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Form 8.3 - NORTONLIFELOCK INC

12th Oct 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 interests and short positions disclosed, if different from 1(a):

The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.

 

(c) Name of offeror/offeree in relation to whose relevant securities this form relates:

Use a separate form for each offeror/offeree

NORTONLIFELOCK INC

(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:

For an opening position disclosure, state the latest practicable date prior to the disclosure

11 Oct 2021

(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer?

If it is a cash offer or possible cash offer, state “N/A”

YES: 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
InterestsShort Positions
Number(%)Number(%)

(1)

Relevant securities owned
and/or controlled:

1,468,764

0.25%

714,756

0.12%

 

(2)

Cash-settled derivatives:

354,367

0.06%

1,028,322

0.18%

 

(3)

Stock-settled derivatives (including options)
and agreements to purchase/sell:

500

0.00%

2,100

0.00%

 

(4)

TOTAL:

1,823,631

0.31%

1,745,178

0.30%

 
Class of relevant security:Convertible Bond US668771AA66
InterestsShort Positions
Number(%)Number(%)

(1)

Relevant securities owned
and/or controlled:

146,000

0.03%

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%

 

(4)

TOTAL:

146,000

0.03%

0

0.00%

0

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 relevantPurchase/saleNumber ofPrice per unit
securitysecurities
USD 0.01 commonPurchase

12

25.8800 USD
USD 0.01 commonPurchase

19

25.6968 USD
USD 0.01 commonPurchase

25

25.7800 USD
USD 0.01 commonPurchase

251

25.6101 USD
USD 0.01 commonPurchase

262

25.6387 USD
USD 0.01 commonPurchase

481

25.7018 USD
USD 0.01 commonPurchase

603

25.7600 USD
USD 0.01 commonPurchase

627

25.6224 USD
USD 0.01 commonPurchase

1,072

25.7864 USD
USD 0.01 commonPurchase

1,282

25.8628 USD
USD 0.01 commonPurchase

2,042

25.6312 USD
USD 0.01 commonPurchase

2,412

25.6394 USD
USD 0.01 commonPurchase

2,600

25.8000 USD
USD 0.01 commonPurchase

3,022

25.7966 USD
USD 0.01 commonPurchase

6,801

25.8707 USD
USD 0.01 commonPurchase

9,393

25.6381 USD
USD 0.01 commonPurchase

22,798

25.6114 USD
USD 0.01 commonPurchase

38,909

25.5900 USD
USD 0.01 commonPurchase

43,958

25.8304 USD
USD 0.01 commonSale

2

25.2200 USD
USD 0.01 commonSale

20

25.6550 USD
USD 0.01 commonSale

21

25.6600 USD
USD 0.01 commonSale

26

25.6450 USD
USD 0.01 commonSale

50

25.7425 USD
USD 0.01 commonSale

52

25.5950 USD
USD 0.01 commonSale

52

25.6050 USD
USD 0.01 commonSale

53

25.7803 USD
USD 0.01 commonSale

57

25.6712 USD
USD 0.01 commonSale

68

25.6650 USD
USD 0.01 commonSale

70

25.6545 USD
USD 0.01 commonSale

70

25.6850 USD
USD 0.01 commonSale

91

25.7350 USD
USD 0.01 commonSale

92

25.9633 USD
USD 0.01 commonSale

100

25.7894 USD
USD 0.01 commonSale

112

25.8220 USD
USD 0.01 commonSale

126

25.9298 USD
USD 0.01 commonSale

140

25.6700 USD
USD 0.01 commonSale

182

25.7472 USD
USD 0.01 commonSale

200

25.9050 USD
USD 0.01 commonSale

200

25.7725 USD
USD 0.01 commonSale

200

25.9825 USD
USD 0.01 commonSale

236

25.7879 USD
USD 0.01 commonSale

255

25.8351 USD
USD 0.01 commonSale

366

25.9377 USD
USD 0.01 commonSale

401

25.8646 USD
USD 0.01 commonSale

421

25.8844 USD
USD 0.01 commonSale

481

25.7018 USD
USD 0.01 commonSale

500

25.8980 USD
USD 0.01 commonSale

505

25.8384 USD
USD 0.01 commonSale

600

25.8366 USD
USD 0.01 commonSale

617

25.5907 USD
USD 0.01 commonSale

1,300

25.8000 USD
USD 0.01 commonSale

1,410

25.5933 USD
USD 0.01 commonSale

1,493

25.9107 USD
USD 0.01 commonSale

1,858

25.5929 USD
USD 0.01 commonSale

2,262

25.7829 USD
USD 0.01 commonSale

2,431

25.8059 USD
USD 0.01 commonSale

6,801

25.8707 USD
USD 0.01 commonSale

15,568

25.7268 USD
USD 0.01 commonSale

15,656

25.6103 USD
USD 0.01 commonSale

24,748

25.6138 USD
USD 0.01 commonSale

25,400

25.8826 USD
USD 0.01 commonSale

35,368

25.5900 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:

12 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

Full name of person making disclosure:

Barclays PLC.

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

NORTONLIFELOCK INC

2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

ClassProductWriting,NumberExerciseTypeExpiry
ofdescriptionpurchasing,ofpricedate
relevantselling,securitiesper unit
securityvarying etcto which
option
relates
USD 0.01 commonCall OptionsPurchased

500

27.0000

American21 Jan 2022
USD 0.01 commonPut OptionsPurchased

-2,100

30.0000

American21 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/20211012005647/en/

Copyright Business Wire 2021


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