16th Sep 2021 13:16
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: | 15 September 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: | 1,463,674 | 0.25% | 529,818 | 0.09% | ||
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(2) | Cash-settled derivatives: |
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226,930 | 0.04% | 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: | 1,691,104 | 0.29% | 1,560,240 | 0.27% | ||
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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: | 141,000 | 0.02% | 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: | 141,000 | 0.02% | 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 | securities |
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USD 0.01 common | Purchase | 17 | 26.2600 USD | ||||
USD 0.01 common | Purchase | 17 | 26.3250 USD | ||||
USD 0.01 common | Purchase | 55 | 26.1771 USD | ||||
USD 0.01 common | Purchase | 84 | 26.2650 USD | ||||
USD 0.01 common | Purchase | 93 | 26.2700 USD | ||||
USD 0.01 common | Purchase | 100 | 26.2450 USD | ||||
USD 0.01 common | Purchase | 131 | 26.2389 USD | ||||
USD 0.01 common | Purchase | 200 | 26.2400 USD | ||||
USD 0.01 common | Purchase | 200 | 26.2356 USD | ||||
USD 0.01 common | Purchase | 210 | 26.2469 USD | ||||
USD 0.01 common | Purchase | 217 | 26.2377 USD | ||||
USD 0.01 common | Purchase | 221 | 26.1931 USD | ||||
USD 0.01 common | Purchase | 300 | 26.1700 USD | ||||
USD 0.01 common | Purchase | 305 | 26.2434 USD | ||||
USD 0.01 common | Purchase | 318 | 26.2960 USD | ||||
USD 0.01 common | Purchase | 390 | 26.2441 USD | ||||
USD 0.01 common | Purchase | 488 | 26.1773 USD | ||||
USD 0.01 common | Purchase | 508 | 26.2588 USD | ||||
USD 0.01 common | Purchase | 509 | 26.1469 USD | ||||
USD 0.01 common | Purchase | 676 | 26.2465 USD | ||||
USD 0.01 common | Purchase | 728 | 26.1797 USD | ||||
USD 0.01 common | Purchase | 758 | 26.1536 USD | ||||
USD 0.01 common | Purchase | 836 | 26.2009 USD | ||||
USD 0.01 common | Purchase | 900 | 26.2411 USD | ||||
USD 0.01 common | Purchase | 1,167 | 26.2181 USD | ||||
USD 0.01 common | Purchase | 1,174 | 26.2412 USD | ||||
USD 0.01 common | Purchase | 1,355 | 26.1905 USD | ||||
USD 0.01 common | Purchase | 1,407 | 26.1612 USD | ||||
USD 0.01 common | Purchase | 1,533 | 26.2068 USD | ||||
USD 0.01 common | Purchase | 1,571 | 26.1473 USD | ||||
USD 0.01 common | Purchase | 1,939 | 26.1566 USD | ||||
USD 0.01 common | Purchase | 2,665 | 26.2567 USD | ||||
USD 0.01 common | Purchase | 2,745 | 26.1542 USD | ||||
USD 0.01 common | Purchase | 3,082 | 26.2270 USD | ||||
USD 0.01 common | Purchase | 3,991 | 26.2209 USD | ||||
USD 0.01 common | Purchase | 4,094 | 26.2544 USD | ||||
USD 0.01 common | Purchase | 4,287 | 26.2007 USD | ||||
USD 0.01 common | Purchase | 5,175 | 26.1287 USD | ||||
USD 0.01 common | Purchase | 8,653 | 26.2569 USD | ||||
USD 0.01 common | Purchase | 9,187 | 26.2029 USD | ||||
USD 0.01 common | Purchase | 10,237 | 26.1812 USD | ||||
USD 0.01 common | Purchase | 11,893 | 26.1987 USD | ||||
USD 0.01 common | Purchase | 12,800 | 26.1593 USD | ||||
USD 0.01 common | Purchase | 13,789 | 26.2237 USD | ||||
