000 |
11.0941 GBP |
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0.4p ordinary |
SWAP |
Decreasing Short |
2,113 |
11.0777 GBP |
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0.4p ordinary |
SWAP |
Closing Long |
9,280 |
11.0984 GBP |
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0.4p ordinary |
SWAP |
Increasing Long |
1,437 |
11.0741 GBP |
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0.4p ordinary |
SWAP |
Increasing Long |
7,961 |
11.0963 GBP |
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0.4p ordinary |
SWAP |
Increasing Long |
8,036 |
11.1016 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
12,202 |
11.0800 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
13,718 |
11.0948 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
482 |
11.0950 GBP |
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(c) |
Stock-settled derivative transactions (including options) |
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(i) |
Writing, selling, purchasing or varying |
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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) |
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Class of relevant |
Nature of Dealings |
Details |
Price per unit (if |
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4. |
OTHER INFORMATION |
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(a) |
Indemnity and other dealings arrangements |
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Details of any indemnity or option arrangement, or any agreement or understanding, |
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NONE |
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(b) |
Agreements, arrangements or understandings relating to options or derivatives |
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Details of any agreement, arrangement or understanding, formal or informal, between |
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NONE |
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(c) |
Attachments |
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Is a Supplemental Form 8 (Open Positions) attached? |
NO |
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Date of disclosure: |
19 Jul 2024 |
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Contact name: |
Large Holdings Regulatory Operations |
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Telephone number: |
020 3134 7213 |
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