TIDMAWE
RNS Number : 5612X
Alphawave IP Group PLC
05 January 2022
TR-1: S tandard form for notification of major holdings
NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer and
to the FCA in Microsoft Word format if possible) (i)
1a. Identity of the issuer or the Alphawave IP Group PLC
underlying issuer of existing shares
to which voting rights are attached
(ii) :
--------------------------------------------
1b. Please indicate if the issuer is a non-UK issuer (please mark with
an "X" if appropriate)
Non-UK issuer
----
2. Reason for the notification (please mark the appropriate box or boxes
with an "X")
An acquisition or disposal of voting rights X
----
An acquisition or disposal of financial instruments
----
An event changing the breakdown of voting rights
----
Other (please specify)(iii) :
----
3. Details of person subject to the notification obligation (iv)
Name BlackRock, Inc.
City and country of registered office Wilmington, USA
(if applicable)
4. Full name of shareholder(s) (if different from 3.) (v)
Name
--------------------------------------------
City and country of registered office
(if applicable)
--------------------------------------------
5. Date on which the threshold was 04/01/2022
crossed or reached (vi) :
--------------------------------------------
6. Date on which issuer notified (DD/MM/YYYY): 05/01/2022
--------------------------------------------
7. Total positions of person(s) subject to the notification obligation
% of voting % of voting rights Total of both Total number
rights attached through financial in % (8.A + of voting rights
to shares (total instruments 8.B) of issuer (vii)
of 8. A) (total of 8.B
1 + 8.B 2)
------------------ --------------------- -------------- --------------------
Resulting situation
on the date
on which threshold
was crossed
or reached 4.99% 2.70% 7.69% 5,1228,273
------------------ --------------------- -------------- --------------------
Position of
previous notification
(if
applicable) 9.10% 0.15% 9.25%
================== ===================== ============== --------------------
8. Notified details of the resulting situation on the date on which
the threshold was crossed or reached (viii)
A: Voting rights attached to shares
Class/type of Number of voting rights % of voting rights
shares (ix)
ISIN code (if
possible)
Direct Indirect Direct Indirect
(Art 9 of Directive (Art 10 of Directive (Art 9 of Directive (Art 10 of Directive
2004/109/EC) 2004/109/EC) 2004/109/EC) (DTR5.1) 2004/109/EC)
(DTR5.1) (DTR5.2.1) (DTR5.2.1)
--------------------------
GB00BNDRMJ14 33,227,860 4.99%
---------------------- ========================== ========================= =====================
SUBTOTAL 8. A 33,227,860 4.99%
-------------------------------------------------- ------------------------------------------------
B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC
(DTR5.3.1.1 (a))
Type of Expiration Exercise/ Number of voting % of voting
financial date Conversion Period rights that may rights
instrument (x) (xi) be acquired if
the instrument
is
exercised/converted.
----------- ------------------------------ -------------------------------- ---------------------
Securities
Lending 18,000,413 2.70%
=========== ============================== ================================ =====================
SUBTOTAL 8. B 1 18,000,413 2.70%
------------------------------ ================================ =====================
B 2: Financial Instruments with similar economic effect according to
Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b))
Type of Expiration Exercise/ Physical or Number of % of voting
financial date (x) Conversion cash voting rights rights
instrument Period (xi) settlement
(xii)
---------------- -------------------- -------------------- --------------------
SUBTOTAL 8.B.2
-------------------- --------------------
9. Information in relation to the person subject to the notification
obligation (please mark the
applicable box with an "X")
Person subject to the notification obligation is not controlled X
by any natural person or legal entity and does not control any other
undertaking(s) holding directly or indirectly an interest in the
(underlying) issuer (xiii)
Full chain of controlled undertakings through which the voting rights
and/or the
financial instruments are effectively held starting with the ultimate
controlling natural person or legal entity (xiv) (please add additional
rows as necessary)
Name (xv) % of voting rights % of voting rights Total of both if
if it equals or through financial it equals or is
is higher than the instruments if it higher than the
notifiable threshold equals or is higher notifiable threshold
than the notifiable
threshold
------------------------- --------------------- ------------------------
BlackRock, Inc. Trident Merger,
(Chain 1) LLC
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Investment
(Chain 1) Management, LLC
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Holdco
(Chain 2) 2, Inc.
