21st Jan 2022 16:36
FORM 8.3 Amendment to Purchase
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY
A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE
Rule 8.3 of the Takeover Code (the “Code”)
1. KEY INFORMATION
| (a) | Full name of discloser: | Barclays PLC. | |||||
| (b) | Owner or controller of interest and short |
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| positions disclosed, if different from 1(a): | |||||||
| (c) | Name of offeror/offeree in relation to whose | NORTONLIFELOCK INC | |||||
| relevant securities this form relates: | |||||||
| (d) | If an exempt fund manager connected with an |
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| offeror/offeree, state this and specify identity of | |||||||
| offeror/offeree: | |||||||
| (e) | Date position held/dealing undertaken: | 19 January 2022 | |||||
| (f) | In addition to the company in 1(c) above, is the discloser making | YES: | |||||
| disclosures in respect of any other party to the offer? | AVAST PLC | ||||||
2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE
If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.
(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 0.01 common |
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Interests | Short Positions | |||||
Number | (%) | Number | (%) | |||
(1) | Relevant securities owned |
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| and/or controlled: | 1,275,520 | 0.22% | 585,257 | 0.10% | ||
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(2) | Cash-settled derivatives: |
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473,807 | 0.08% | 1,513,170 | 0.26% | |||
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(3) | Stock-settled derivatives (including options) |
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| and agreements to purchase/sell: | 0 | 0.00% | 2,100 | 0.00% | ||
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| TOTAL: | 1,749,327 | 0.30% | 2,100,527 | 0.36% | ||
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| Class of relevant security: | Convertible Bond US668771AA66 |
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Interests | Short Positions | |||||
Number | (%) | Number | (%) | |||
(1) | Relevant securities owned |
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| and/or controlled: | 390,000 | 0.07% | 0 | 0.00% | ||
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(2) | Cash-settled derivatives: |
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0 | 0.00% | 0 | 0.00% | |||
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(3) | Stock-settled derivatives (including options) |
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| and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | ||
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| TOTAL: | 390,000 | 0.07% | 0 | 0.00% | ||
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All interests and all short positions should be disclosed.
Details of any open stock-settled derivative positions (including traded options), or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).
(b) Rights to subscribe for new securities (including directors’ and other employee options)
Class of relevant security in relation to which subscription right exists: |
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Details, including nature of the rights concerned and relevant percentages: |
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3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE
Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.
The currency of all prices and other monetary amounts should be stated.
(a) Purchases and sales
Class of relevant | Purchase/sale |
| Number of |
| Price per unit | ||
security |
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| securities |
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USD 0.01 common | Purchase | 3 | 23.5250 EUR | ||||
USD 0.01 common | Purchase | 23 | 26.5404 USD | ||||
USD 0.01 common | Purchase | 39 | 26.7700 USD | ||||
USD 0.01 common | Purchase | 41 | 26.8860 USD | ||||
USD 0.01 common | Purchase | 41 | 26.4402 USD | ||||
USD 0.01 common | Purchase | 48 | 26.4000 USD | ||||
USD 0.01 common | Purchase | 72 | 26.4333 USD | ||||
USD 0.01 common | Purchase | 96 | 26.4712 USD | ||||
USD 0.01 common | Purchase | 100 | 23.5500 EUR | ||||
USD 0.01 common | Purchase | 100 | 26.3300 USD | ||||
USD 0.01 common | Purchase | 100 | 26.7300 USD | ||||
