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: |
13 Jun 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: |
666,919 |
0.14% |
5,929,970 |
1.25% |
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(2) Cash-settled derivatives: |
6,068,554 |
1.28% |
583,678 |
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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|
6,735,473 |
1.42% |
6,513,648 |
1.37% |
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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 |
371640 |
10.7700 GBP |
10.5616 GBP |
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0.4p ordinary |
Sale |
137278 |
10.7700 GBP |
10.5687 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 |
Decreasing Long |
45 |
10.6737 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
229 |
10.5616 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
539 |
10.6350 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
695 |
10.5785 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
915 |
10.6582 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
2,509 |
10.5947 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
4,340 |
10.5806 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
5,346 |
10.5908 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
10,148 |
10.6635 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
12,202 |
10.6712 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
12,279 |
10.5929 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
13,906 |
10.6874 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
14,766 |
10.6599 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
37,551 |
10.6600 GBP |
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0.4p ordinary |
SWAP |
Decreasing Short |
677 |
10.6522 GBP |
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0.4p ordinary |
CFD |
Decreasing Short |
2,165 |
10.6487 GBP |
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0.4p ordinary |
CFD |
Decreasing Short |
4,614 |
10.6600 GBP |
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0.4p ordinary |
SWAP |
Decreasing Short |
4,727 |
10.7259 GBP |
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0.4p ordinary |
CFD |
Decreasing Short |
15,000 |
10.6098 GBP |
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0.4p ordinary |
SWAP |
Increasing Long |
285 |
10.6444 GBP |
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0.4p ordinary |
SWAP |
Increasing Long |
390 |
10.7347 GBP |
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0.4p ordinary |
SWAP |
Increasing Long |
588 |
10.7421 GBP |
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0.4p ordinary |
SWAP |
Increasing Long |
1,203 |
10.5904 GBP |
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0.4p ordinary |
SWAP |
Increasing Long |
1,496 |
10.6599 GBP |
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0.4p ordinary |
SWAP |
Increasing Long |
2,181 |
10.6306 GBP |
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0.4p ordinary |
SWAP |
Increasing Long |
2,289 |
10.6283 GBP |
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0.4p ordinary |
SWAP |
Increasing Long |
15,598 |
10.7247 GBP |
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0.4p ordinary |
SWAP |
Increasing Short |
50 |
10.7136 GBP |
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0.4p ordinary |
SWAP |
Increasing Short |
160 |
10.6649 GBP |
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0.4p ordinary |
SWAP |
Increasing Short |
296 |
10.6701 GBP |
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0.4p ordinary |
CFD |
Increasing Short |
1,352 |
10.5532 GBP |
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0.4p ordinary |
CFD |
Increasing Short |
6,779 |
10.6373 GBP |
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0.4p ordinary |
CFD |
Increasing Short |
165,000 |
10.6987 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: |
14 Jun 2024 |
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Contact name: |
Large Holdings Regulatory Operations |
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Telephone number: |
020 3134 7213 |
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