Last checked at 24 May 2024 11:35
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 relevant securities this form relates: | HARGREAVES LANSDOWN PLC | |||||
(c) | Name of the party to the offer with which exempt principal trader is connected | HARGREAVES LANSDOWN PLC | |||||
(d) | Date position held/dealing undertaken: | 23 May 2024 | |||||
(e) | In addition to the company in 1(b) above, is the exempt principal trader making disclosures in respect of any other party to the offer? | 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: | 959,541 | 0.20% | 9,554,579 | 2.01% | |||
(2) Cash-settled derivatives: | 9,585,362 | 2.02% | 621,099 | 0.13% | |||
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||
TOTAL: | 10,544,903 | 2.22% | 10,175,678 | 2.15% | |||
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(b) | Rights to subscribe for new securities (including directors and other executive options) | ||||||
Class of relevant security in relation to which subscription right exists |
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Details, including nature of the rights concerned and relevant percentages: |
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3. | DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER | ||||||
(a) | Purchase and sales |
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Class of relevant security | Purchase/sale | Total number of securities | Highest price per unit paid/received | Lowest price per unit paid/received | |||
0.4p ordinary | Purchase | 1256222 | 11.3652 GBP | 10.4950 GBP | |||
0.4p ordinary | Sale | 1942068 | 11.3979 GBP | 10.4950 GBP | |||
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(b) | Cash-settled derivative transactions | ||||||
Class of relevant security | Product description | Nature of dealing | Number of reference securities | Price per unit | |||
0.4p ordinary | SWAP | Opening Long | 4 | 11.1125 GBP | |||
0.4p ordinary | SWAP | Opening Long | 23 | 10.6050 GBP | |||
0.4p ordinary | SWAP | Opening Long | 479 | 11.1211 GBP | |||
0.4p ordinary | SWAP | Opening Long | 1,077 | 10.8689 GBP | |||
0.4p ordinary | SWAP | Opening Long | 1,445 | 10.7321 GBP | |||
0.4p ordinary | SWAP | Opening Long | 1,583 | 10.8230 GBP | |||
0.4p ordinary | SWAP | Opening Long | 1,996 | 10.7056 GBP | |||
0.4p ordinary | SWAP | Opening Long | 3,161 | 10.8030 GBP | |||
0.4p ordinary | SWAP | Opening Long | 3,236 | 11.1977 GBP | |||
0.4p ordinary | SWAP | Opening Long | 3,687 | 11.2022 GBP | |||
0.4p ordinary | SWAP | Opening Long | 4,118 | 10.9072 GBP | |||
0.4p ordinary | SWAP | Opening Long | 5,434 | 10.7009 GBP | |||
0.4p ordinary | SWAP | Opening Long | 6,249 | 10.9951 GBP | |||
0.4p ordinary | SWAP | Opening Long | 7,005 | 11.2522 GBP | |||
0.4p ordinary | SWAP | Opening Long | 7,013 | 10.6664 GBP | |||
0.4p ordinary | SWAP | Opening Long | 10,191 | 11.1734 GBP | |||
0.4p ordinary | SWAP | Opening Long | 12,280 | 11.0093 GBP | |||
0.4p ordinary | SWAP | Opening Long | 13,428 | 11.1934 GBP | |||
0.4p ordinary | SWAP | Opening Long | 13,876 | 11.1783 GBP | |||
0.4p ordinary | SWAP | Opening Long | 14,417 | 10.9476 GBP | |||
0.4p ordinary | SWAP | Opening Long | 14,479 | 10.9993 GBP | |||
0.4p ordinary | SWAP | Opening Long | 15,490 | 11.1923 GBP | |||
0.4p ordinary | SWAP | Opening Long | 19,803 | 10.5711 GBP | |||
0.4p ordinary | SWAP | Opening Long | 25,000 | 11.1283 GBP | |||
0.4p ordinary | SWAP | Opening Long | 29,331 | 10.8041 GBP | |||
0.4p ordinary | SWAP | Opening Long | 31,851 | 11.1087 GBP | |||
0.4p ordinary | SWAP | Opening Long | 36,770 | 11.1906 GBP | |||
0.4p ordinary | SWAP | Opening Long | 43,696 | 10.7268 GBP | |||
0.4p ordinary | SWAP | Opening Long | 46,626 | 10.9681 GBP | |||
0.4p ordinary | SWAP | Opening Long | 47,075 | 11.0679 GBP | |||
0.4p ordinary | SWAP | Opening Long | 55,952 | 10.8857 GBP | |||
0.4p ordinary | SWAP | Opening Long | 62,711 | 10.8810 GBP | |||
0.4p ordinary | SWAP | Opening Long | 92,489 | 10.9320 GBP | |||
0.4p ordinary | SWAP | Opening Long | 96,782 | 10.7423 GBP | |||
0.4p ordinary | SWAP | Opening Long | 99,832 | 11.1999 GBP | |||
0.4p ordinary | SWAP | Opening Long | 129,851 | 11.1870 GBP | |||
0.4p ordinary | SWAP | Opening Long | 135,549 | 10.8579 GBP | |||
0.4p ordinary | SWAP | Opening Long | 153,528 | 11.2000 GBP | |||
0.4p ordinary | SWAP | Opening Long | 309,507 | 10.8632 GBP | |||
0.4p ordinary | CFD | Opening Short | 1 | 11.3300 GBP | |||
0.4p ordinary | CFD | Opening Short | 2,000 | 11.2010 GBP | |||
0.4p ordinary | CFD | Opening Short | 3,599 | 11.3312 GBP | |||
0.4p ordinary | CFD | Opening Short | 3,952 | 11.1083 GBP | |||
0.4p ordinary | CFD | Opening Short | 4,194 | 10.7514 GBP | |||
0.4p ordinary | CFD | Opening Short | 4,325 | 11.0610 GBP | |||
0.4p ordinary | CFD | Opening Short | 5,782 | 11.2841 GBP | |||
0.4p ordinary | CFD | Opening Short | 6,000 | 10.7862 GBP | |||
0.4p ordinary | CFD | Opening Short | 8,000 | 11.1527 GBP | |||
0.4p ordinary | SWAP | Opening Short | 9,970 | 10.9118 GBP | |||
0.4p ordinary | CFD | Opening Short | 10,000 | 11.3191 GBP | |||
0.4p ordinary | CFD | Opening Short | 10,000 | 11.2391 GBP | |||
0.4p ordinary | SWAP | Opening Short | 15,000 | 10.7753 GBP | |||
0.4p ordinary | SWAP | Opening Short | 18,158 | 10.8074 GBP | |||
0.4p ordinary | CFD | Opening Short | 20,000 | 11.3633 GBP | |||
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(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 |
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(ii) | Exercising |
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Class of relevant security | Product description | Exercising/ exercised against | Number of securities | Exercise price per unit | |||
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(d) | Other dealings (including subscribing for new securities) | ||||||
Class of relevant security | Nature of Dealings | Details | Price per unit (if applicable) | ||||
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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, 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: | 24 May 2024 | ||||||
Contact name: | Large Holdings Regulatory Operations | ||||||
Telephone number: | 020 3134 7213 | ||||||