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Financial
(Chain 2) Management, Inc.
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock International
(Chain 2) Holdings, Inc.
========================= --------------------- ------------------------
BlackRock, Inc. BR Jersey International
(Chain 2) Holdings L.P.
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Holdco
(Chain 2) 3, LLC
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Cayman
(Chain 2) 1 LP
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Cayman
(Chain 2) West Bay Finco Limited
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Cayman
(Chain 2) West Bay IV Limited
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Group
(Chain 2) Limited
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Finance
(Chain 2) Europe Limited
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Investment
(Chain 2) Management (UK)
Limited
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Holdco
(Chain 3) 2, Inc.
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Financial
(Chain 3) Management, Inc.
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock International
(Chain 3) Holdings, Inc.
========================= --------------------- ------------------------
BlackRock, Inc. BR Jersey International
(Chain 3) Holdings L.P.
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Australia
(Chain 3) Holdco Pty. Ltd.
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Investment
(Chain 3) Management (Australia)
Limited
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Holdco
(Chain 4) 2, Inc.
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Financial
(Chain 4) Management, Inc.
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Holdco
(Chain 4) 4, LLC
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Holdco
(Chain 4) 6, LLC
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Delaware
(Chain 4) Holdings Inc.
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Institutional
(Chain 4) Trust Company, National
Association
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Holdco
(Chain 5) 2, Inc.
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Financial
(Chain 5) Management, Inc.
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Holdco
(Chain 5) 4, LLC
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Holdco
(Chain 5) 6, LLC
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Delaware
(Chain 5) Holdings Inc.
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Fund Advisors
(Chain 5)
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Holdco
(Chain 6) 2, Inc.
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Financial
(Chain 6) Management, Inc.
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Holdco
(Chain 7) 2, Inc.
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Financial
(Chain 7) Management, Inc.
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Capital
(Chain 7) Holdings, Inc.
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Advisors,
(Chain 7) LLC
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Holdco
(Chain 8) 2, Inc.
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Financial
(Chain 8) Management, Inc.
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock International
(Chain 8) Holdings, Inc.
========================= --------------------- ------------------------
BlackRock, Inc. BR Jersey International
(Chain 8) Holdings L.P.
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Holdco
(Chain 8) 3, LLC
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Cayman
(Chain 8) 1 LP
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Cayman
(Chain 8) West Bay Finco Limited
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Cayman
(Chain 8) West Bay IV Limited
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Group
(Chain 8) Limited
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Finance
(Chain 8) Europe Limited
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Advisors
(Chain 8) (UK) Limited
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Holdco
(Chain 9) 2, Inc.
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock Financial
(Chain 9) Management, Inc.
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock International
(Chain 9) Holdings, Inc.
========================= --------------------- ------------------------
BlackRock, Inc. BR Jersey International
(Chain 9) Holdings L.P.
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock (Singapore)
(Chain 9) Holdco Pte. Ltd.
========================= --------------------- ------------------------
BlackRock, Inc. BlackRock (Singapore)
(Chain 9) Limited
========================= --------------------- ------------------------
10. In case of proxy voting, please identify:
Name of the proxy holder
-----------------------------------------------
The number and % of voting rights
held
-----------------------------------------------
The date until which the voting rights
will be held
-----------------------------------------------
11. Additional information (xvi)
BlackRock Regulatory Threshold Reporting Team
Jana Blumenstein
020 7743 3650
Place of completion 12 Throgmorton Avenue, London, EC2N 2DL, U.K
Date of completion 05/01/2022
---------------------------------------------
Notes.
(i) Please note that national forms may vary due to specific
national legislation (Article 3(1a) of Directive 2004/109/EC) as
for instance the applicable thresholds or information regarding
capital holdings.
