| 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 | ||||
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| relevant securities this form relates: |
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| (c) | Name of the party to the offer with which exempt | ALPHAWAVE IP GROUP PLC | |||||
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| principal trader is connected |
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| (d) | Date position held/dealing undertaken: |
| 02 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 | ||||||
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| Interests | Short Positions | |||||
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| Number | (%) | Number | (%) | |||
| (1) | Relevant securities owned |
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| and/or controlled: |
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| 2,200,000 | 0.29% | 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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| 2,200,000 | 0.29% | 0 | 0.00% |
| Class of relevant security: | 1p ordinary | ||||||
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| Interests | Short Positions | |||||
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| Number | (%) | Number | (%) | |||
| (1) | Relevant securities owned |
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| and/or controlled: |
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| 6,933,961 | 0.92% | 14,272,620 | 1.89% |
| (2) | Cash-settled derivatives: |
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| and/or controlled: |
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| 13,268,649 | 1.75% | 4,542,036 | 0.60% |
| (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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| 20,202,610 | 2.67% | 18,814,656 | 2.49% |
| (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 | |||
| 1p ordinary | Purchase | 1,656,688 | 1.3810 GBP | 1.3279 GBP | |||
| 1p ordinary | Sale | 1,570,540 | 1.3803 GBP | 1.3305 GBP | |||
| Convertible Bond | Purchase | 2,200,000 | 123.5800 USD | 120.7500 USD | |||
| Convertible Bond | Sale | 1,708,913 | 123.3750 USD | 123.3750 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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| 1p ordinary | SWAP | Increasing Long | 1,057 | 1.3258 GBP | |||
| 1p ordinary | SWAP | Increasing Long | 30,149 | 1.3339 GBP | |||
| 1p ordinary | SWAP | Increasing Long | 218 | 1.3369 GBP | |||
| 1p ordinary | SWAP | Increasing Long | 50,352 | 1.3393 GBP | |||
| 1p ordinary | SWAP | Increasing Long | 5,233 | 1.3436 GBP | |||
| 1p ordinary | SWAP | Increasing Long | 48,025 | 1.3452 GBP | |||
| 1p ordinary | SWAP | Increasing Long | 23,700 | 1.3465 GBP | |||
| 1p ordinary | SWAP | Increasing Long | 18,381 | 1.3594 GBP | |||
| 1p ordinary | SWAP | Increasing Long | 23,361 | 1.3618 GBP | |||
| 1p ordinary | SWAP | Increasing Long | 19,300 | 1.3649 GBP | |||
| 1p ordinary | SWAP | Increasing Long | 22,034 | 1.3679 GBP | |||
| 1p ordinary | SWAP | Increasing Long | 42,462 | 1.3769 GBP | |||
| 1p ordinary | SWAP | Increasing Long | 76,775 | 1.3770 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 29 | 1.3241 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 424 | 1.3279 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 2,210 | 1.3291 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 19 | 1.3370 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 1,166 | 1.3386 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 79 | 1.3502 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 5,581 | 1.3545 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 320 | 1.3547 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 2,269 | 1.3568 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 9,087 | 1.3574 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 20,753 | 1.3579 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 21 | 1.3647 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 211,006 | 1.3660 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 393 | 1.3672 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 61,121 | 1.3680 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 47,501 | 1.3731 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 65,200 | 1.3770 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 8,389 | 1.3783 GBP | |||
| 1p ordinary | CFD | Increasing Long | 11,865 | 1.3509 GBP | |||
| 1p ordinary | CFD | Increasing Long | 10,418 | 1.3596 GBP | |||
| 1p ordinary | CFD | Increasing Long | 4,710 | 1.3781 GBP | |||
| 1p ordinary | CFD | Decreasing Long | 5,659 | 1.3654 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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| paid/ |
| 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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| securities | unit | |||
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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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| applicable) | ||||
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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: | 03 Apr 2025 | ||||||
| Contact name: | Large Holdings Regulatory Operations | ||||||
| Telephone number: | 020 3134 7213 | ||||||
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