Form 8.5 (EPT/RI) - HARGREAVES LANSDOWN PLC

GoldmanSachs International

07 June 2024

 

FORM 8.5 (EPT/RI)

PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH RECOGNISED INTERMEDIARY STATUS DEALING IN A CLIENT-SERVING CAPACITY

Rule 8.5 of the Takeover Code (the "Code")

1.         KEY INFORMATION

(a) Name of exempt principal trader:	(GS) GOLDMAN SACHS INTERNATIONAL
(b) Name of offeror/offeree in relation to whose relevant securities this form relates:      Use a separate form for each offeror/offeree	HARGREAVES LANSDOWN PLC
(c) Name of the party to the offer with which exempt principal trader is connected:	A CONSORTIUM COMPRISING CVC ADVISERS LIMITED, NORDIC CAPITAL XI DELTA, SCSP (ACTING THROUGH ITS GENERAL PARTNER NORDIC CAPITAL XI DELTA GP SARL) AND PLATINUM IVY B 2018 RSC LIMITED (A WHOLLY-OWNED SUBSIDIARY OF ABU DHABI INVESTMENT AUTHORITY MANAGED BY ITS PRIVATE EQUITIES INVESTMENT DEPARTMENT)
(d) Date dealing undertaken:	06 June 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?      If it is a cash offer or possible cash offer, state "N/A"	N/A

2.         DEALINGS BY THE EXEMPT PRINCIPAL TRADER

Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(b), copy table 2(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.

The currency of all prices and other monetary amounts should be stated.

(a)        Purchases and sales

Class of relevant security	Purchases/ sales	Total number of securities	Highest price per unit paid/received	Lowest price per unit paid/received
0.4p ordinary	Purchases	361,130	10.8150 GBP	10.5650 GBP
0.4p ordinary	Sales	566,519	10.8150 GBP	10.5500 GBP

