30th Jul 2021 13:02
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: | 29 July 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 | ||||
| Interests | Short Positions | ||||
| Number | (%) | Number | (%) | ||
(1) | Relevant securities owned | ||||
| and/or controlled: | 2,006,087 | 0.35% | 305,978 | 0.05% | |
|
|
|
| ||
(2) | Cash-settled derivatives: |
|
|
|
|
82,539 | 0.01% | 1,279,498 | 0.22% | ||
|
|
|
| ||
(3) | Stock-settled derivatives (including options) |
|
|
|
|
| and agreements to purchase/sell: | 500 | 0.00% | 2,100 | 0.00% | |
|
|
|
| ||
|
|
|
| ||
| TOTAL: | 2,089,126 | 0.36% | 1,587,576 | 0.27% | |
| Class of relevant security: | Convertible Bond US668771AA66 | ||||
| Interests | Short Positions | ||||
| Number | (%) | Number | (%) | ||
(1) | Relevant securities owned | ||||
| and/or controlled: | 128,000 | 0.02% | 0 | 0.00% | |
|
|
|
| ||
(2) | Cash-settled derivatives: |
|
|
|
|
0 | 0.00% | 0 | 0.00% | ||
|
|
|
| ||
(3) | Stock-settled derivatives (including options) |
|
|
|
|
| and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |
|
|
|
| ||
|
|
|
| ||
| TOTAL: | 128,000 | 0.02% | 0 | 0.00% | |
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: |
|
Details, including nature of the rights concerned and relevant percentages: |
|
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 | ||
USD 0.01 common | Purchase | 48 | 24.6300 USD |
USD 0.01 common | Purchase | 48 | 24.8533 USD |
USD 0.01 common | Purchase | 75 | 25.0400 USD |
USD 0.01 common | Purchase | 84 | 24.9000 USD |
USD 0.01 common | Purchase | 87 | 24.6487 USD |
USD 0.01 common | Purchase | 97 | 24.8055 USD |
USD 0.01 common | Purchase | 100 | 25.0350 USD |
USD 0.01 common | Purchase | 100 | 24.7100 USD |
USD 0.01 common | Purchase | 113 | 25.0355 USD |
USD 0.01 common | Purchase | 116 | 24.8524 USD |
USD 0.01 common | Purchase | 118 | 24.6922 USD |
USD 0.01 common | Purchase | 166 | 24.6332 USD |
USD 0.01 common | Purchase | 177 | 24.7381 USD |
USD 0.01 common | Purchase | 210 | 24.7838 USD |
USD 0.01 common | Purchase | 255 | 24.9594 USD |
USD 0.01 common | Purchase | 290 | 24.7342 USD |
USD 0.01 common | Purchase | 503 | 25.0865 USD |
USD 0.01 common | Purchase | 600 | 24.9200 USD |
USD 0.01 common | Purchase | 1,345 | 24.6875 USD |
USD 0.01 common | Purchase | 1,366 | 24.7812 USD |
USD 0.01 common | Purchase | 2,080 | 25.2700 USD |
USD 0.01 common | Purchase | 3,123 | 25.0600 USD |
USD 0.01 common | Purchase | 3,640 | 24.7391 USD |
USD 0.01 common | Purchase | 5,202 | 24.8558 USD |
USD 0.01 common | Purchase | 7,079 | 24.8003 USD |
USD 0.01 common | Purchase | 11,004 | 24.7895 USD |
USD 0.01 common | Purchase | 11,108 | 24.7837 USD |
USD 0.01 common | Purchase | 14,299 | 24.8198 USD |
USD 0.01 common | Purchase | 18,316 | 24.7818 USD |
USD 0.01 common | Purchase | 20,062 | 24.8401 USD |
USD 0.01 common | Purchase | 21,577 | 24.7007 USD |
USD 0.01 common | Purchase | 22,670 | 24.9770 USD |
USD 0.01 common | Purchase | 35,386 | 24.6200 USD |
USD 0.01 common | Purchase | 39,414 | 24.6222 USD |
USD 0.01 common | Purchase | 42,194 | 24.7945 USD |
USD 0.01 common | Purchase | 43,824 | 24.8649 USD |
USD 0.01 common | Purchase | 68,184 | 24.9199 USD |
