2nd Apr 2025 11:50
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 |
| ALPHAWAVE IP GROUP PLC | ||||
| relevant securities this form relates: |
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(c) | Name of the party to the offer with which exempt | ALPHAWAVE IP GROUP PLC | |||||
| principal trader is connected |
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(d) | Date position held/dealing undertaken: |
| 01 Apr 2025 | ||||
(e) | In addition to the company in 1(b) above, is the exempt principal | YES: |
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| trader making disclosures in respect of any other party to the offer? | QUALCOMM INCORPORATED |
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2. | POSITIONS OF THE EXEMPT PRINCIPAL TRADER | ||||||
(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: | Convertible Bond XS2962835257 | ||||||
| Interests | Short Positions | |||||
| Number | (%) | Number | (%) | |||
(1) | Relevant securities owned |
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| and/or controlled: |
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| 2,000,000 | 0.26% | 0 | 0.00% |
(2) | Cash-settled derivatives: |
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| and/or controlled: |
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| 0 | 0.00% | 0 | 0.00% |
(3) | Stock-settled derivatives (including options) |
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| and agreements to purchase/sell: |
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| 0 | 0.00% | 0 | 0.00% |
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| TOTAL: |
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| 2,000,000 | 0.26% | 0 | 0.00% |
Class of relevant security: | ALPHAWAVE IP GROUP PLC | ||||||
| Interests | Short Positions | |||||
| Number | (%) | Number | (%) | |||
(1) | Relevant securities owned |
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| and/or controlled: |
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| 6,573,702 | 0.87% | 13,998,509 | 1.85% |
(2) | Cash-settled derivatives: |
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| and/or controlled: |
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| 12,957,688 | 1.71% | 4,177,888 | 0.55% |
(3) | Stock-settled derivatives (including options) |
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| and agreements to purchase/sell: |
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| 0 | 0.00% | 0 | 0.00% |
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| TOTAL: |
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| 19,531,390 | 2.58% | 18,176,397 | 2.40% |
(b) | Rights to subscribe for new securities (including directors and other executive |
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| 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 | ||||||
(a) | Purchases and sales |
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Class of relevant | Purchase/sale | Total number of | Highest price per unit | Lowest price per unit | |||
security |
| securities | paid/received | paid/received | |||
ALPHAWAVE IP GROUP PLC | Purchase | 5,371,537 | 1.3919 GBP | 0.9448 GBP | |||
ALPHAWAVE IP GROUP PLC | Sale | 4,358,248 | 1.4018 GBP | 0.9808 GBP | |||
Convertible Bond | Purchase | 2,544,565 | 121.5000 USD | 120.7500 USD | |||
Convertible Bond | Sale | 2,059,420 | 121.5000 USD | 121.5000 USD | |||
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(b) | Cash-settled derivative transactions |
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Class of | Product | Nature of dealing | Number of | Price per | |||
relevant | description |
| reference | unit | |||
security |
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| securities |
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ALPHAWAVE IP GROUP PLC | SWAP | Opening Long | 42 | 0.9869 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Increasing Long | 1,363 | 1.0568 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Increasing Long | 308,432 | 1.0626 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Increasing Long | 1,589 | 1.0659 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Increasing Long | 624 | 1.0707 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Increasing Long | 156,196 | 1.0788 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Increasing Long | 200 | 1.0799 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Increasing Long | 16,877 | 1.0920 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Increasing Long | 29,380 | 1.1105 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Increasing Long | 33,225 | 1.1118 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Increasing Long | 4,499 | 1.1314 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Increasing Long | 5,971 | 1.1453 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Increasing Long | 261,572 | 1.2101 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Increasing Long | 15,063 | 1.2620 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Increasing Long | 75,195 | 1.2715 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Increasing Long | 200 | 1.3199 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Increasing Long | 35,366 | 1.3473 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Increasing Long | 13,585 | 1.3587 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Increasing Long | 76,986 | 1.3697 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Increasing Long | 234,219 | 1.3699 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Increasing Long | 645,992 | 1.3700 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Increasing Long | 7,507 | 1.3779 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Increasing Long | 134 | 1.3998 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Increasing Long | 27,548 | 1.4018 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Decreasing Long | 16 | 0.9320 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Decreasing Long | 796 | 0.9447 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Decreasing Long | 468 | 0.9450 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Decreasing Long | 974 | 0.9472 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Decreasing Long | 11 | 0.9796 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Decreasing Long | 19,801 | 1.0106 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Decreasing Long | 3 | 1.0805 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Decreasing Long | 22 | 1.1939 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Decreasing Long | 3,996 | 1.2374 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Decreasing Long | 8 | 1.2631 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Decreasing Long | 24,990 | 1.3013 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Decreasing Long | 2,558 | 1.3164 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Decreasing Long | 31,197 | 1.3168 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Decreasing Long | 113 | 1.3236 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Decreasing Long | 4,916 | 1.3321 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Decreasing Long | 150,000 | 1.3379 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Decreasing Long | 10,932 | 1.3384 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Decreasing Long | 9,813 | 1.3389 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Decreasing Long | 577 | 1.3420 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Decreasing Long | 6,113 | 1.3472 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Decreasing Long | 309 | 1.3483 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Decreasing Long | 86,820 | 1.3527 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Decreasing Long | 123,790 | 1.3534 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Decreasing Long | 5,127 | 1.3570 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Decreasing Long | 5,338 | 1.3588 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Decreasing Long | 573,514 | 1.3626 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Decreasing Long | 372,573 | 1.3631 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Opening Short | 1,009,290 | 1.3632 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Increasing Short | 38,579 | 1.3700 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Increasing Short | 570,438 | 1.3808 GBP | |||
ALPHAWAVE IP GROUP PLC | SWAP | Increasing Short | 48,923 | 1.3919 GBP | |||
ALPHAWAVE IP GROUP PLC | CFD | Opening Long | 47,766 | 1.1446 GBP | |||
ALPHAWAVE IP GROUP PLC | CFD | Increasing Long | 15,265 | 1.2045 GBP | |||
ALPHAWAVE IP GROUP PLC | CFD | Increasing Long | 65,405 | 1.3698 GBP | |||
ALPHAWAVE IP GROUP PLC | CFD | Decreasing Long | 26,044 | 1.1302 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 |
of | description | purchasing, | of | price |
| date | money |
relevant |
| selling, | securities | per unit |
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security |
| varying etc | to which |
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| received |
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| option |
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| per unit |
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(ii) | Exercising |
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Class of relevant | Product description | Exercising/ exercised against | Number of | Exercise price per | |||
security |
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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 | ||||
security |
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4. | OTHER INFORMATION | ||||||
(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 |
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or refrain from dealing entered into by 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 | |||||||
(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 | |||||||
(c) | Attachments |
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Is a Supplemental Form 8 (Open Positions) attached? | NO | ||||||
Date of disclosure: | 02 Apr 2025 | ||||||
Contact name: | Large Holdings Regulatory Operations | ||||||
Telephone number: | 020 3134 7213 | ||||||
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