FORM 8.5 (EPT/NON-RI)- Amendment to section 2a, 3a and 3b |
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Replaces form released on 11:03 28/05/2024 |
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RNS Number : 1044Q |
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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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relevant securities this form relates: |
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(c) |
Name of the party to the offer with which exempt |
HARGREAVES LANSDOWN PLC |
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principal trader is connected |
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(d) |
Date position held/dealing undertaken: |
24-May-24 |
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(e) |
In addition to the company in 1(b) above, is the exempt principal |
NO |
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trader making disclosures in respect of any other party to the offer? |
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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: |
906,840 |
0.19% |
9,407,405 |
1.98% |
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(2) Cash-settled derivatives: |
9,456,034 |
1.99% |
616,858 |
0.13% |
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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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10,362,874 |
2.18% |
10,024,263 |
2.11% |
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TOTAL: |
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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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which subscription right exists |
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Details, including nature of the rights |
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concerned and relevant percentages: |
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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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security |
securities |
paid/received |
paid/received |
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0.4p ordinary |
Purchase |
615759 |
10.9800 GBP |
10.4950 GBP |
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0.4p ordinary |
Sale |
489943 |
10.9800 GBP |
10.4950 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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relevant |
reference |
unit |
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security |
securities |
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0.4p ordinary |
SWAP |
Closing Long |
2,230 |
10.7298 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
162 |
10.8353 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
202 |
10.9025 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
259 |
10.7699 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
290 |
10.8653 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
290 |
10.8503 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
290 |
10.9128 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
870 |
10.7195 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
3,385 |
10.9021 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
4,996 |
10.8340 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
15,949 |
10.7172 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
18,640 |
10.8324 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
25,495 |
10.6955 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
32,740 |
10.7347 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
35,012 |
10.7764 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
46,024 |
10.9000 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
49,206 |
10.8879 GBP |
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0.4p ordinary |
SWAP |
Decreasing Long |
81,622 |
10.8957 GBP |
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0.4p ordinary |
SWAP |
Decreasing Short |
250 |
10.8724 GBP |
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0.4p ordinary |
SWAP |
Decreasing Short |
485 |
10.7876 GBP |
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0.4p ordinary |
SWAP |
Decreasing Short |
1,595 |
10.7872 GBP |
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0.4p ordinary |
SWAP |
Decreasing Short |
2,943 |
10.7911 GBP |
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0.4p ordinary |
SWAP |
Decreasing Short |
6,023 |
10.7912 GBP |
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0.4p ordinary |
CFD |
Decreasing Short |
7,517 |
10.6387 GBP |
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0.4p ordinary |
SWAP |
Increasing Long |
125 |
10.6300 GBP |
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0.4p ordinary |
SWAP |
Increasing Long |
576 |
10.7872 GBP |
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0.4p ordinary |
SWAP |
Increasing Long |
891 |
10.8978 GBP |
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0.4p ordinary |
SWAP |
Increasing Long |
1,552 |
10.8026 GBP |
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0.4p ordinary |
SWAP |
Increasing Long |
1,636 |
10.6467 GBP |
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0.4p ordinary |
SWAP |
Increasing Long |
3,021 |
10.8647 GBP |
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0.4p ordinary |
SWAP |
Increasing Long |
3,190 |
10.9041 GBP |
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0.4p ordinary |
SWAP |
Increasing Long |
3,320 |
10.8513 GBP |
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0.4p ordinary |
SWAP |
Increasing Long |
7,916 |
10.9000 GBP |
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0.4p ordinary |
SWAP |
Increasing Long |
25,725 |
10.9321 GBP |
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0.4p ordinary |
SWAP |
Increasing Long |
40,516 |
10.8020 GBP |
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0.4p ordinary |
SWAP |
Increasing Long |
75,327 |
10.7702 GBP |
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0.4p ordinary |
SWAP |
Increasing Short |
128 |
10.7150 GBP |
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0.4p ordinary |
SWAP |
Increasing Short |
968 |
10.7116 GBP |
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0.4p ordinary |
SWAP |
Increasing Short |
1,790 |
10.6680 GBP |
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0.4p ordinary |
CFD |
Increasing Short |
11,686 |
10.8480 GBP |
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0.4p ordinary |
SWAP |
Opening Long |
4,763 |
10.7396 GBP |
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0.4p ordinary |
SWAP |
Opening Long |
19,776 |
10.6959 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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of |
description |
purchasing, |
of |
price |
date |
money |
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relevant |
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selling, |
securities |
per unit |
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paid/ |
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security |
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varying etc |
to which |
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received |
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option |
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per unit |
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relates |
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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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security |
securities |
unit |
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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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security |
applicable) |
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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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formal or informal, relating to relevant securities which may be an inducement to deal or refrain from dealing entered into by |
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the exempt principal trader making the disclosure and any party |
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to the offer or any person acting in concert with a party to the offer: |
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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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the exempt principal trader making the disclosure and any other person relating to: |
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(i) the voting rights of any relevant securities under any option; or |
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(ii) the voting rights of future acquisition or disposal of any relevant securities to which |
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any derivative is referenced: |
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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: |
24-Jun-24 |
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Contact name: |
Large Holdings Regulatory Operations |
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Telephone number: |
020 3134 7213 |