4th Nov 2021 13:27
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: | 03 November 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: | 1,689,977 | 0.29% | 1,011,962 | 0.17% | ||
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(2) | Cash-settled derivatives: |
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645,961 | 0.11% | 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: | 2,336,438 | 0.40% | 2,042,384 | 0.35% | ||
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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: | 361,000 | 0.06% | 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: | 361,000 | 0.06% | 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 | ||||||
| USD 0.01 common | Purchase | 3 | 25.4000 USD | ||||
| USD 0.01 common | Purchase | 9 | 25.4016 USD | ||||
| USD 0.01 common | Purchase | 9 | 25.4050 USD | ||||
| USD 0.01 common | Purchase | 15 | 25.4020 USD | ||||
| USD 0.01 common | Purchase | 15 | 25.3840 USD | ||||
| USD 0.01 common | Purchase | 21 | 25.3911 USD | ||||
| USD 0.01 common | Purchase | 68 | 25.4200 USD | ||||
| USD 0.01 common | Purchase | 105 | 25.3900 USD | ||||
| USD 0.01 common | Purchase | 127 | 25.3012 USD | ||||
| USD 0.01 common | Purchase | 128 | 25.3180 USD | ||||
| USD 0.01 common | Purchase | 169 | 25.4077 USD | ||||
| USD 0.01 common | Purchase | 190 | 25.3800 USD | ||||
| USD 0.01 common | Purchase | 200 | 25.4140 USD | ||||
| USD 0.01 common | Purchase | 208 | 25.3711 USD | ||||
| USD 0.01 common | Purchase | 296 | 25.3617 USD | ||||
| USD 0.01 common | Purchase | 300 | 25.3783 USD | ||||
| USD 0.01 common | Purchase | 300 | 25.3100 USD | ||||
| USD 0.01 common | Purchase | 301 | 25.3469 USD | ||||
| USD 0.01 common | Purchase | 320 | 25.3756 USD | ||||
| USD 0.01 common | Purchase | 503 | 25.3046 USD | ||||
| USD 0.01 common | Purchase | 504 | 25.3912 USD | ||||
| USD 0.01 common | Purchase | 512 | 25.3803 USD | ||||
| USD 0.01 common | Purchase | 570 | 25.3070 USD | ||||
| USD 0.01 common | Purchase | 605 | 25.3323 USD | ||||
| USD 0.01 common | Purchase | 924 | 25.3462 USD | ||||
| USD 0.01 common | Purchase | 1,415 | 25.3542 USD | ||||
| USD 0.01 common | Purchase | 1,644 | 25.2743 USD | ||||
| USD 0.01 common | Purchase | 1,734 | 25.3607 USD | ||||
| USD 0.01 common | Purchase | 2,205 | 25.3519 USD | ||||
| USD 0.01 common | Purchase | 2,411 | 25.3910 USD | ||||
| USD 0.01 common | Purchase | 4,115 | 25.3235 USD | ||||
| USD 0.01 common | Purchase | 4,752 | 25.3350 USD | ||||
| USD 0.01 common | Purchase | 5,590 | 25.2300 USD | ||||
| USD 0.01 common | Purchase | 6,148 | 25.3343 USD | ||||
| USD 0.01 common | Purchase | 6,594 | 25.3574 USD | ||||
| USD 0.01 common | Purchase | 13,827 | 25.3412 USD | ||||
| USD 0.01 common | Purchase | 15,787 | 25.3734 USD | ||||
| USD 0.01 common | Purchase | 16,416 | 25.3650 USD | ||||
| USD 0.01 common | Purchase | 23,516 | 25.3624 USD | ||||
| USD 0.01 common | Purchase | 37,202 | 25.3694 USD | ||||
| USD 0.01 common | Purchase | 62,069 | 25.3700 USD | ||||
| USD 0.01 common | Purchase | 62,738 | 25.3593 USD | ||||
| USD 0.01 common | Sale | 5 | 25.2500 USD | ||||
| USD 0.01 common | Sale | 5 | 25.2860 USD | ||||
| USD 0.01 common | Sale | 9 | 25.3066 USD | ||||
| USD 0.01 common | Sale | 13 | 25.3265 USD | ||||
| USD 0.01 common | Sale | 15 | 25.3373 USD | ||||
| USD 0.01 common | Sale | 15 | 25.3076 USD | ||||
| USD 0.01 common | Sale | 21 | 25.3911 USD | ||||
| USD 0.01 common | Sale | 68 | 25.4200 USD | ||||
| USD 0.01 common | Sale | 94 | 25.3267 USD | ||||
| USD 0.01 common | Sale | 100 | 25.4400 USD | ||||
| USD 0.01 common | Sale | 100 | 25.2600 USD | ||||
| USD 0.01 common | Sale | 100 | 25.4140 USD | ||||
| USD 0.01 common | Sale | 100 | 25.3900 USD | ||||
| USD 0.01 common | Sale | 112 | 25.2771 USD | ||||
| USD 0.01 common | Sale | 114 | 25.3964 USD | ||||
| USD 0.01 common | Sale | 201 | 25.2900 USD | ||||
| USD 0.01 common | Sale | 201 | 25.2650 USD | ||||
| USD 0.01 common | Sale | 216 | 25.2740 USD | ||||
| USD 0.01 common | Sale | 262 | 25.3976 USD | ||||
| USD 0.01 common | Sale | 307 | 25.3443 USD | ||||
| USD 0.01 common | Sale | 323 | 25.3339 USD | ||||
| USD 0.01 common | Sale | 393 | 25.3748 USD | ||||
| USD 0.01 common | Sale | 400 | 25.2700 USD | ||||
| USD 0.01 common | Sale | 443 | 25.2635 USD | ||||
| USD 0.01 common | Sale | 500 | 25.2820 USD | ||||
| USD 0.01 common | Sale | 534 | 25.3274 USD | ||||
| USD 0.01 common | Sale | 700 | 25.2800 USD | ||||
| USD 0.01 common | Sale | 794 | 25.3779 USD | ||||
| USD 0.01 common | Sale | 801 | 25.3762 USD | ||||
| USD 0.01 common | Sale | 1,475 | 25.3526 USD | ||||
| USD 0.01 common | Sale | 1,547 | 25.3622 USD | ||||
| USD 0.01 common | Sale | 1,698 | 25.3600 USD | ||||
| USD 0.01 common | Sale | 1,700 | 25.3455 USD | ||||
| USD 0.01 common | Sale | 1,869 | 25.3710 USD | ||||
| USD 0.01 common | Sale | 2,624 | 25.3408 USD | ||||
| USD 0.01 common | Sale | 3,361 | 25.3299 USD | ||||
| USD 0.01 common | Sale | 4,869 | 25.3625 USD | ||||
| USD 0.01 common | Sale | 5,503 | 25.2300 USD | ||||
| USD 0.01 common | Sale | 14,379 | 25.3698 USD | ||||
| USD 0.01 common | Sale | 15,787 | 25.3734 USD | ||||
| USD 0.01 common | Sale | 18,706 | 25.3647 USD | ||||
| USD 0.01 common | Sale | 23,132 | 25.3515 USD | ||||
| USD 0.01 common | Sale | 47,241 | 25.3700 USD | ||||
| USD 0.01 common | Sale | 55,501 | 25.3682 USD | ||||
| USD 0.01 common | Sale | 68,622 | 25.3545 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: | 4 Nov 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/20211104005809/en/
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