![](https://tracker.live.rns-distribution.com/track.live-rns/5273407_d9353a075fe0b610698e373da828b7e4.png)
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: |
18 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: |
770,690 |
0.16% |
4,414,241 |
0.93% |
|||
(2) Cash-settled derivatives: |
4,286,684 |
0.90% |
579,280 |
0.12% |
|||
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: |
0 |
0.00% |
0 |
0.00% |
|||
|
5,057,374 |
1.07% |
4,993,521 |
1.05% |
|||
|
|
|
|
|
|
|
|
(b) |
Rights to subscribe for new securities (including directors and other executive options) |
||||||
Class of relevant security in relation to |
|
||||||
Details, including nature of the rights |
|
||||||
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 |
245903 |
11.1825 GBP |
10.9362 GBP |
|||
0.4p ordinary |
Sale |
162418 |
11.1800 GBP |
10.9250 GBP |
|||
|
|
|
|
|
|
|
|
(b) |
Cash-settled derivative transactions |
||||||
Class of |
Product description |
Nature of dealing |
Number of |
Price per |
|||
0.4p ordinary |
SWAP |
Increasing Short |
13,200 |
11.0800 GBP |
|||
0.4p ordinary |
SWAP |
Increasing Short |
200 |
11.1075 GBP |
|||
0.4p ordinary |
CFD |
Increasing Short |
1,251 |
11.1574 GBP |
|||
0.4p ordinary |
SWAP |
Opening Short |
187 |
11.1084 GBP |
|||
0.4p ordinary |
SWAP |
Increasing Long |
882 |
11.0746 GBP |
|||
0.4p ordinary |
SWAP |
Increasing Long |
10,459 |
11.0748 GBP |
|||
0.4p ordinary |
SWAP |
Increasing Long |
575 |
11.0862 GBP |
|||
0.4p ordinary |
SWAP |
Increasing Long |
10,743 |
11.0875 GBP |
|||
0.4p ordinary |
SWAP |
Increasing Long |
7,713 |
11.0984 GBP |
|||
0.4p ordinary |
SWAP |
Decreasing Long |
10,138 |
11.0188 GBP |
|||
0.4p ordinary |
SWAP |
Decreasing Long |
6,264 |
11.0758 GBP |
|||
0.4p ordinary |
SWAP |
Decreasing Long |
23,149 |
11.0799 GBP |
|||
0.4p ordinary |
SWAP |
Decreasing Long |
977 |
11.0813 GBP |
|||
0.4p ordinary |
SWAP |
Decreasing Long |
6,041 |
11.0933 GBP |
|||
0.4p ordinary |
SWAP |
Increasing Long |
10,736 |
11.1162 GBP |
|||
0.4p ordinary |
SWAP |
Decreasing Long |
17,495 |
11.0800 GBP |
|||
0.4p ordinary |
SWAP |
Decreasing Long |
1,725 |
11.1112 GBP |
|||
0.4p ordinary |
SWAP |
Decreasing Long |
3,316 |
11.1163 GBP |
|||
0.4p ordinary |
SWAP |
Decreasing Long |
6,083 |
11.1181 GBP |
|||
0.4p ordinary |
SWAP |
Decreasing Long |
1,986 |
11.1410 GBP |
|||
0.4p ordinary |
SWAP |
Decreasing Long |
13,885 |
11.1436 GBP |
|||
0.4p ordinary |
SWAP |
Decreasing Short |
1,000 |
11.0941 GBP |
|||
0.4p ordinary |
SWAP |
Decreasing Short |
2,113 |
11.0777 GBP |
|||
0.4p ordinary |
SWAP |
Closing Long |
9,280 |
11.0984 GBP |
|||
0.4p ordinary |
SWAP |
Increasing Long |
1,437 |
11.0741 GBP |
|||
0.4p ordinary |
SWAP |
Increasing Long |
7,961 |
11.0963 GBP |
|||
0.4p ordinary |
SWAP |
Increasing Long |
8,036 |
11.1016 GBP |
|||
0.4p ordinary |
SWAP |
Decreasing Long |
12,202 |
11.0800 GBP |
|||
0.4p ordinary |
SWAP |
Decreasing Long |
13,718 |
11.0948 GBP |
|||
0.4p ordinary |
SWAP |
Decreasing Long |
482 |
11.0950 GBP |
|||
|
|
|
|
|
|
|
|
(c) |
Stock-settled derivative transactions (including options) |
||||||
(i) |
Writing, selling, purchasing or varying |
||||||
Class |
Product |
Writing, |
Number |
Exercise |
Type |
Expiry |
Option |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(ii) |
Exercising |
|
|
|
|
|
|
Class of relevant |
Product description |
Exercising/ exercised against |
Number of |
Exercise price per |
|||
|
|
|
|
|
|||
|
|
|
|
|
|
|
|
(d) |
Other dealings (including subscribing for new securities) |
||||||
Class of relevant |
Nature of Dealings |
Details |
Price per unit (if |
||||
|
|
|
|
||||
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: |
19 Jul 2024 |
||||||
Contact name: |
Large Holdings Regulatory Operations |
||||||
Telephone number: |
020 3134 7213 |
RNS may use your IP address to confirm compliance with the terms and conditions, to analyse how you engage with the information contained in this communication, and to share such analysis on an anonymised basis with others as part of our commercial services. For further information about how RNS and the London Stock Exchange use the personal data you provide us, please see our Privacy Policy.