11th Aug 2025 11:34
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 |
| AQUA ACQUISITION SUB LLC (AN INDIRECT WHOLLY-OWNED SUBSIDIARY OF QUALCOMM INCORPORATED) | ||||
| 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: |
| 08 Aug 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? | ALPHAWAVE IP GROUP PLC |
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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: | USD 0.0001 common | ||||||
| Interests | Short Positions | |||||
| Number | (%) | Number | (%) | |||
(1) | Relevant securities owned |
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| and/or controlled: |
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| 7,437,740 | 0.69% | 7,027,072 | 0.65% |
(2) | Cash-settled derivatives: |
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| and/or controlled: |
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| 1,670,911 | 0.15% | 87,336 | 0.01% |
(3) | Stock-settled derivatives (including options) |
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| and agreements to purchase/sell: |
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| 773,600 | 0.07% | 4,588,436 | 0.43% |
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| TOTAL: |
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| 10,268,551 | 0.91% | 11,969,990 | 1.09% |
(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 |
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USD 0.0001 common | Purchase | 356 | 126.3600 EUR | 125.9415 EUR | |||
USD 0.0001 common | Sale | 376 | 126.5811 EUR | 125.6583 EUR | |||
USD 0.0001 common | Purchase | 672,025 | 147.7200 USD | 146.3050 USD | |||
USD 0.0001 common | Sale | 677,873 | 178.9218 USD | 146.3050 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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USD 0.0001 common | SWAP | Decreasing Short | 18 | 125.6581 EUR | |||
USD 0.0001 common | SWAP | Decreasing Short | 36 | 126.5812 EUR | |||
USD 0.0001 common | SWAP | Increasing Short | 33 | 126.1544 EUR | |||
USD 0.0001 common | SWAP | Increasing Short | 1 | 126.3600 EUR | |||
USD 0.0001 common | SWAP | Increasing Short | 889 | 147.5624 USD | |||
USD 0.0001 common | SWAP | Opening Short | 159 | 147.5610 USD | |||
USD 0.0001 common | SWAP | Closing Long | 1,200 | 147.5600 USD | |||
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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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| relates |
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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? | YES | ||||||
Date of disclosure: | 11 Aug 2025 | ||||||
Contact name: | Large Holdings Regulatory Operations | ||||||
Telephone number: | 020 3134 7213 | ||||||
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DETAILS OF OPEN OPTION AND DERIVATIVE POSITIONS, AGREEMENTS TO | |||||||
PURCHASE OR SELL ETC. | |||||||
Note 5(i) on Rule 8 of the Takeover Code (the "Code") | |||||||
1. | KEY INFORMATION | ||||||
Identity of the person whose positions/dealings | BARCLAYS CAPITAL SECURITIES LTD | ||||||
are being disclosed: | |||||||
Name of offeror/offeree in relation to whose | AQUA ACQUISITION SUB LLC (AN INDIRECT WHOLLY-OWNED SUBSIDIARY OF QUALCOMM INCORPORATED) | ||||||
relevant securities this from relates: | |||||||
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2. | OPTIONS AND DERIVATIVES | ||||||
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 | |
USD 0.0001 common | Call Options | Written | -460,512 | 186.1018 | European | 12-Aug-25 | |
USD 0.0001 common | Call Options | Written | -216,163 | 143.2774 | European | 18-Aug-25 | |
USD 0.0001 common | Call Options | Written | -695,489 | 141.1743 | European | 19-Aug-25 | |
USD 0.0001 common | Put Options | Written | 100 | 170 | American | 19-Sep-25 | |
