
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: | 20 Jun 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: | 15,410,435 | 1.99% | 5,428,695 | 0.70% | |||
(2) Cash-settled derivatives: | 3,680,340 | 0.48% | 15,266,899 | 1.98% | |||
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||
| 19,090,775 | 2.47% | 20,695,594 | 2.68% | |||
| | | | | | | |
Class of relevant security: | Senior unsecured convertible bond | ||||||
| Interests | Short Positions | |||||
Number | (%) | Number | (%) | ||||
(1) Relevant securities owned and/or controlled: | 3,000,000 | 2.00% | 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% | |||
| 3,000,000 | 2.00% | 0 | 0.00% | |||
| | | | | | | |
(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 | 2137666 | 1.7688 GBP | 1.7470 GBP | |||
1p ordinary | Sale | 514966 | 1.7671 GBP | 1.7467 GBP | |||
| | | | | | | |
(b) | Cash-settled derivative transactions | ||||||
Class of | Product description | Nature of dealing | Number of | Price per | |||
1p ordinary | SWAP | Increasing Short | 17,400 | 1.7474 GBP | |||
1p ordinary | SWAP | Increasing Short | 1,280 | 1.7507 GBP | |||
1p ordinary | SWAP | Increasing Short | 803 | 1.7781 GBP | |||
1p ordinary | SWAP | Decreasing Short | 3 | 1.7467 GBP | |||
1p ordinary | SWAP | Decreasing Short | 341 | 1.7469 GBP | |||
1p ordinary | SWAP | Decreasing Short | 15,228 | 1.7470 GBP | |||
1p ordinary | SWAP | Decreasing Short | 20,376 | 1.7548 GBP | |||
1p ordinary | SWAP | Decreasing Short | 18,325 | 1.7551 GBP | |||
1p ordinary | SWAP | Decreasing Short | 80,318 | 1.7570 GBP | |||
1p ordinary | SWAP | Decreasing Short | 76,830 | 1.7580 GBP | |||
1p ordinary | SWAP | Decreasing Short | 7,466 | 1.7583 GBP | |||
1p ordinary | SWAP | Decreasing Short | 105,256 | 1.7587 GBP | |||
1p ordinary | SWAP | Decreasing Short | 6,252 | 1.7614 GBP | |||
1p ordinary | SWAP | Decreasing Short | 6,005 | 1.7615 GBP | |||
1p ordinary | SWAP | Decreasing Short | 20,435 | 1.7769 USD | |||
1p ordinary | SWAP | Increasing Short | 20,435 | 0.0238 USD | |||
1p ordinary | SWAP | Increasing Short | 173,996 | 1.7470 GBP | |||
1p ordinary | SWAP | Increasing Short | 745,794 | 1.7471 GBP | |||
1p ordinary | SWAP | Increasing Short | 159,645 | 1.7472 GBP | |||
1p ordinary | SWAP | Increasing Short | 18,853 | 1.7516 GBP | |||
1p ordinary | SWAP | Increasing Short | 38,652 | 1.7522 GBP | |||
1p ordinary | SWAP | Increasing Short | 10,347 | 1.7567 GBP | |||
1p ordinary | SWAP | Increasing Short | 2,428 | 1.7572 GBP | |||
1p ordinary | SWAP | Increasing Short | 5,142 | 1.7588 GBP | |||
1p ordinary | SWAP | Increasing Short | 531,756 | 1.7596 GBP | |||
1p ordinary | SWAP | Increasing Short | 3,236 | 1.7609 GBP | |||
1p ordinary | SWAP | Increasing Short | 9,304 | 1.7615 GBP | |||
1p ordinary | SWAP | Increasing Short | 38,400 | 1.7668 GBP | |||
1p ordinary | SWAP | Increasing Short | 19,200 | 1.7688 GBP | |||
1p ordinary | CFD | Increasing Short | 87,976 | 1.7588 GBP | |||
1p ordinary | CFD | Increasing Short | 11,293 | 1.7600 GBP | |||
1p ordinary | CFD | Increasing Short | 19,398 | 1.7602 GBP | |||
1p ordinary | SWAP | Increasing Short | 65,000 | 1.7613 GBP | |||
| | | | | | | |
(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: | 23 Jun 2025 | ||||||
Contact name: | Large Holdings Regulatory Operations | ||||||
Telephone number: | 020 3134 7213 |
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