USD 0.01 common | Purchase | 127 | 26.4857 USD | ||||
USD 0.01 common | Purchase | 136 | 26.3483 USD | ||||
USD 0.01 common | Purchase | 177 | 26.5692 USD | ||||
USD 0.01 common | Purchase | 179 | 26.4308 USD | ||||
USD 0.01 common | Purchase | 200 | 26.5000 USD | ||||
USD 0.01 common | Purchase | 230 | 26.4374 USD | ||||
USD 0.01 common | Purchase | 246 | 26.4131 USD | ||||
USD 0.01 common | Purchase | 248 | 26.3808 USD | ||||
USD 0.01 common | Purchase | 254 | 26.5973 USD | ||||
USD 0.01 common | Purchase | 272 | 26.5763 USD | ||||
USD 0.01 common | Purchase | 400 | 26.4812 USD | ||||
USD 0.01 common | Purchase | 409 | 26.3726 USD | ||||
USD 0.01 common | Purchase | 502 | 26.5584 USD | ||||
USD 0.01 common | Purchase | 689 | 26.4300 USD | ||||
USD 0.01 common | Purchase | 1,043 | 26.4968 USD | ||||
USD 0.01 common | Purchase | 1,333 | 26.9100 USD | ||||
USD 0.01 common | Purchase | 1,429 | 26.4674 USD | ||||
USD 0.01 common | Purchase | 2,257 | 26.4796 USD | ||||
USD 0.01 common | Purchase | 3,570 | 26.3605 USD | ||||
USD 0.01 common | Purchase | 3,860 | 26.4998 USD | ||||
USD 0.01 common | Purchase | 7,455 | 26.3600 USD | ||||
USD 0.01 common | Purchase | 7,691 | 26.5143 USD | ||||
USD 0.01 common | Purchase | 9,492 | 26.5026 USD | ||||
USD 0.01 common | Purchase | 9,623 | 26.4555 USD | ||||
USD 0.01 common | Purchase | 15,100 | 26.7500 USD | ||||
USD 0.01 common | Purchase | 24,156 | 26.3910 USD | ||||
USD 0.01 common | Purchase | 27,966 | 26.5163 USD | ||||
USD 0.01 common | Purchase | 41,811 | 26.3928 USD | ||||
USD 0.01 common | Purchase | 47,978 | 26.5277 USD | ||||
USD 0.01 common | Purchase | 68,934 | 26.4009 USD | ||||
USD 0.01 common | Sale | 3 | 23.5250 EUR | ||||
USD 0.01 common | Sale | 28 | 26.8300 USD | ||||
USD 0.01 common | Sale | 51 | 26.4900 USD | ||||
USD 0.01 common | Sale | 82 | 26.8860 USD | ||||
USD 0.01 common | Sale | 100 | 26.3300 USD | ||||
USD 0.01 common | Sale | 100 | 23.5500 EUR | ||||
USD 0.01 common | Sale | 100 | 26.6500 USD | ||||
USD 0.01 common | Sale | 177 | 26.5033 USD | ||||
USD 0.01 common | Sale | 182 | 26.3800 USD | ||||
USD 0.01 common | Sale | 195 | 26.3861 USD | ||||
USD 0.01 common | Sale | 200 | 26.6600 USD | ||||
USD 0.01 common | Sale | 200 | 26.5850 USD | ||||
USD 0.01 common | Sale | 314 | 26.5666 USD | ||||
USD 0.01 common | Sale | 314 | 26.3900 USD | ||||
USD 0.01 common | Sale | 322 | 26.6134 USD | ||||
USD 0.01 common | Sale | 351 | 26.4613 USD | ||||
USD 0.01 common | Sale | 402 | 26.3902 USD | ||||
USD 0.01 common | Sale | 502 | 26.6172 USD | ||||
USD 0.01 common | Sale | 548 | 26.3816 USD | ||||
USD 0.01 common | Sale | 615 | 26.4339 USD | ||||
USD 0.01 common | Sale | 852 | 26.4359 USD | ||||
USD 0.01 common | Sale | 852 | 26.5477 USD | ||||
USD 0.01 common | Sale | 954 | 26.6632 USD | ||||
USD 0.01 common | Sale | 1,252 | 26.4084 USD | ||||
USD 0.01 common | Sale | 1,333 | 26.9100 USD | ||||
USD 0.01 common | Sale | 1,455 | 26.4208 USD | ||||
USD 0.01 common | Sale | 1,600 | 26.7046 USD | ||||
USD 0.01 common | Sale | 1,642 | 26.4077 USD | ||||
USD 0.01 common | Sale | 3,074 | 26.4123 USD | ||||
USD 0.01 common | Sale | 3,486 | 26.4182 USD | ||||
USD 0.01 common | Sale | 4,003 | 26.6173 USD | ||||
USD 0.01 common | Sale | 4,022 | 26.4034 USD | ||||
USD 0.01 common | Sale | 4,210 | 26.6824 USD | ||||
USD 0.01 common | Sale | 4,538 | 26.4603 USD | ||||
USD 0.01 common | Sale | 4,883 | 26.3927 USD | ||||
USD 0.01 common | Sale | 4,918 | 26.4029 USD | ||||
USD 0.01 common | Sale | 5,104 | 26.4761 USD | ||||
USD 0.01 common | Sale | 6,017 | 26.5517 USD | ||||
USD 0.01 common | Sale | 7,529 | 26.3696 USD | ||||
USD 0.01 common | Sale | 7,802 | 26.3600 USD | ||||
USD 0.01 common | Sale | 8,337 | 26.4620 USD | ||||
USD 0.01 common | Sale | 9,623 | 26.4555 USD | ||||
USD 0.01 common | Sale | 16,688 | 26.3628 USD | ||||
USD 0.01 common | Sale | 27,059 | 26.4142 USD | ||||
USD 0.01 common | Sale | 30,200 | 26.7500 USD | ||||
USD 0.01 common | Sale | 30,515 | 26.5158 USD | ||||
USD 0.01 common | Sale | 38,429 | 26.4985 USD | ||||
USD 0.01 common | Sale | 55,306 | 26.3901 USD | ||||
NB: The below transactions which were previously disclosed have been cancelled | |||||||
Class of relevant | Purchase/sale |
| Number of |
| Price per unit |
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security |
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| securities |
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USD 0.01 common | Purchase | 7,550 | 26.7500 USD | ||||