(ii) Full name of the legal entity and further specification of
the issuer or underlying issuer, provided it is reliable and
accurate (e.g. address, LEI, domestic number identity). Indicate in
the relevant section whether the issuer is a non UK issuer.
(iii) Other reason for the notification could be voluntary
notifications, changes of attribution of the nature of the holding
(e.g. expiring of financial instruments) or acting in concert.
(iv) This should be the full name of (a) the shareholder; (b)
the natural person or legal entity acquiring, disposing of or
exercising voting rights in the cases provided for in DTR5.2.1 (b)
to (h)/ Article 10 (b) to (h) of Directive 2004/109/EC; (c) all
parties to the agreement referred to in Article 10 (a) of Directive
2004/109/EC (DTR5.2.1 (a)) or (d) the holder of financial
instruments referred to in Article 13(1) of Directive 2004/109/EC
(DTR5.3.1).
As the disclosure of cases of acting in concert may vary due to
the specific circumstances (e.g. same or different total positions
of the parties, entering or exiting of acting in concert by a
single party) the standard form does not provide for a specific
method how to notify cases of acting in concert.
In relation to the transactions referred to in points (b) to (h)
of Article 10 of Directive 2004/109/EC (DTR5.2.1 (b) to (h)), the
following list is provided as indication of the persons who should
be mentioned:
- in the circumstances foreseen in letter (b) of Article 10 of
that Directive (DTR5.2.1 (b)), the natural person or legal entity
that acquires the voting rights and is entitled to exercise them
under the agreement and the natural person or legal entity who is
transferring temporarily for consideration the voting rights;
- in the circumstances foreseen in letter (c) of Article 10 of
that Directive (DTR5.2.1 (c)), the natural person or legal entity
holding the collateral, provided the person or entity controls the
voting rights and declares its intention of exercising them, and
natural person or legal entity lodging the collateral under these
conditions;
- in the circumstances foreseen in letter (d) of Article 10 of
that Directive (DTR5.2.1 (d)), the natural person or legal entity
who has a life interest in shares if that person or entity is
entitled to exercise the voting rights attached to the shares and
the natural person or legal entity who is disposing of the voting
rights when the life interest is created;
- in the circumstances foreseen in letter (e) of Article 10 of
that Directive (DTR5.2.1 (e)), the controlling natural person or
legal entity and, provided it has a notification duty at an
individual level under Article 9 (DTR 5.1), under letters (a) to
(d) of Article 10 of that Directive (DTR5.2.1 (a) to (d)) or under
a combination of any of those situations, the controlled
undertaking;
- in the circumstances foreseen in letter (f) of Article 10 of
that Directive (DTR5.2.1 (f)), the deposit taker of the shares, if
he can exercise the voting rights attached to the shares deposited
with him at his discretion, and the depositor of the shares
allowing the deposit taker to exercise the voting rights at his
discretion;
- in the circumstances foreseen in letter (g) of Article 10 of
that Directive (DTR5.2.1 (g)), the natural person or legal entity
that controls the voting rights;
- in the circumstances foreseen in letter (h) of Article 10 of
that Directive (DTR5.2.1 (h)), the proxy holder, if he can exercise
the voting rights at his discretion, and the shareholder who has
given his proxy to the proxy holder allowing the latter to exercise
the voting rights at his discretion (e.g. management
companies).
(v) Applicable in the cases provided for in Article 10 (b) to
(h) of Directive 2004/109/EC (DTR5.2.1 (b) to (h). This should be
the full name of the shareholder who is the counterparty to the
natural person or legal entity referred to in Article 10 of that
Directive (DTR5.2) unless the percentage of voting rights held by
the shareholder is lower than the lowest notifiable threshold for
the disclosure of voting rights holdings in accordance with
national practices (e.g. identification of funds managed by
management companies).
(vi) The date on which threshold is crossed or reached should be
the date on which the acquisition or disposal took place or the
other reason triggered the notification obligation. For passive
crossings, the date when the corporate event took effect.
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