USD 0.01 common | Purchase | 15,565 | 26.1650 USD | ||||
USD 0.01 common | Purchase | 16,348 | 26.2299 USD | ||||
USD 0.01 common | Purchase | 33,696 | 26.2500 USD | ||||
USD 0.01 common | Purchase | 39,644 | 26.2479 USD | ||||
USD 0.01 common | Purchase | 72,160 | 26.2213 USD | ||||
USD 0.01 common | Sale | 1 | 26.1400 USD | ||||
USD 0.01 common | Sale | 1 | 26.1500 USD | ||||
USD 0.01 common | Sale | 1 | 26.1900 USD | ||||
USD 0.01 common | Sale | 2 | 26.1750 USD | ||||
USD 0.01 common | Sale | 2 | 26.1650 USD | ||||
USD 0.01 common | Sale | 3 | 26.1566 USD | ||||
USD 0.01 common | Sale | 3 | 26.1700 USD | ||||
USD 0.01 common | Sale | 3 | 26.1733 USD | ||||
USD 0.01 common | Sale | 3 | 26.1816 USD | ||||
USD 0.01 common | Sale | 3 | 26.1666 USD | ||||
USD 0.01 common | Sale | 4 | 26.2350 USD | ||||
USD 0.01 common | Sale | 5 | 26.1800 USD | ||||
USD 0.01 common | Sale | 5 | 26.2200 USD | ||||
USD 0.01 common | Sale | 8 | 26.2375 USD | ||||
USD 0.01 common | Sale | 8 | 26.2450 USD | ||||
USD 0.01 common | Sale | 9 | 26.1755 USD | ||||
USD 0.01 common | Sale | 12 | 26.2366 USD | ||||
USD 0.01 common | Sale | 17 | 26.2400 USD | ||||
USD 0.01 common | Sale | 20 | 26.2320 USD | ||||
USD 0.01 common | Sale | 44 | 26.2359 USD | ||||
USD 0.01 common | Sale | 46 | 26.2419 USD | ||||
USD 0.01 common | Sale | 50 | 26.2030 USD | ||||
USD 0.01 common | Sale | 51 | 26.2284 USD | ||||
USD 0.01 common | Sale | 55 | 26.2454 USD | ||||
USD 0.01 common | Sale | 65 | 26.2046 USD | ||||
USD 0.01 common | Sale | 85 | 26.1991 USD | ||||
USD 0.01 common | Sale | 90 | 26.1969 USD | ||||
USD 0.01 common | Sale | 100 | 26.2900 USD | ||||
USD 0.01 common | Sale | 150 | 26.1913 USD | ||||
USD 0.01 common | Sale | 168 | 26.2295 USD | ||||
USD 0.01 common | Sale | 170 | 26.2067 USD | ||||
USD 0.01 common | Sale | 190 | 26.2060 USD | ||||
USD 0.01 common | Sale | 200 | 26.1550 USD | ||||
USD 0.01 common | Sale | 239 | 26.2100 USD | ||||
USD 0.01 common | Sale | 435 | 26.2085 USD | ||||
USD 0.01 common | Sale | 603 | 26.2480 USD | ||||
USD 0.01 common | Sale | 1,384 | 26.2083 USD | ||||
USD 0.01 common | Sale | 1,588 | 26.2215 USD | ||||
USD 0.01 common | Sale | 1,729 | 26.1842 USD | ||||
USD 0.01 common | Sale | 2,407 | 26.2269 USD | ||||
USD 0.01 common | Sale | 2,428 | 26.1615 USD | ||||
USD 0.01 common | Sale | 3,082 | 26.2435 USD | ||||
USD 0.01 common | Sale | 3,423 | 26.2196 USD | ||||
USD 0.01 common | Sale | 5,175 | 26.1287 USD | ||||
USD 0.01 common | Sale | 7,881 | 26.2095 USD | ||||
USD 0.01 common | Sale | 9,002 | 26.1782 USD | ||||
USD 0.01 common | Sale | 11,749 | 26.1860 USD | ||||
USD 0.01 common | Sale | 12,825 | 26.2322 USD | ||||
USD 0.01 common | Sale | 18,089 | 26.2264 USD | ||||
USD 0.01 common | Sale | 33,806 | 26.2500 USD | ||||
USD 0.01 common | Sale | 38,303 | 26.2493 USD | ||||
USD 0.01 common | Sale | 98,140 | 26.2250 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: | 16 Sep 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 | selling, | securities | per unit |
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security | 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/20210916005460/en/
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