23rd Jun 2025 11:56
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: | AQUA ACQUISITION SUB LLC (AN INDIRECT WHOLLY-OWNED SUBSIDIARY OF QUALCOMM INCORPORATED) | |||||
(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: | 20 Jun 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: | USD 0.0001 common | ||||||
Interests | Short Positions | ||||||
Number | (%) | Number | (%) | ||||
(1) Relevant securities owned and/or controlled: | 6,879,878 | 0.63% | 5,363,354 | 0.49% | |||
(2) Cash-settled derivatives: | 1,067,525 | 0.10% | 91,050 | 0.01% | |||
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 883,600 | 0.08% | 1,582,778 | 0.14% | |||
TOTAL: | 8,831,003 | 0.80% | 7,037,182 | 0.64% | |||
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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 | |||
USD 0.0001 common | Purchase | 536 | 133.9666 EUR | 131.5125 EUR | |||
USD 0.0001 common | Sale | 717 | 133.9666 EUR | 132.1749 EUR | |||
USD 0.0001 common | Purchase | 1846846 | 154.6900 USD | 151.1400 USD | |||
USD 0.0001 common | Sale | 1742053 | 154.6711 USD | 151.2350 USD | |||
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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 | |||
USD 0.0001 common | SWAP | Decreasing Short | 150 | 132.1749 EUR | |||
USD 0.0001 common | SWAP | Decreasing Short | 85 | 132.7154 EUR | |||
USD 0.0001 common | SWAP | Increasing Short | 54 | 131.5125 EUR | |||
USD 0.0001 common | SWAP | Opening Short | 801 | 151.3209 USD | |||
USD 0.0001 common | SWAP | Increasing Short | 3,510 | 151.3210 USD | |||
USD 0.0001 common | SWAP | Increasing Long | 9,227 | 152.1613 USD | |||
USD 0.0001 common | SWAP | Increasing Long | 600 | 152.3895 USD | |||
USD 0.0001 common | SWAP | Increasing Long | 23 | 152.3950 USD | |||
USD 0.0001 common | SWAP | Increasing Long | 3,050 | 152.4746 USD | |||
USD 0.0001 common | SWAP | Increasing Long | 200 | 152.4850 USD | |||
USD 0.0001 common | SWAP | Decreasing Long | 260 | 151.3200 USD | |||
USD 0.0001 common | SWAP | Decreasing Long | 23 | 152.3950 USD | |||
USD 0.0001 common | SWAP | Decreasing Long | 200 | 152.4850 USD | |||
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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? | YES | ||||||
Date of disclosure: | 23 Jun 2025 | ||||||
Contact name: | Large Holdings Regulatory Operations | ||||||
Telephone number: | 020 3134 7213 | ||||||
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SUPPLEMENTAL FORM 8 (OPEN POSITIONS) | |||||||
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 are being disclosed: | BARCLAYS CAPITAL SECURITIES LTD | ||||||
Name of offeror/offeree in relation to whose relevant securities this from relates: | AQUA ACQUISITION SUB LLC (AN INDIRECT WHOLLY-OWNED SUBSIDIARY OF QUALCOMM INCORPORATED) | ||||||
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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 | Put Options | Purchased | -200,000 | 100.0000 | American | 18-Dec-26 | |
USD 0.0001 common | Put Options | Purchased | -170,000 | 160.0000 | American | 16-Jan-26 | |
USD 0.0001 common | Put Options | Purchased | -55,900 | 100.0000 | American | 16-Jan-26 | |
USD 0.0001 common | Put Options | Purchased | -53,600 | 105.0000 | American | 16-Jan-26 | |
USD 0.0001 common | Put Options | Purchased | -37,400 | 110.0000 | American | 20-Mar-26 | |
USD 0.0001 common | Put Options | Purchased | -29,000 | 170.0000 | American | 16-Jan-26 | |
USD 0.0001 common | Put Options | Purchased | -22,200 | 110.0000 | American | 16-Jan-26 | |
USD 0.0001 common | Put Options | Purchased | -11,000 | 110.0000 | American | 18-Jun-26 | |
USD 0.0001 common | Put Options | Purchased | -7,100 | 105.0000 | American | 20-Mar-26 | |
USD 0.0001 common | Put Options | Purchased | -6,500 | 100.0000 | American | 18-Jun-26 | |
USD 0.0001 common | Put Options | Purchased | -2,900 | 95.0000 | American | 20-Mar-26 | |
USD 0.0001 common | Put Options | Purchased | -2,500 | 115.0000 | American | 18-Jun-26 | |
USD 0.0001 common | Put Options | Purchased | -2,300 | 105.0000 | American | 18-Jun-26 | |
USD 0.0001 common | Put Options | Purchased | -2,000 | 115.0000 | American | 20-Mar-26 | |
USD 0.0001 common | Call Options | Purchased | 2,600 | 195.0000 | American | 16-Jan-26 | |
USD 0.0001 common | Call Options | Purchased | 21,600 | 185.0000 | American | 16-Jan-26 | |
USD 0.0001 common | Call Options | Purchased | 31,100 | 190.0000 | American | 16-Jan-26 | |
USD 0.0001 common | Call Options | Written | -452,760 | 179.3946 | European | 16-Jan-26 | |
USD 0.0001 common | Call Options | Written | -311,455 | 173.3688 | European | 16-Jan-26 | |
USD 0.0001 common | Call Options | Written | -216,163 | 143.2774 | European | 16-Jan-26 | |
USD 0.0001 common | Put Options | Written | 100 | 170.0000 | American | 19-Sep-25 | |
USD 0.0001 common | Put Options | Written | 1,000 | 150.0000 | American | 19-Sep-25 | |
USD 0.0001 common | Put Options | Written | 2,200 | 120.0000 | American | 19-Sep-25 | |
USD 0.0001 common | Put Options | Written | 2,500 | 175.0000 | American | 19-Sep-25 | |
USD 0.0001 common | Put Options | Written | 2,500 | 165.0000 | American | 19-Sep-25 | |
USD 0.0001 common | Put Options | Written | 2,900 | 160.0000 | American | 19-Sep-25 | |
USD 0.0001 common | Put Options | Written | 4,800 | 140.0000 | American | 19-Sep-25 | |
USD 0.0001 common | Put Options | Written | 5,900 | 145.0000 | American | 19-Sep-25 | |
USD 0.0001 common | Put Options | Written | 9,400 | 95.0000 | American | 19-Sep-25 | |
USD 0.0001 common | Put Options | Written | 11,700 | 100.0000 | American | 19-Sep-25 | |
USD 0.0001 common | Put Options | Written | 27,000 | 120.0000 | American | 16-Jan-26 | |
USD 0.0001 common | Put Options | Written | 30,000 | 130.0000 | American | 15-Jan-27 | |
USD 0.0001 common | Put Options | Written | 30,000 | 140.0000 | American | 15-Aug-25 | |
USD 0.0001 common | Put Options | Written | 30,000 | 130.0000 | American | 16-Jan-26 | |
USD 0.0001 common | Put Options | Written | 40,000 | 150.0000 | American | 18-Jul-25 | |
USD 0.0001 common | Put Options | Written | 40,000 | 135.0000 | American | 18-Jul-25 | |
USD 0.0001 common | Put Options | Written | 70,000 | 120.0000 | American | 18-Dec-26 | |
USD 0.0001 common | Put Options | Written | 200,000 | 135.0000 | American | 18-Dec-26 | |
USD 0.0001 common | Put Options | Written | 318,300 | 140.0000 | American | 16-Jan-26 | |
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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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