10th Jul 2025 18:03
FORM 8.5 (EPT/NON-RI) Amendment - this form replaces RNS number 3825Q published at 11:18 on 09/07/2025, changes made to section 2A,3A | |||||||
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: | ALPHAWAVE IP GROUP PLC | |||||
(c) | Name of the party to the offer with which exempt principal trader is connected | ALPHAWAVE IP GROUP PLC | |||||
(d) | Date position held/dealing undertaken: | 08 Jul 2025 | |||||
(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? | YES:AQUA ACQUISITION SUB LLC (AN INDIRECT WHOLLY-OWNED SUBSIDIARY OF QUALCOMM INCORPORATED) | |||||
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: | 1p ordinary | ||||||
Interests | Short Positions | ||||||
Number | (%) | Number | (%) | ||||
(1) Relevant securities owned and/or controlled: | 15,836,644 | 2.05% | 5,295,761 | 0.69% | |||
(2) Cash-settled derivatives: | 3,516,362 | 0.46% | 15,681,319 | 2.03% | |||
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||
TOTAL: | 19,353,006 | 2.50% | 20,977,080 | 2.72% | |||
Class of relevant security: | Senior unsecured convertible bond | ||||||
Interests | Short Positions | ||||||
Number | (%) | Number | (%) | ||||
(1) Relevant securities owned and/or controlled: | 3,000,000 | 2.00% | 0 | 0.00% | |||
(2) Cash-settled derivatives: | 0 | 0.00% | 0 | 0.00% | |||
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||
TOTAL: | 3,000,000 | 2.00% | 0 | 0.00% | |||
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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 | |||
1p ordinary | Purchase | 740077 | 1.7500 GBP | 1.7282 GBP | |||
1p ordinary | Sale | 765377 | 1.7500 GBP | 1.7275 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 | |||
1p ordinary | SWAP | Decreasing Short | 1,951 | 1.7292 GBP | |||
1p ordinary | SWAP | Decreasing Short | 1,582 | 1.7300 GBP | |||
1p ordinary | SWAP | Decreasing Short | 110,596 | 1.7345 GBP | |||
1p ordinary | SWAP | Decreasing Short | 54 | 1.7355 GBP | |||
1p ordinary | SWAP | Decreasing Short | 1,967 | 1.7366 GBP | |||
1p ordinary | SWAP | Decreasing Short | 23,687 | 1.7374 GBP | |||
1p ordinary | SWAP | Decreasing Short | 4,371 | 1.7389 GBP | |||
1p ordinary | SWAP | Decreasing Short | 3,339 | 1.7412 GBP | |||
1p ordinary | SWAP | Decreasing Short | 250 | 1.7416 GBP | |||
1p ordinary | SWAP | Decreasing Short | 501 | 1.7417 GBP | |||
1p ordinary | SWAP | Decreasing Short | 1,011 | 1.7420 GBP | |||
1p ordinary | SWAP | Decreasing Short | 173,510 | 1.7440 GBP | |||
1p ordinary | SWAP | Decreasing Short | 19,850 | 1.7499 GBP | |||
1p ordinary | SWAP | Decreasing Short | 68,595 | 1.7500 GBP | |||
1p ordinary | SWAP | Increasing Short | 123,728 | 1.7282 GBP | |||
1p ordinary | SWAP | Increasing Short | 19,200 | 1.7284 GBP | |||
1p ordinary | SWAP | Increasing Short | 2,401 | 1.7285 GBP | |||
1p ordinary | SWAP | Increasing Short | 5,390 | 1.7296 GBP | |||
1p ordinary | SWAP | Increasing Short | 9,600 | 1.7303 GBP | |||
1p ordinary | SWAP | Increasing Short | 21,225 | 1.7333 GBP | |||
1p ordinary | SWAP | Increasing Short | 6,832 | 1.7351 GBP | |||
1p ordinary | SWAP | Increasing Short | 26,870 | 1.7352 GBP | |||
1p ordinary | SWAP | Increasing Short | 35,925 | 1.7353 GBP | |||
1p ordinary | SWAP | Increasing Short | 1,975 | 1.7361 GBP | |||
1p ordinary | SWAP | Increasing Short | 1 | 1.7370 GBP | |||
1p ordinary | SWAP | Increasing Short | 227 | 1.7390 GBP | |||
1p ordinary | SWAP | Increasing Short | 1,887 | 1.7500 GBP | |||
1p ordinary | CFD | Decreasing Short | 891 | 1.7391 GBP | |||
1p ordinary | CFD | Decreasing Short | 12,230 | 1.7410 GBP | |||
1p ordinary | CFD | Increasing Short | 2,867 | 1.7389 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: | 10-Jul-25 | ||||||
Contact name: | Large Holdings Regulatory Operations | ||||||
Telephone number: | 020 3134 7213 |
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