| FORM 8.5 (EPT/NON-RI) | |||||||
| Amendment - this form replaces RNS number 1490E published at 12:02 on 08/04/2025 , changes made to section 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 | ALPHAWAVE IP GROUP PLC | |||||
| (c) | Name of the party to the offer with which exempt | ALPHAWAVE IP GROUP PLC | |||||
| (d) | Date position held/dealing undertaken: | 07 Apr 2025 | |||||
| (e) | In addition to the company in 1(b) above, is the exempt principal | YES: | |||||
| 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) | ||||||
| Class of relevant security: | 1p ordinary | ||||||
| | Interests | Short Positions | |||||
| Number | (%) | Number | (%) | ||||
| (1) Relevant securities owned and/or controlled: | 5,014,552 | 0.66% | 15,363,304 | 2.03% | |||
| (2) Cash-settled derivatives: | 13,988,851 | 1.85% | 4,568,773 | 0.60% | |||
| (3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||
| | 19,003,403 | 2.51% | 19,932,077 | 2.63% | |||
| Class of relevant security: | Senior unsecured convertible bond XS2962835257 | ||||||
| | Interests | Short Positions | |||||
| Number | (%) | Number | (%) | ||||
| (1) Relevant securities owned and/or controlled: | 3,200,000 | 2.13% | 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% | |||
| | 3,200,000 | 2.13% | 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 |
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| Details, including nature of the rights |
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| 3. | DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER | ||||||
| (a) | Purchase and sales |
| | | | | |
| Class of relevant | Purchase/sale | Total number of | Highest price per unit | Lowest price per unit | |||
| 1p ordinary | Purchase | 1241462 | 1.2570 GBP | 1.1700 GBP | |||
| 1p ordinary | Sale | 1461833 | 1.2589 GBP | 1.1707 GBP | |||
| Senior unsecured convertible bond | Purchase | 2000000 | 116.1250 USD | 116.0000 USD | |||
| Senior unsecured convertible bond | Sale | 2000000 | 116.7500 USD | 116.7500 USD | |||
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| (b) | Cash-settled derivative transactions | ||||||
| Class of | Product description | Nature of dealing | Number of | Price per | |||
| 1p ordinary | SWAP | Increasing Long | 57,504 | 1.1967 GBP | |||
| 1p ordinary | SWAP | Increasing Long | 57,504 | 1.1997 GBP | |||
| 1p ordinary | SWAP | Increasing Long | 78,489 | 1.2016 GBP | |||
| 1p ordinary | SWAP | Increasing Long | 92,613 | 1.2018 GBP | |||
| 1p ordinary | SWAP | Increasing Long | 16,131 | 1.2038 GBP | |||
| 1p ordinary | SWAP | Increasing Long | 4,702 | 1.2050 GBP | |||
| 1p ordinary | SWAP | Increasing Long | 6,231 | 1.2164 GBP | |||
| 1p ordinary | SWAP | Increasing Long | 44 | 1.2197 GBP | |||
| 1p ordinary | SWAP | Increasing Long | 71,879 | 1.2281 GBP | |||
| 1p ordinary | SWAP | Increasing Long | 6,024 | 1.2410 GBP | |||
| 1p ordinary | SWAP | Increasing Long | 58 | 1.2460 GBP | |||
| 1p ordinary | SWAP | Increasing Long | 905 | 1.2471 GBP | |||
| 1p ordinary | SWAP | Increasing Long | 1,632 | 1.2529 GBP | |||
| 1p ordinary | SWAP | Increasing Long | 46,249 | 1.2530 GBP | |||
| 1p ordinary | SWAP | Increasing Long | 1 | 1.2589 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 415 | 1.1855 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 547 | 1.1902 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 5,794 | 1.1953 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 14,886 | 1.1968 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 28,771 | 1.1986 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 88 | 1.2031 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 205,477 | 1.2087 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 7,132 | 1.2094 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 9 | 1.2177 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 18 | 1.2276 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 87 | 1.2277 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 6,253 | 1.2315 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 1,079 | 1.2355 GBP | |||
| 1p ordinary | SWAP | Decreasing Long | 8,723 | 1.2530 GBP | |||
| 1p ordinary | CFD | Increasing Long | 28,322 | 1.2053 GBP | |||
| 1p ordinary | CFD | Increasing Long | 11,932 | 1.2204 GBP | |||
| 1p ordinary | CFD | Decreasing Long | 314 | 1.2080 GBP | |||
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| (c) | Stock-settled derivative transactions (including options) | ||||||
| (i) | Writing, selling, purchasing or varying | ||||||
| Class | Product | Writing, | Number | Exercise | Type | Expiry | Option |
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| (ii) | Exercising |
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| Class of relevant | Product description | Exercising/ exercised against | Number of | Exercise price per | |||
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| (d) | Other dealings (including subscribing for new securities) | ||||||
| Class of relevant | Nature of Dealings | Details | Price per unit (if | ||||
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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, | |||||||
| NONE | |||||||
| (b) | Agreements, arrangements or understandings relating to options or derivatives | ||||||
| Details of any agreement, arrangement or understanding, formal or informal, between | |||||||
| NONE | |||||||
| (c) | Attachments | ||||||
| Is a Supplemental Form 8 (Open Positions) attached? | NO | ||||||
| Date of disclosure: | 08 Apr 2025 | ||||||
| Contact name: | Large Holdings Regulatory Operations | ||||||
| Telephone number: | 020 3134 7213 | ||||||
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