7th Dec 2021 13:58
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: | 06 December 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: | 1,569,990 | 0.27% | 619,605 | 0.11% | |
(2) | Cash-settled derivatives: | ||||
386,198 | 0.07% | 1,513,168 | 0.26% | ||
(3) | Stock-settled derivatives (including options) | ||||
| and agreements to purchase/sell: | 0 | 0.00% | 2,100 | 0.00% | |
| TOTAL: | 1,956,188 | 0.34% | 2,134,873 | 0.37% | |
| Class of relevant security: | Convertible Bond US668771AA66 | ||||
| Interests | Short Positions | ||||
| Number | (%) | Number | (%) | ||
(1) | Relevant securities owned | ||||
| and/or controlled: | 386,000 | 0.07% | 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: | 386,000 | 0.07% | 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 | 5 | 24.2400 USD |
USD 0.01 common | Purchase | 9 | 24.4450 USD |
USD 0.01 common | Purchase | 12 | 24.3333 USD |
USD 0.01 common | Purchase | 14 | 21.3950 EUR |
USD 0.01 common | Purchase | 17 | 24.3350 USD |
USD 0.01 common | Purchase | 18 | 24.5000 USD |
USD 0.01 common | Purchase | 100 | 24.2600 USD |
USD 0.01 common | Purchase | 128 | 23.9500 USD |
USD 0.01 common | Purchase | 166 | 24.3784 USD |
USD 0.01 common | Purchase | 188 | 24.4050 USD |
USD 0.01 common | Purchase | 191 | 24.4100 USD |
USD 0.01 common | Purchase | 200 | 24.3150 USD |
USD 0.01 common | Purchase | 200 | 24.4200 USD |
USD 0.01 common | Purchase | 261 | 24.3498 USD |
USD 0.01 common | Purchase | 305 | 23.9398 USD |
USD 0.01 common | Purchase | 325 | 24.4873 USD |
USD 0.01 common | Purchase | 338 | 24.4222 USD |
USD 0.01 common | Purchase | 439 | 24.3475 USD |
USD 0.01 common | Purchase | 483 | 24.3569 USD |
USD 0.01 common | Purchase | 500 | 23.9380 USD |
USD 0.01 common | Purchase | 500 | 23.9460 USD |
USD 0.01 common | Purchase | 600 | 23.9416 USD |
USD 0.01 common | Purchase | 600 | 23.9300 USD |
USD 0.01 common | Purchase | 700 | 24.3900 USD |
USD 0.01 common | Purchase | 900 | 24.3455 USD |
USD 0.01 common | Purchase | 983 | 24.3250 USD |
USD 0.01 common | Purchase | 1,134 | 24.3225 USD |
USD 0.01 common | Purchase | 1,400 | 24.3407 USD |
USD 0.01 common | Purchase | 1,800 | 24.3102 USD |
USD 0.01 common | Purchase | 1,904 | 24.2539 USD |
USD 0.01 common | Purchase | 2,002 | 24.2982 USD |
USD 0.01 common | Purchase | 2,312 | 24.2942 USD |
USD 0.01 common | Purchase | 4,072 | 24.2280 USD |
USD 0.01 common | Purchase | 5,649 | 24.2613 USD |
USD 0.01 common | Purchase | 6,078 | 24.3502 USD |
USD 0.01 common | Purchase | 7,272 | 23.9327 USD |
USD 0.01 common | Purchase | 7,608 | 24.5056 USD |
USD 0.01 common | Purchase | 7,617 | 24.4095 USD |
USD 0.01 common | Purchase | 11,405 | 24.2545 USD |
USD 0.01 common | Purchase | 17,631 | 24.4248 USD |
USD 0.01 common | Purchase | 32,579 | 24.3470 USD |
USD 0.01 common | Purchase | 32,738 | 24.3403 USD |
USD 0.01 common | Purchase | 42,539 | 24.3060 USD |
USD 0.01 common | Purchase | 54,873 | 24.3434 USD |
USD 0.01 common | Purchase | 129,898 | 24.0000 USD |
USD 0.01 common | Purchase | 145,386 | 24.3100 USD |
USD 0.01 common | Purchase | 200,000 | 24.0494 USD |
USD 0.01 common | Purchase | 330,752 | 24.3400 USD |
USD 0.01 common | Sale | 6 | 24.3483 USD |
USD 0.01 common | Sale | 9 | 24.5000 USD |
USD 0.01 common | Sale | 9 | 24.4450 USD |
USD 0.01 common | Sale | 10 | 24.4310 USD |
USD 0.01 common | Sale | 12 | 24.3333 USD |
USD 0.01 common | Sale | 13 | 24.3723 USD |
USD 0.01 common | Sale | 14 | 24.3500 USD |
USD 0.01 common | Sale | 14 | 21.3950 EUR |
USD 0.01 common | Sale | 14 | 24.3985 USD |
USD 0.01 common | Sale | 15 | 24.3846 USD |
USD 0.01 common | Sale | 16 | 24.3793 USD |
USD 0.01 common | Sale | 17 | 24.3661 USD |
USD 0.01 common | Sale | 17 | 24.3605 USD |
USD 0.01 common | Sale | 17 | 24.3511 USD |