USD 0.0001 common | Put Options | Written | 1,000 | 150 | American | 19-Sep-25 | |
USD 0.0001 common | Put Options | Written | 2,200 | 120 | American | 19-Sep-25 | |
USD 0.0001 common | Put Options | Written | 2,500 | 165 | American | 19-Sep-25 | |
USD 0.0001 common | Put Options | Written | 2,500 | 175 | American | 19-Sep-25 | |
USD 0.0001 common | Put Options | Written | 2,900 | 160 | American | 19-Sep-25 | |
USD 0.0001 common | Put Options | Written | 4,800 | 140 | American | 19-Sep-25 | |
USD 0.0001 common | Put Options | Written | 5,900 | 145 | American | 19-Sep-25 | |
USD 0.0001 common | Put Options | Written | 9,400 | 95 | American | 19-Sep-25 | |
USD 0.0001 common | Put Options | Written | 11,700 | 100 | American | 19-Sep-25 | |
USD 0.0001 common | Call Options | Written | -177,206 | 143.1938 | European | 14-Oct-25 | |
USD 0.0001 common | Call Options | Written | -305,529 | 143.8098 | European | 15-Oct-25 | |
USD 0.0001 common | Call Options | Written | -333,243 | 141.0187 | European | 23-Oct-25 | |
USD 0.0001 common | Call Options | Written | -341,130 | 145.7435 | European | 24-Oct-25 | |
USD 0.0001 common | Call Options | Written | -157,114 | 146.5413 | European | 04-Dec-25 | |
USD 0.0001 common | Call Options | Written | -120,165 | 140.8456 | European | 07-Jan-26 | |
USD 0.0001 common | Put Options | Written | 30,000 | 130 | American | 15-Jan-26 | |
USD 0.0001 common | Put Options | Purchased | -170,000 | 160 | American | 16-Jan-26 | |
USD 0.0001 common | Put Options | Purchased | -55,900 | 100 | American | 16-Jan-26 | |
USD 0.0001 common | Put Options | Purchased | -53,600 | 105 | American | 16-Jan-26 | |
USD 0.0001 common | Put Options | Purchased | -29,000 | 170 | American | 16-Jan-26 | |
USD 0.0001 common | Put Options | Purchased | -22,200 | 110 | American | 16-Jan-26 | |
USD 0.0001 common | Call Options | Purchased | 2,600 | 195 | American | 16-Jan-26 | |
USD 0.0001 common | Call Options | Purchased | 21,600 | 185 | American | 16-Jan-26 | |
USD 0.0001 common | Call Options | Purchased | 31,100 | 190 | American | 16-Jan-26 | |
USD 0.0001 common | Put Options | Written | 27,000 | 120 | American | 16-Jan-26 | |
USD 0.0001 common | Put Options | Written | 318,300 | 140 | American | 16-Jan-26 | |
USD 0.0001 common | Put Options | Purchased | -37,400 | 110 | American | 20-Mar-26 | |
USD 0.0001 common | Put Options | Purchased | -7,100 | 105 | American | 20-Mar-26 | |
USD 0.0001 common | Put Options | Purchased | -2,900 | 95 | American | 20-Mar-26 | |
USD 0.0001 common | Put Options | Purchased | -2,000 | 115 | American | 20-Mar-26 | |
USD 0.0001 common | Call Options | Written | -317,375 | 163.5057 | European | 06-Apr-26 | |
USD 0.0001 common | Call Options | Written | -191,840 | 150.867 | European | 06-Apr-26 | |
USD 0.0001 common | Call Options | Written | -100,098 | 153.1754 | European | 15-Apr-26 | |
USD 0.0001 common | Put Options | Purchased | -11,000 | 110 | American | 18-Jun-26 | |
USD 0.0001 common | Put Options | Purchased | -6,500 | 100 | American | 18-Jun-26 | |
USD 0.0001 common | Put Options | Purchased | -2,500 | 115 | American | 18-Jun-26 | |
USD 0.0001 common | Put Options | Purchased | -2,300 | 105 | American | 18-Jun-26 | |
USD 0.0001 common | Call Options | Written | -570,172 | 138.9757 | European | 06-Jul-26 | |
USD 0.0001 common | Put Options | Purchased | -200,000 | 100 | American | 18-Dec-26 | |
USD 0.0001 common | Put Options | Written | 70,000 | 120 | American | 18-Dec-26 | |
USD 0.0001 common | Put Options | Written | 200,000 | 135 | American | 18-Dec-26 | |
USD 0.0001 common | Put Options | Written | 30,000 | 130 | American | 15-Jan-27 | |
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3. | AGREEMENTS TO PURCHASE OR SELL ETC. | ||||||
Full details should be given so that the nature of the interest or position can be fully understood: | |||||||
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