14th Oct 2021 12:08
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 |
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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: | 13 October 2021 | |||||
| (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: | 1,482,248 | 0.25% | 759,568 | 0.13% | ||
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(2) | Cash-settled derivatives: |
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354,367 | 0.06% | 1,028,322 | 0.18% | |||
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(3) | Stock-settled derivatives (including options) |
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| and agreements to purchase/sell: | 500 | 0.00% | 2,100 | 0.00% | ||
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| TOTAL: | 1,837,115 | 0.32% | 1,789,990 | 0.31% | ||
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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: | 146,000 | 0.03% | 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: | 146,000 | 0.03% | 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 | 25.0650 USD | ||||
USD 0.01 common | Purchase | 4 | 25.1200 USD | ||||
USD 0.01 common | Purchase | 6 | 25.2733 USD | ||||
USD 0.01 common | Purchase | 6 | 25.1333 USD | ||||
USD 0.01 common | Purchase | 6 | 25.1100 USD | ||||
USD 0.01 common | Purchase | 16 | 25.1237 USD | ||||
USD 0.01 common | Purchase | 26 | 25.2688 USD | ||||
USD 0.01 common | Purchase | 100 | 25.1700 USD | ||||
USD 0.01 common | Purchase | 100 | 25.2500 USD | ||||
USD 0.01 common | Purchase | 105 | 25.1714 USD | ||||
USD 0.01 common | Purchase | 462 | 25.3858 USD | ||||
USD 0.01 common | Purchase | 500 | 25.1730 USD | ||||
USD 0.01 common | Purchase | 571 | 25.2388 USD | ||||
USD 0.01 common | Purchase | 600 | 25.4900 USD | ||||
USD 0.01 common | Purchase | 607 | 25.4475 USD | ||||
USD 0.01 common | Purchase | 648 | 25.1917 USD | ||||
USD 0.01 common | Purchase | 1,293 | 25.1324 USD | ||||
USD 0.01 common | Purchase | 1,395 | 25.2727 USD | ||||
USD 0.01 common | Purchase | 1,473 | 25.1113 USD | ||||
USD 0.01 common | Purchase | 1,616 | 25.2370 USD | ||||
USD 0.01 common | Purchase | 2,420 | 25.1736 USD | ||||
USD 0.01 common | Purchase | 3,016 | 25.1712 USD | ||||
USD 0.01 common | Purchase | 4,555 | 25.1646 USD | ||||
USD 0.01 common | Purchase | 5,098 | 25.1691 USD | ||||
USD 0.01 common | Purchase | 8,241 | 25.4594 USD | ||||
USD 0.01 common | Purchase | 9,463 | 25.2736 USD | ||||
USD 0.01 common | Purchase | 9,540 | 25.2643 USD | ||||
USD 0.01 common | Purchase | 11,453 | 25.2895 USD | ||||
USD 0.01 common | Purchase | 17,216 | 25.0804 USD | ||||
USD 0.01 common | Purchase | 17,459 | 25.0809 USD | ||||
USD 0.01 common | Purchase | 18,475 | 25.2737 USD | ||||
USD 0.01 common | Purchase | 19,168 | 25.3200 USD | ||||
USD 0.01 common | Purchase | 27,567 | 25.2387 USD | ||||
USD 0.01 common | Purchase | 98,089 | 25.0800 USD | ||||
USD 0.01 common | Purchase | 132,630 | 25.1707 USD | ||||
USD 0.01 common | Sale | 45 | 25.1711 USD | ||||
USD 0.01 common | Sale | 64 | 25.2000 USD | ||||
USD 0.01 common | Sale | 64 | 25.0750 USD | ||||