USD 0.01 common | Sale | 17 | 24.2729 USD |
USD 0.01 common | Sale | 18 | 24.3566 USD |
USD 0.01 common | Sale | 20 | 24.3735 USD |
USD 0.01 common | Sale | 21 | 24.3728 USD |
USD 0.01 common | Sale | 21 | 24.3573 USD |
USD 0.01 common | Sale | 21 | 24.3452 USD |
USD 0.01 common | Sale | 23 | 24.3130 USD |
USD 0.01 common | Sale | 24 | 24.3791 USD |
USD 0.01 common | Sale | 26 | 24.3280 USD |
USD 0.01 common | Sale | 28 | 24.4050 USD |
USD 0.01 common | Sale | 28 | 24.3450 USD |
USD 0.01 common | Sale | 28 | 24.3464 USD |
USD 0.01 common | Sale | 28 | 24.3950 USD |
USD 0.01 common | Sale | 29 | 24.3803 USD |
USD 0.01 common | Sale | 31 | 24.3350 USD |
USD 0.01 common | Sale | 31 | 24.3624 USD |
USD 0.01 common | Sale | 42 | 24.4000 USD |
USD 0.01 common | Sale | 42 | 24.3766 USD |
USD 0.01 common | Sale | 56 | 24.3612 USD |
USD 0.01 common | Sale | 56 | 24.3675 USD |
USD 0.01 common | Sale | 84 | 24.3883 USD |
USD 0.01 common | Sale | 98 | 24.3871 USD |
USD 0.01 common | Sale | 100 | 24.0200 USD |
USD 0.01 common | Sale | 100 | 24.4600 USD |
USD 0.01 common | Sale | 100 | 24.5100 USD |
USD 0.01 common | Sale | 100 | 24.5200 USD |
USD 0.01 common | Sale | 125 | 24.4920 USD |
USD 0.01 common | Sale | 131 | 24.4122 USD |
USD 0.01 common | Sale | 162 | 24.3271 USD |
USD 0.01 common | Sale | 190 | 24.4763 USD |
USD 0.01 common | Sale | 200 | 24.5025 USD |
USD 0.01 common | Sale | 200 | 24.5150 USD |
USD 0.01 common | Sale | 225 | 24.3927 USD |
USD 0.01 common | Sale | 230 | 24.3884 USD |
USD 0.01 common | Sale | 276 | 24.1617 USD |
USD 0.01 common | Sale | 300 | 24.5166 USD |
USD 0.01 common | Sale | 300 | 24.4850 USD |
USD 0.01 common | Sale | 300 | 24.5083 USD |
USD 0.01 common | Sale | 320 | 24.4133 USD |
USD 0.01 common | Sale | 400 | 24.5275 USD |
USD 0.01 common | Sale | 400 | 24.1912 USD |
USD 0.01 common | Sale | 438 | 24.5483 USD |
USD 0.01 common | Sale | 500 | 24.5130 USD |
USD 0.01 common | Sale | 580 | 24.4517 USD |
USD 0.01 common | Sale | 800 | 24.5256 USD |
USD 0.01 common | Sale | 826 | 24.4242 USD |
USD 0.01 common | Sale | 875 | 24.2027 USD |
USD 0.01 common | Sale | 900 | 24.1061 USD |
USD 0.01 common | Sale | 928 | 24.1684 USD |
USD 0.01 common | Sale | 1,091 | 24.1579 USD |
USD 0.01 common | Sale | 1,183 | 24.1328 USD |
USD 0.01 common | Sale | 1,200 | 24.1483 USD |
USD 0.01 common | Sale | 1,300 | 24.0750 USD |
USD 0.01 common | Sale | 1,672 | 24.2003 USD |
USD 0.01 common | Sale | 1,763 | 24.3264 USD |
USD 0.01 common | Sale | 2,062 | 24.5219 USD |
USD 0.01 common | Sale | 2,656 | 24.3752 USD |
USD 0.01 common | Sale | 3,061 | 24.4184 USD |
USD 0.01 common | Sale | 3,100 | 24.4116 USD |
USD 0.01 common | Sale | 3,700 | 24.2978 USD |
USD 0.01 common | Sale | 5,294 | 24.3435 USD |
USD 0.01 common | Sale | 5,968 | 24.2058 USD |
USD 0.01 common | Sale | 10,384 | 24.1367 USD |
USD 0.01 common | Sale | 10,575 | 24.4296 USD |
USD 0.01 common | Sale | 13,644 | 24.3416 USD |
USD 0.01 common | Sale | 18,891 | 24.1009 USD |
USD 0.01 common | Sale | 19,282 | 24.3401 USD |
USD 0.01 common | Sale | 23,996 | 24.1476 USD |
USD 0.01 common | Sale | 41,400 | 24.3052 USD |
USD 0.01 common | Sale | 50,000 | 24.0000 USD |
USD 0.01 common | Sale | 53,754 | 24.3523 USD |
USD 0.01 common | Sale | 54,873 | 24.3434 USD |
USD 0.01 common | Sale | 58,605 | 24.3400 USD |
USD 0.01 common | Sale | 89,969 | 23.9935 USD |
USD 0.01 common | Sale | 99,919 | 24.2845 USD |
USD 0.01 common | Sale | 137,679 | 24.0122 USD |
USD 0.01 common | Sale | 269,174 | 24.3399 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: | 7 Dec 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 | 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/20211207005705/en/
Copyright Business Wire 2021
Related Shares:
Barclays