12th Aug 2022 11:50
FORM 8.3 | |||||||
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 | ||||||
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 | ||||||
offeror/offeree, state this and specify identity of | |||||||
offeror/offeree: | |||||||
(e) | Date position held/dealing undertaken: | 11 Aug 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 | ||||||
(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 | ||||||
Interests | Short Positions | ||||||
Number | (%) | Number | (%) | ||||
(1) | Relevant securities owned | ||||||
and/or controlled: | 1,287,959 | 0.23% | 1,335,274 | 0.23% | |||
(2) | Cash-settled derivatives: | ||||||
and/or controlled: | 1,775,673 | 0.31% | 3,757,122 | 0.66% | |||
(3) | Stock-settled derivatives (including options) | ||||||
and agreements to purchase/sell: | 73,200 | 0.01% | 150,000 | 0.03% | |||
TOTAL: | 3,136,832 | 0.55% | 5,242,396 | 0.92% | |||
(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 | Number of | Price per unit | ||||
security | securities | ||||||
USD 0.01 common | Purchase | 14 | 24.1471 USD | ||||
USD 0.01 common | Purchase | 26 | 24.2161 USD | ||||
USD 0.01 common | Purchase | 50 | 24.2104 USD | ||||
USD 0.01 common | Purchase | 59 | 24.1800 USD | ||||
USD 0.01 common | Purchase | 62 | 24.2141 USD | ||||
USD 0.01 common | Purchase | 64 | 24.1750 USD | ||||
USD 0.01 common | Purchase | 66 | 24.1984 USD | ||||
USD 0.01 common | Purchase | 80 | 24.2077 USD | ||||
USD 0.01 common | Purchase | 92 | 24.1035 USD | ||||
USD 0.01 common | Purchase | 100 | 24.1160 USD | ||||
USD 0.01 common | Purchase | 100 | 24.1200 USD | ||||
USD 0.01 common | Purchase | 100 | 24.3300 USD | ||||
USD 0.01 common | Purchase | 106 | 24.1694 USD | ||||
USD 0.01 common | Purchase | 140 | 24.0890 USD | ||||
USD 0.01 common | Purchase | 176 | 24.1900 USD | ||||
USD 0.01 common | Purchase | 242 | 24.1269 USD | ||||
USD 0.01 common | Purchase | 300 | 24.2250 USD | ||||
USD 0.01 common | Purchase | 492 | 24.3289 USD | ||||
USD 0.01 common | Purchase | 500 | 24.1520 USD | ||||
USD 0.01 common | Purchase | 697 | 24.1121 USD | ||||
USD 0.01 common | Purchase | 700 | 24.1350 USD | ||||
USD 0.01 common | Purchase | 1,000 | 24.1351 USD | ||||
USD 0.01 common | Purchase | 1,219 | 24.2014 USD | ||||
USD 0.01 common | Purchase | 1,424 | 24.0792 USD | ||||
USD 0.01 common | Purchase | 1,500 | 24.1453 USD | ||||
USD 0.01 common | Purchase | 1,534 | 24.0995 USD | ||||
USD 0.01 common | Purchase | 1,600 | 24.0700 USD | ||||
USD 0.01 common | Purchase | 1,672 | 24.1500 USD | ||||
USD 0.01 common | Purchase | 1,681 | 24.1074 USD | ||||
USD 0.01 common | Purchase | 1,836 | 24.1219 USD | ||||
USD 0.01 common | Purchase | 1,996 | 24.1377 USD | ||||
USD 0.01 common | Purchase | 1,998 | 24.1801 USD | ||||
USD 0.01 common | Purchase | 1,999 | 24.1344 USD | ||||
USD 0.01 common | Purchase | 2,439 | 24.1557 USD | ||||
USD 0.01 common | Purchase | 3,326 | 24.1916 USD | ||||
USD 0.01 common | Purchase | 3,894 | 24.0958 USD | ||||
USD 0.01 common | Purchase | 4,459 | 24.1018 USD | ||||
USD 0.01 common | Purchase | 5,354 | 24.0503 USD | ||||
USD 0.01 common | Purchase | 5,516 | 24.2058 USD | ||||
USD 0.01 common | Purchase | 7,079 | 24.2054 USD | ||||
USD 0.01 common | Purchase | 8,618 | 24.1690 USD | ||||
USD 0.01 common | Purchase | 9,991 | 24.1287 USD | ||||
