| 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 |
|
AQUA ACQUISITION SUB LLC (AN INDIRECT WHOLLY-OWNED SUBSIDIARY OF QUALCOMM INCORPORATED) |
||||
|
|
relevant securities this form relates: |
|
|||||
| (c) |
Name of the party to the offer with which exempt |
ALPHAWAVE IP GROUP PLC |
|||||
|
|
principal trader is connected |
|
|
||||
| (d) |
Date position held/dealing undertaken: |
|
14 Aug 2025 |
||||
| (e) |
In addition to the company in 1(b) above, is the exempt principal |
YES: |
|
|
|||
|
|
trader making disclosures in respect of any other party to the offer? |
ALPHAWAVE IP GROUP PLC |
|
||||
| 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: |
|
|
7,617,717 |
0.71% |
6,991,423 |
0.65% |
| (2) |
Cash-settled derivatives: |
|
|
|
|
||
|
|
and/or controlled: |
|
|
1,679,028 |
0.16% |
86,906 |
0.01% |
| (3) |
Stock-settled derivatives (including options) |
|
|
|
|
||
|
|
and agreements to purchase/sell: |
|
|
773,600 |
0.07% |
4,989,024 |
0.46% |
|
|
|
|
|
|
|
|
|
|
|
TOTAL: |
|
|
10,070,345 |
0.94% |
12,067,353 |
1.12% |
| (b) |
Rights to subscribe for new securities (including directors and other executive |
|
|||||
|
|
options) |
|
|
|
|
|
|
| Class of relevant security in relation to |
|
|
|
|
|||
| which subscription right exists |
|
|
|
|
|||
| Details, including nature of the rights |
|
|
|
|
|||
| concerned and relevant percentages: |
|
|
|
|
|||
| 3. |
DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER |
||||||
| (a) |
Purchases and sales |
|
|
|
|
|
|
| Class of relevant |
Purchase/sale |
Total number of |
Highest price per unit |
Lowest price per unit |
|||
| security |
|
securities |
paid/received |
paid/received |
|||
| USD 0.0001 common |
Purchase |
521 |
135.8000 EUR |
133.0733 EUR |
|||
| USD 0.0001 common |
Sale |
331 |
135.4978 EUR |
133.0733 EUR |
|||
| USD 0.0001 common |
Purchase |
801,992 |
158.4200 USD |
155.3188 USD |
|||
| USD 0.0001 common |
Sale |
723,106 |
158.3950 USD |
156.1900 USD |
|||
|
|
|
|
|
|
|
|
|
| (b) |
Cash-settled derivative transactions |
|
|||||
| Class of |
Product |
Nature of dealing |
Number of |
Price per |
|||
| relevant |
description |
|
reference |
unit |
|||
| security |
|
|
securities |
|
|||
| USD 0.0001 common |
SWAP |
Decreasing Short |
189 |
133.8498 EUR |
|||
| USD 0.0001 common |
SWAP |
Decreasing Short |
43 |
134.8809 EUR |
|||
| USD 0.0001 common |
SWAP |
Decreasing Short |
19 |
135.4979 EUR |
|||
| USD 0.0001 common |
SWAP |
Increasing Short |
125 |
134.3057 EUR |
|||
| USD 0.0001 common |
CFD |
Closing Long |
316 |
135.8000 EUR |
|||
| USD 0.0001 common |
SWAP |
Increasing Long |
300 |
157.8083 USD |
|||
| USD 0.0001 common |
SWAP |
Increasing Long |
1,125 |
157.9070 USD |
|||
|
|
|
|
|
|
|
|
|
| (c) |
Stock-settled derivative transactions (including options) |
|
|||||
| (i) |
Writing, selling, purchasing or varying |
|
|||||
| Class |
Product |
Writing, |
Number |
Exercise |
Type |
Expiry |
Option |
| of |
description |
purchasing, |
of |
price |
|
date |
money |
| relevant |
|
selling, |
securities |
per unit |
|
|