USD 0.01 common | Purchase | 179,423 | 24.7742 USD |
USD 0.01 common | Sale | 4 | 24.9200 USD |
USD 0.01 common | Sale | 50 | 24.6600 USD |
USD 0.01 common | Sale | 100 | 25.2400 USD |
USD 0.01 common | Sale | 100 | 25.0100 USD |
USD 0.01 common | Sale | 100 | 24.6150 USD |
USD 0.01 common | Sale | 101 | 24.9750 USD |
USD 0.01 common | Sale | 130 | 25.0038 USD |
USD 0.01 common | Sale | 137 | 24.9686 USD |
USD 0.01 common | Sale | 200 | 24.9900 USD |
USD 0.01 common | Sale | 200 | 25.0200 USD |
USD 0.01 common | Sale | 200 | 25.2750 USD |
USD 0.01 common | Sale | 255 | 24.9594 USD |
USD 0.01 common | Sale | 280 | 24.6700 USD |
USD 0.01 common | Sale | 300 | 25.0000 USD |
USD 0.01 common | Sale | 300 | 24.9933 USD |
USD 0.01 common | Sale | 400 | 24.9203 USD |
USD 0.01 common | Sale | 425 | 24.9549 USD |
USD 0.01 common | Sale | 435 | 24.8362 USD |
USD 0.01 common | Sale | 503 | 25.0865 USD |
USD 0.01 common | Sale | 573 | 24.7327 USD |
USD 0.01 common | Sale | 599 | 24.9967 USD |
USD 0.01 common | Sale | 836 | 24.8900 USD |
USD 0.01 common | Sale | 1,012 | 24.8498 USD |
USD 0.01 common | Sale | 1,100 | 24.7000 USD |
USD 0.01 common | Sale | 1,114 | 24.9403 USD |
USD 0.01 common | Sale | 1,229 | 24.8849 USD |
USD 0.01 common | Sale | 1,269 | 24.9298 USD |
USD 0.01 common | Sale | 1,594 | 24.9087 USD |
USD 0.01 common | Sale | 1,686 | 24.8762 USD |
USD 0.01 common | Sale | 1,826 | 24.7120 USD |
USD 0.01 common | Sale | 1,859 | 24.9476 USD |
USD 0.01 common | Sale | 1,947 | 24.9324 USD |
USD 0.01 common | Sale | 1,965 | 24.9259 USD |
USD 0.01 common | Sale | 1,970 | 25.0120 USD |
USD 0.01 common | Sale | 2,080 | 25.2700 USD |
USD 0.01 common | Sale | 2,937 | 24.7359 USD |
USD 0.01 common | Sale | 3,103 | 24.6823 USD |
USD 0.01 common | Sale | 6,611 | 24.7706 USD |
USD 0.01 common | Sale | 8,516 | 24.8679 USD |
USD 0.01 common | Sale | 9,041 | 24.8025 USD |
USD 0.01 common | Sale | 9,801 | 24.6457 USD |
USD 0.01 common | Sale | 10,000 | 24.6743 USD |
USD 0.01 common | Sale | 10,234 | 24.6317 USD |
USD 0.01 common | Sale | 15,362 | 24.6746 USD |
USD 0.01 common | Sale | 18,316 | 24.7818 USD |
USD 0.01 common | Sale | 35,787 | 24.6200 USD |
USD 0.01 common | Sale | 69,688 | 24.8576 USD |
USD 0.01 common | Sale | 84,461 | 24.8795 USD |
USD 0.01 common | Sale | 234,461 | 24.7857 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 |
|
|
|
|
|
(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 |
|
|
|
|
|
|
|
|
(ii) Exercise
Class of relevant security | Product description e.g. call option | Exercising/ exercised against | Number of securities | Exercise price per unit |
|
|
|
|
|
(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) |
|
|
|
|
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
|
(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
|
(c) Attachments
| Is a Supplemental Form 8 (Open Positions) attached? | YES |
| Date of disclosure: | 30 Jul 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 | |||
security | varying etc | to which | ||||
| option | ||||||
| relates | ||||||
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: |
|
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/20210730005320/en/
Copyright Business Wire 2021
Related Shares:
Barclays