Barclays Regulatory News (BARC)

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:

24 Jun 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:

719,326

0.15%

6,142,687

1.30%

(2) Cash-settled derivatives:

6,275,284

1.32%

644,138

0.14%

(3) Stock-settled derivatives (including options) and agreements to purchase/sell: 

0

0.00%

0

0.00%

TOTAL: 

6,994,610

1.47%

6,786,825

1.43%

(b)

Rights to subscribe for new securities (including directors and other executive options)

Class of relevant security in relation to which subscription right exists

Details, including nature of the rights concerned and relevant percentages:

3.

DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER

(a)

Purchase and sales

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

236948

11.4150 GBP

11.3200 GBP

0.4p ordinary

Sale

151753

11.4061 GBP

11.3250 GBP

(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

Decreasing Long

42

11.3901 GBP

0.4p ordinary

SWAP

Decreasing Long

91

11.3400 GBP

0.4p ordinary

SWAP

Decreasing Long

164

11.3364 GBP

0.4p ordinary

SWAP

Decreasing Long

440

11.3546 GBP

0.4p ordinary

SWAP

Decreasing Long

658

11.3750 GBP

0.4p ordinary

SWAP

Decreasing Long

1,615

11.3330 GBP

0.4p ordinary

SWAP

Decreasing Long

3,930

11.3916 GBP

0.4p ordinary

SWAP

Decreasing Long

6,064

11.3934 GBP

0.4p ordinary

SWAP

Decreasing Long

6,214

11.3260 GBP

0.4p ordinary

SWAP

Decreasing Long

7,665

11.3864 GBP

0.4p ordinary

SWAP

Decreasing Long

18,787

11.3476 GBP

0.4p ordinary

SWAP

Decreasing Long

35,730

11.3938 GBP

0.4p ordinary

SWAP

Decreasing Long

36,561

11.3950 GBP

0.4p ordinary

SWAP

Decreasing Short

125

11.3728 GBP

0.4p ordinary

SWAP

Decreasing Short

897

11.3293 GBP

0.4p ordinary

SWAP

Increasing Long

40

11.4061 GBP

0.4p ordinary

SWAP

Increasing Long

216

11.3452 GBP

0.4p ordinary

SWAP

Increasing Long

431

11.3478 GBP

0.4p ordinary

SWAP

Increasing Long

1,082

11.3950 GBP

0.4p ordinary

SWAP

Increasing Long

4,030

11.3747 GBP

0.4p ordinary

SWAP

Increasing Long

5,801

11.3774 GBP

0.4p ordinary

SWAP

Increasing Long

25,756

11.3947 GBP

0.4p ordinary

SWAP

Increasing Short

60

11.3626 GBP

0.4p ordinary

CFD

Increasing Short

579

11.3282 GBP

0.4p ordinary

SWAP

Increasing Short

7,200

11.3950 GBP

(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

(ii)

Exercising

Class of relevant security

Product description

Exercising/ exercised against

Number of securities

Exercise price per unit

(d)

Other dealings (including subscribing for new securities)

Class of relevant security

Nature of Dealings

Details

Price per unit (if applicable)

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:

25 Jun 2024

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213