
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 | |||||
(c) | Name of the party to the offer with which exempt | ALPHAWAVE IP GROUP PLC | |||||
(d) | Date position held/dealing undertaken: | 10 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 | ||||||
| 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: | 5,031,865 | 0.66% | 15,342,133 | 2.02% | |||
(2) Cash-settled derivatives: | 13,982,666 | 1.84% | 4,586,086 | 0.60% | |||
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||
| 19,014,531 | 2.50% | 19,928,219 | 2.62% | |||
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 | 649468 | 1.3047 GBP | 1.2470 GBP | |||
1p ordinary | Sale | 463451 | 1.3356 GBP | 1.2455 GBP | |||
| | | | | | | |
(b) | Cash-settled derivative transactions | ||||||
Class of | Product description | Nature of dealing | Number of | Price per | |||
1p ordinary | SWAP | Increasing Long | 671 | 1.2455 GBP | |||
1p ordinary | SWAP | Increasing Long | 3 | 1.2478 GBP | |||
1p ordinary | SWAP | Increasing Long | 62,908 | 1.2479 GBP | |||
1p ordinary | SWAP | Increasing Long | 9,382 | 1.2480 GBP | |||
1p ordinary | SWAP | Increasing Long | 37,753 | 1.2483 GBP | |||
1p ordinary | SWAP | Increasing Long | 6,761 | 1.2568 GBP | |||
1p ordinary | SWAP | Increasing Long | 758 | 1.2655 GBP | |||
1p ordinary | SWAP | Increasing Long | 29,376 | 1.2709 GBP | |||
1p ordinary | SWAP | Increasing Long | 14,505 | 1.2722 GBP | |||
1p ordinary | SWAP | Increasing Long | 24,614 | 1.2730 GBP | |||
1p ordinary | SWAP | Decreasing Long | 28,543 | 1.2480 GBP | |||
1p ordinary | SWAP | Decreasing Long | 30,940 | 1.2482 GBP | |||
1p ordinary | SWAP | Decreasing Long | 4,267 | 1.2596 GBP | |||
1p ordinary | SWAP | Decreasing Long | 8 | 1.2627 GBP | |||
1p ordinary | SWAP | Decreasing Long | 15 | 1.2628 GBP | |||
1p ordinary | SWAP | Decreasing Long | 46,673 | 1.2649 GBP | |||
1p ordinary | SWAP | Decreasing Long | 21,543 | 1.2670 GBP | |||
1p ordinary | SWAP | Decreasing Long | 42,505 | 1.2671 GBP | |||
1p ordinary | SWAP | Decreasing Long | 6,563 | 1.2698 GBP | |||
1p ordinary | SWAP | Decreasing Long | 8,671 | 1.2710 GBP | |||
1p ordinary | SWAP | Decreasing Long | 10,020 | 1.2724 GBP | |||
1p ordinary | SWAP | Decreasing Long | 60,032 | 1.2754 GBP | |||
1p ordinary | SWAP | Decreasing Long | 363 | 1.2787 GBP | |||
1p ordinary | SWAP | Decreasing Long | 37 | 1.2829 GBP | |||
1p ordinary | SWAP | Decreasing Long | 49,894 | 1.2890 GBP | |||
1p ordinary | SWAP | Decreasing Long | 59,492 | 1.2891 GBP | |||
1p ordinary | SWAP | Decreasing Long | 1,458 | 1.2902 GBP | |||
1p ordinary | SWAP | Decreasing Long | 4,474 | 1.2907 GBP | |||
1p ordinary | CFD | Increasing Long | 14,967 | 1.2700 GBP | |||
1p ordinary | CFD | Decreasing Long | 12,217 | 1.2827 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: | 11 Apr 2025 | ||||||
Contact name: | Large Holdings Regulatory Operations | ||||||
Telephone number: | 020 3134 7213 |
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