paid/ |
| security |
|
varying etc |
to which |
|
|
|
received |
|
|
|
|
option |
|
|
|
per unit |
|
|
|
|
relates |
|
|
|
|
| USD 0.0001 common |
Call Options |
Written |
861,100 |
140.5685 |
European |
13 Aug 2026 |
0.0078 USD |
|
|
|
|
|
|
|
|
|
| (ii) |
Exercising |
|
|
|
|
|
|
| Class of relevant |
Product description |
Exercising/ exercised against |
Number of |
Exercise price per |
|||
| security |
|
|
securities |
unit |
|||
|
|
|
|
|
|
|||
|
|
|
|
|
|
|
|
|
| (d) |
Other dealings (including subscribing for new securities) |
|
|||||
| Class of relevant |
Nature of Dealings |
Details |
Price per unit (if |
||||
| security |
|
|
applicable) |
||||
|
|
|
|
|
||||
| 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: |
15 Aug 2025 |
||||||
| Contact name: |
Large Holdings Regulatory Operations |
||||||
| Telephone number: |
020 3134 7213 |
||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| 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 |
BARCLAYS CAPITAL SECURITIES LTD |
||||||
| are being disclosed: |
|||||||
| Name of offeror/offeree in relation to whose |
AQUA ACQUISITION SUB LLC (AN INDIRECT WHOLLY-OWNED SUBSIDIARY OF QUALCOMM INCORPORATED) |
||||||
| relevant securities this from relates: |
|||||||
|
|
|
|
|
|
|
|
|
| 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 2026 |
|
| USD 0.0001 common |
Put Options |
Purchased |
-170,000 |
160.0000 |
American |
16 Jan 2026 |
|
| USD 0.0001 common |
Put Options |
Purchased |
-55,900 |
100.0000 |
American |
16 Jan 2026 |
|
| USD 0.0001 common |
Put Options |
Purchased |
-53,600 |
105.0000 |
American |
16 Jan 2026 |
|
| USD 0.0001 common |
Put Options |
Purchased |
-37,400 |
110.0000 |
American |
20 Mar 2026 |
|
| USD 0.0001 common |
Put Options |
Purchased |
-29,000 |
170.0000 |
American |
16 Jan 2026 |
|
| USD 0.0001 common |
Put Options |
Purchased |
-22,200 |
110.0000 |
American |
16 Jan 2026 |
|
| USD 0.0001 common |
Put Options |
Purchased |
-11,000 |
110.0000 |
American |
18 Jun 2026 |
|
| USD 0.0001 common |
Put Options |
Purchased |
-7,100 |
105.0000 |
American |
20 Mar 2026 |
|
| USD 0.0001 common |
Put Options |
Purchased |
-6,500 |
100.0000 |
American |
18 Jun 2026 |
|
| USD 0.0001 common |
Put Options |
Purchased |
-2,900 |
95.0000 |
American |
20 Mar 2026 |
|
| USD 0.0001 common |
Put Options |
Purchased |
-2,500 |
115.0000 |
American |
18 Jun 2026 |
|
| USD 0.0001 common |
Put Options |
Purchased |
-2,300 |
105.0000 |
American |
18 Jun 2026 |
|
| USD 0.0001 common |
Put Options |
Purchased |
-2,000 |
115.0000 |
American |
20 Mar 2026 |
|
| USD 0.0001 common |
Call Options |
Purchased |
2,600 |
195.0000 |
American |
16 Jan 2026 |
|
| USD 0.0001 common |
Call Options |
Purchased |
21,600 |
185.0000 |
American |
16 Jan 2026 |
|
| USD 0.0001 common |
Call Options |
Purchased |
31,100 |
190.0000 |
American |
16 Jan 2026 |
|
| USD 0.0001 common |
Call Options |
Written |
-861,100 |
140.5685 |
European |
13 Aug 2026 |
|
| USD 0.0001 common |
Call Options |
Written |
-695,489 |
141.1743 |
European |
19 Aug 2025 |
|