USD 0.01 common | Purchase | 10,329 | 24.0837 USD | ||||
USD 0.01 common | Purchase | 11,530 | 24.1062 USD | ||||
USD 0.01 common | Purchase | 17,612 | 24.0819 USD | ||||
USD 0.01 common | Purchase | 19,498 | 24.0859 USD | ||||
USD 0.01 common | Purchase | 20,496 | 24.1000 USD | ||||
USD 0.01 common | Purchase | 20,684 | 24.1069 USD | ||||
USD 0.01 common | Purchase | 20,889 | 24.1537 USD | ||||
USD 0.01 common | Purchase | 25,805 | 24.0531 USD | ||||
USD 0.01 common | Purchase | 26,793 | 24.1402 USD | ||||
USD 0.01 common | Purchase | 55,231 | 24.0500 USD | ||||
USD 0.01 common | Purchase | 83,256 | 24.0988 USD | ||||
USD 0.01 common | Purchase | 154,018 | 24.2007 USD | ||||
USD 0.01 common | Sale | 1 | 24.2200 USD | ||||
USD 0.01 common | Sale | 5 | 24.2900 USD | ||||
USD 0.01 common | Sale | 35 | 24.0554 USD | ||||
USD 0.01 common | Sale | 99 | 24.2878 USD | ||||
USD 0.01 common | Sale | 100 | 24.0550 USD | ||||
USD 0.01 common | Sale | 152 | 24.3300 USD | ||||
USD 0.01 common | Sale | 182 | 24.0565 USD | ||||
USD 0.01 common | Sale | 448 | 24.1700 USD | ||||
USD 0.01 common | Sale | 1,600 | 24.0700 USD | ||||
USD 0.01 common | Sale | 2,300 | 24.2467 USD | ||||
USD 0.01 common | Sale | 2,589 | 24.1124 USD | ||||
USD 0.01 common | Sale | 3,863 | 24.0352 USD | ||||
USD 0.01 common | Sale | 4,088 | 24.1438 USD | ||||
USD 0.01 common | Sale | 5,966 | 24.1188 USD | ||||
USD 0.01 common | Sale | 6,243 | 24.0602 USD | ||||
USD 0.01 common | Sale | 8,902 | 24.1105 USD | ||||
USD 0.01 common | Sale | 10,867 | 24.1649 USD | ||||
USD 0.01 common | Sale | 18,840 | 24.0932 USD | ||||
USD 0.01 common | Sale | 25,357 | 24.0510 USD | ||||
USD 0.01 common | Sale | 60,932 | 24.0500 USD | ||||
USD 0.01 common | Sale | 150,000 | 24.0992 USD | ||||
USD 0.01 common | Sale | 234,821 | 24.1852 USD | ||||
(b) | Cash-settled derivative transactions | ||||||
Class of | Product | Nature of dealing | Number of | Price per | |||
relevant | description | reference | unit | ||||
security | securities | ||||||
(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 | |||||||
(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 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 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: | 12 Aug 2022 | ||||||
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 PLC. | ||||||
are being disclosed: | |||||||
Name of offeror/offeree in relation to whose | NORTONLIFELOCK INC | ||||||
relevant securities this from relates: | |||||||
2. | OPTIONS AND DERIVATIVES | ||||||
Class | Product | Writing, | Number | Exercise | Type | Expiry |
|
of | description | purchasing, | of | price | date |
| |
relevant | selling, | securities | per unit |
| |||
security | varying etc | to which |
| ||||
option |
| ||||||
relates |
| ||||||
USD 0.01 common | Call Options | Purchased | 56,100 | 25.0000 | American | 19 Aug 2022 |
|
USD 0.01 common | Call Options | Written | -112,200 | 28.0000 | American | 19 Aug 2022 |
|
USD 0.01 common | Call Options | Written | -20,700 | 27.0000 | American | 19 Aug 2022 |
|
USD 0.01 common | Call Options | Written | -17,100 | 27.0000 | American | 16 Sep 2022 |
|
USD 0.01 common | Put Options | Written | 17,100 | 25.0000 | American | 16 Sep 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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