USD 0.01 common | Sale | 65 | 25.3400 USD | ||||
USD 0.01 common | Sale | 96 | 25.1283 USD | ||||
USD 0.01 common | Sale | 96 | 25.0916 USD | ||||
USD 0.01 common | Sale | 100 | 25.1700 USD | ||||
USD 0.01 common | Sale | 100 | 25.2450 USD | ||||
USD 0.01 common | Sale | 100 | 25.3250 USD | ||||
USD 0.01 common | Sale | 100 | 25.2200 USD | ||||
USD 0.01 common | Sale | 100 | 25.3000 USD | ||||
USD 0.01 common | Sale | 100 | 25.2550 USD | ||||
USD 0.01 common | Sale | 105 | 25.1714 USD | ||||
USD 0.01 common | Sale | 106 | 25.2920 USD | ||||
USD 0.01 common | Sale | 128 | 25.1400 USD | ||||
USD 0.01 common | Sale | 138 | 25.2510 USD | ||||
USD 0.01 common | Sale | 150 | 25.2833 USD | ||||
USD 0.01 common | Sale | 200 | 25.4500 USD | ||||
USD 0.01 common | Sale | 283 | 25.4200 USD | ||||
USD 0.01 common | Sale | 288 | 25.1444 USD | ||||
USD 0.01 common | Sale | 300 | 25.3150 USD | ||||
USD 0.01 common | Sale | 367 | 25.3626 USD | ||||
USD 0.01 common | Sale | 400 | 25.2075 USD | ||||
USD 0.01 common | Sale | 400 | 25.1875 USD | ||||
USD 0.01 common | Sale | 400 | 25.4900 USD | ||||
USD 0.01 common | Sale | 400 | 25.2612 USD | ||||
USD 0.01 common | Sale | 402 | 25.2599 USD | ||||
USD 0.01 common | Sale | 500 | 25.2150 USD | ||||
USD 0.01 common | Sale | 500 | 25.2470 USD | ||||
USD 0.01 common | Sale | 500 | 25.2540 USD | ||||
USD 0.01 common | Sale | 600 | 25.2525 USD | ||||
USD 0.01 common | Sale | 616 | 25.4018 USD | ||||
USD 0.01 common | Sale | 647 | 25.2565 USD | ||||
USD 0.01 common | Sale | 792 | 25.2405 USD | ||||
USD 0.01 common | Sale | 800 | 25.1900 USD | ||||
USD 0.01 common | Sale | 816 | 25.2917 USD | ||||
USD 0.01 common | Sale | 824 | 25.2336 USD | ||||
USD 0.01 common | Sale | 900 | 25.5200 USD | ||||
USD 0.01 common | Sale | 947 | 25.3010 USD | ||||
USD 0.01 common | Sale | 976 | 25.2328 USD | ||||
USD 0.01 common | Sale | 1,473 | 25.1113 USD | ||||
USD 0.01 common | Sale | 1,662 | 25.1810 USD | ||||
USD 0.01 common | Sale | 4,266 | 25.2172 USD | ||||
USD 0.01 common | Sale | 5,847 | 25.4649 USD | ||||
USD 0.01 common | Sale | 6,080 | 25.3111 USD | ||||
USD 0.01 common | Sale | 6,340 | 25.2870 USD | ||||
USD 0.01 common | Sale | 9,710 | 25.3200 USD | ||||
USD 0.01 common | Sale | 12,161 | 25.2668 USD | ||||
USD 0.01 common | Sale | 18,335 | 25.2795 USD | ||||
USD 0.01 common | Sale | 35,624 | 25.0808 USD | ||||
USD 0.01 common | Sale | 37,576 | 25.2243 USD | ||||
USD 0.01 common | Sale | 98,089 | 25.0800 USD | ||||
USD 0.01 common | Sale | 142,193 | 25.1733 USD | ||||
(b) Cash-settled derivative transactions
Class of relevant security | Product description e.g. CFD | Nature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short position | Number of reference securities | Price per unit |
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(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: | 14 Oct 2021 | ||||||
| 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 | Call Options | Purchased | 500 | 27.0000 | American | 21 Jan 2022 | |
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/20211014005579/en/
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