| USD 0.0001 common |
Call Options |
Written |
-570,172 |
138.9757 |
European |
06 Jul 2026 |
|
| USD 0.0001 common |
Call Options |
Written |
-341,130 |
145.7435 |
European |
24 Oct 2025 |
|
| USD 0.0001 common |
Call Options |
Written |
-333,243 |
141.0187 |
European |
23 Oct 2025 |
|
| USD 0.0001 common |
Call Options |
Written |
-317,375 |
163.5057 |
European |
06 Apr 2026 |
|
| USD 0.0001 common |
Call Options |
Written |
-305,529 |
143.8098 |
European |
15 Oct 2025 |
|
| USD 0.0001 common |
Call Options |
Written |
-216,163 |
143.2774 |
European |
18 Aug 2025 |
|
| USD 0.0001 common |
Call Options |
Written |
-191,840 |
150.8670 |
European |
06 Apr 2026 |
|
| USD 0.0001 common |
Call Options |
Written |
-177,206 |
143.1938 |
European |
14 Oct 2025 |
|
| USD 0.0001 common |
Call Options |
Written |
-157,114 |
146.5413 |
European |
04 Dec 2025 |
|
| USD 0.0001 common |
Call Options |
Written |
-120,165 |
140.8456 |
European |
07 Jan 2026 |
|
| USD 0.0001 common |
Call Options |
Written |
-100,098 |
153.1754 |
European |
15 Apr 2026 |
|
| USD 0.0001 common |
Put Options |
Written |
100 |
170.0000 |
American |
19 Sep 2025 |
|
| USD 0.0001 common |
Put Options |
Written |
1,000 |
150.0000 |
American |
19 Sep 2025 |
|
| USD 0.0001 common |
Put Options |
Written |
2,200 |
120.0000 |
American |
19 Sep 2025 |
|
| USD 0.0001 common |
Put Options |
Written |
2,500 |
175.0000 |
American |
19 Sep 2025 |
|
| USD 0.0001 common |
Put Options |
Written |
2,500 |
165.0000 |
American |
19 Sep 2025 |
|
| USD 0.0001 common |
Put Options |
Written |
2,900 |
160.0000 |
American |
19 Sep 2025 |
|
| USD 0.0001 common |
Put Options |
Written |
4,800 |
140.0000 |
American |
19 Sep 2025 |
|
| USD 0.0001 common |
Put Options |
Written |
5,900 |
145.0000 |
American |
19 Sep 2025 |
|
| USD 0.0001 common |
Put Options |
Written |
9,400 |
95.0000 |
American |
19 Sep 2025 |
|
| USD 0.0001 common |
Put Options |
Written |
11,700 |
100.0000 |
American |
19 Sep 2025 |
|
| USD 0.0001 common |
Put Options |
Written |
27,000 |
120.0000 |
American |
16 Jan 2026 |
|
| USD 0.0001 common |
Put Options |
Written |
30,000 |
130.0000 |
American |
15 Jan 2027 |
|
| USD 0.0001 common |
Put Options |
Written |
30,000 |
130.0000 |
American |
16 Jan 2026 |
|
| USD 0.0001 common |
Put Options |
Written |
70,000 |
120.0000 |
American |
18 Dec 2026 |
|
| USD 0.0001 common |
Put Options |
Written |
200,000 |
135.0000 |
American |
18 Dec 2026 |
|
| USD 0.0001 common |
Put Options |
Written |
318,300 |
140.0000 |
American |
16 Jan 2026 |
|
|
|
|
|
|
|
|
|
|
| 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: |
|||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
RNS may use your IP address to confirm compliance with the terms and conditions, to analyse how you engage with the information contained in this communication, and to share such analysis on an anonymised basis with others as part of our commercial services. For further information about how RNS and the London Stock Exchange use the personal data you provide us, please see our Privacy Policy.