USD 0.01 common | Sale | 15,100 | 26.7500 USD | ||||
(b) Cash-settled derivative transactions
Class of |
| Product |
| Nature of dealing |
| Number of | Price per |
relevant |
| description |
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| reference | unit |
security |
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| securities |
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USD 0.01 common | SWAP | Long | 1,977 | 26.6409 USD | |||
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class of relevant security | Product description e.g. call option | Writing, purchasing, selling, varying etc. | Number of securities to which option relates | Exercise price per unit | Type e.g. American, European etc. | Expiry date | Option money paid/ received per unit |
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(ii) Exercise
Class of relevant security | Product description e.g. call option | Exercising/ exercised against | Number of securities | Exercise price per unit |
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(d) Other dealings (including subscribing for new securities)
Class of relevant security | Nature of dealing e.g. subscription, conversion | Details | Price per unit (if applicable) |
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4. OTHER INFORMATION
(a) Indemnity and other dealing 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 person making the disclosure and any party to the offer or any person acting in concert with a party to the offer: Irrevocable commitments and letters of intent should not be included. If there are no such agreements, arrangements or understandings, state “none” |
None
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(b) Agreements, arrangements or understandings relating to options or derivatives
Details of any agreement, arrangement or understanding, formal or informal, between the person 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 or future acquisition or disposal of any relevant securities to which any derivative is referenced: If there are no such agreements, arrangements or understandings, state “none” |
None
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(c) Attachments
| Is a Supplemental Form 8 (Open Positions) attached? | YES | ||||||
| Date of disclosure: | 21 Jan 2022 |
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| Contact name: | Large Holdings Regulatory Operations | ||||||
| Telephone number: | 020 3134 7213 | ||||||
Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service.
The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s disclosure requirements on +44 (0)20 7638 0129.
*If the discloser is a natural person, a telephone number does not need to be included, provided contact information has been provided to the Panel’s Market Surveillance Unit.
The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.
SUPPLEMENTAL FORM 8 (OPEN POSITIONS)
DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING OPTION) 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 PLC. | ||||||
| are being disclosed: | |||||||
| Name of offeror/offeree in relation to whose | NORTONLIFELOCK INC | ||||||
| relevant securities this from relates: | |||||||
2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)
Class |
| Product | Writing, | Number | Exercise | Type | Expiry |
of |
| description | purchasing, | of | price |
| date |
relevant |
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| selling, | securities | per unit |
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security |
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| varying etc | to which |
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| option |
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| relates |
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USD 0.01 common | Put Options | Purchased | -2,100 | 30.0000 | American | 21 Jan 2022 | |
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: |
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It is not necessary to provide details on a Supplemental Form (Open Positions) with regard to cash-settled derivatives.
The currency of all prices and other monetary amounts should be stated.
The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk
View source version on businesswire.com: https://www.businesswire.com/news/home/20220121005303/en/
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