(b)        Cash-settled derivative transactions

Class of relevant security	Product description e.g. CFD	Nature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short position	Number of reference securities	Price per unit
0.4p ordinary	CFD	Increasing a long position	83	10.5884 GBP
0.4p ordinary	CFD	Increasing a long position	1,815	10.5914 GBP
0.4p ordinary	CFD	Reducing a long position	1,400	10.6045 GBP
0.4p ordinary	CFD	Opening a short position	800	10.6045 GBP
0.4p ordinary	CFD	Increasing a long position	930	10.6059 GBP
0.4p ordinary	CFD	Increasing a long position	4,661	10.6075 GBP
0.4p ordinary	CFD	Increasing a long position	27	10.6130 GBP
0.4p ordinary	CFD	Increasing a long position	242	10.6149 GBP
0.4p ordinary	CFD	Increasing a long position	34	10.6151 GBP
0.4p ordinary	CFD	Reducing a long position	3,948	10.6160 GBP
0.4p ordinary	CFD	Increasing a long position	4	10.6277 GBP
0.4p ordinary	CFD	Increasing a long position	1,395	10.6315 GBP
0.4p ordinary	CFD	Increasing a long position	196	10.6333 GBP
0.4p ordinary	CFD	Increasing a long position	16,778	10.6334 GBP
0.4p ordinary	CFD	Increasing a long position	456	10.6338 GBP
0.4p ordinary	CFD	Increasing a long position	95	10.6357 GBP
0.4p ordinary	CFD	Reducing a long position	4	10.6361 GBP
0.4p ordinary	CFD	Increasing a long position	91	10.6361 GBP
0.4p ordinary	CFD	Increasing a long position	3,438	10.6370 GBP
0.4p ordinary	CFD	Increasing a long position	19	10.6371 GBP
0.4p ordinary	CFD	Increasing a long position	13	10.6393 GBP
0.4p ordinary	CFD	Increasing a long position	99	10.6413 GBP
0.4p ordinary	CFD	Increasing a long position	7	10.6443 GBP
0.4p ordinary	CFD	Increasing a long position	32	10.6451 GBP
0.4p ordinary	CFD	Increasing a long position	232	10.6472 GBP
0.4p ordinary	CFD	Increasing a long position	1,472	10.6498 GBP
0.4p ordinary	CFD	Increasing a long position	39	10.6503 GBP
0.4p ordinary	CFD	Reducing a long position	4,472	10.6515 GBP
0.4p ordinary	CFD	Reducing a long position	1,563	10.6515 GBP
0.4p ordinary	CFD	Reducing a long position	821	10.6526 GBP
0.4p ordinary	CFD	Increasing a long position	8,857	10.6539 GBP
0.4p ordinary	CFD	Increasing a long position	43,321	10.6548 GBP
0.4p ordinary	CFD	Increasing a long position	250	10.6548 GBP
0.4p ordinary	CFD	Increasing a long position	1,234	10.6548 GBP
0.4p ordinary	CFD	Increasing a long position	4,106	10.6548 GBP
0.4p ordinary	CFD	Increasing a long position	565	10.6548 GBP
0.4p ordinary	CFD	Increasing a long position	199	10.6548 GBP
0.4p ordinary	CFD	Reducing a long position	1,467	10.6550 GBP
0.4p ordinary	CFD	Reducing a long position	12,329	10.6552 GBP
0.4p ordinary	CFD	Reducing a long position	6,049	10.6552 GBP
0.4p ordinary	CFD	Reducing a long position	116	10.6561 GBP
0.4p ordinary	CFD	Opening a long position	8,983	10.6645 GBP
0.4p ordinary	CFD	Opening a long position	146,800	10.6650 GBP
0.4p ordinary	CFD	Opening a long position	569	10.6657 GBP
0.4p ordinary	CFD	Increasing a long position	101,875	10.6658 GBP
0.4p ordinary	CFD	Opening a long position	2,790	10.6661 GBP
0.4p ordinary	CFD	Opening a long position	1,274	10.6671 GBP
0.4p ordinary	CFD	Reducing a long position	290	10.6704 GBP
0.4p ordinary	CFD	Reducing a long position	124	10.6711 GBP
0.4p ordinary	CFD	Increasing a long position	3,421	10.6712 GBP
0.4p ordinary	CFD	Increasing a long position	173	10.6723 GBP
0.4p ordinary	CFD	Increasing a long position	93	10.6727 GBP
0.4p ordinary	CFD	Increasing a long position	20	10.6736 GBP
0.4p ordinary	CFD	Opening a long position	1,400	10.6756 GBP
0.4p ordinary	CFD	Reducing a long position	244	10.6766 GBP
0.4p ordinary	CFD	Increasing a long position	25	10.6793 GBP
0.4p ordinary	CFD	Increasing a long position	2	10.6796 GBP
0.4p ordinary	CFD	Increasing a long position	88	10.6803 GBP
0.4p ordinary	CFD	Increasing a long position	476	10.6804 GBP
0.4p ordinary	CFD	Reducing a long position	4,339	10.6806 GBP
0.4p ordinary	CFD	Increasing a long position	594	10.6811 GBP
0.4p ordinary	CFD	Increasing a long position	37	10.6839 GBP
0.4p ordinary	CFD	Increasing a long position	530	10.6858 GBP
0.4p ordinary	CFD	Increasing a long position	4	10.6858 GBP
0.4p ordinary	CFD	Increasing a long position	14	10.6858 GBP
0.4p ordinary	CFD	Increasing a long position	125	10.6858 GBP
0.4p ordinary	CFD	Increasing a long position	20	10.6858 GBP
0.4p ordinary	CFD	Increasing a long position	166	10.6888 GBP
0.4p ordinary	CFD	Increasing a long position	6,164	10.6894 GBP
0.4p ordinary	CFD	Increasing a long position	32	10.6903 GBP
0.4p ordinary	CFD	Reducing a long position	16	10.6967 GBP
0.4p ordinary	CFD	Reducing a long position	123	10.6986 GBP
0.4p ordinary	CFD	Increasing a long position	1,574	10.6995 GBP
0.4p ordinary	CFD	Increasing a long position	14	10.6996 GBP
0.4p ordinary	CFD	Increasing a long position	12,129	10.7004 GBP
0.4p ordinary	CFD	Increasing a long position	457	10.7039 GBP
0.4p ordinary	CFD	Reducing a long position	159,952	10.7113 GBP
0.4p ordinary	CFD	Reducing a long position	4,055	10.7190 GBP
0.4p ordinary	CFD	Increasing a long position	79	10.7254 GBP
0.4p ordinary	CFD	Increasing a long position	91	10.7300 GBP
0.4p ordinary	CFD	Increasing a long position	11	10.7335 GBP
0.4p ordinary	CFD	Increasing a long position	9	10.7347 GBP
0.4p ordinary	CFD	Increasing a long position	3,965	10.7412 GBP
0.4p ordinary	CFD	Reducing a long position	5	10.7461 GBP
0.4p ordinary	CFD	Increasing a long position	4	10.7470 GBP
0.4p ordinary	CFD	Reducing a long position	75	10.7587 GBP
0.4p ordinary	CFD	Reducing a long position	53	10.7822 GBP
0.4p ordinary	CFD	Reducing a long position	569	10.7925 GBP
0.4p ordinary	CFD	Increasing a long position	459	10.7989 GBP
0.4p ordinary	CFD	Increasing a long position	2	10.7989 GBP
0.4p ordinary	CFD	Increasing a long position	13	10.7989 GBP
0.4p ordinary	CFD	Increasing a long position	109	10.7989 GBP
0.4p ordinary	CFD	Increasing a long position	17	10.7989 GBP
0.4p ordinary	SWAP	Reducing a short position	466	13.6890 USD

(c)        Stock-settled derivative transactions (including options)

(i)         Writing, selling, purchasing or varying

Class of relevant security	Product description e.g. call option	Writing, purchasing, selling, varying etc.	Number of securities to which option relates	Exercise price per unit	Type e.g. American, European etc.	Expiry date	Option money paid/ received per unit

(ii)        Exercise

Class of relevant security	Product description e.g. call option	Exercising / exercised against	Number of securities	Exercise price per unit

(d)        Other dealings (including subscribing for new securities)

Class of relevant security	Nature of dealing e.g. subscription, conversion	Details	Price per unit (if applicable)

3.         OTHER INFORMATION

(a)        Indemnity and other dealing 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: Irrevocable commitments and letters of intent should not be included. If there are no such agreements, arrangements or understandings, state "none"

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 or future acquisition or disposal of any relevant securities to which any derivative is referenced: If there are no such agreements, arrangements or understandings, state "none"

NONE

Date of disclosure:	07 June 2024
Contact name:	Papa Lette and Andrzej Szyszka
Telephone number:	[phone] / [phone]

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service.

The Panel's Market Surveillance Unit is available for consultation in relation to the Code's disclosure requirements on [phone].

The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.

 

END