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. |
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(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: |
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(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 | |||||
Interests | Short 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 | |||||
Interests | Short 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: |
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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 | 12 | 25.8800 USD | ||||
USD 0.01 common | Purchase | 19 | 25.6968 USD | ||||
USD 0.01 common | Purchase | 25 | 25.7800 USD | ||||
USD 0.01 common | Purchase | 251 | 25.6101 USD | ||||
USD 0.01 common | Purchase | 262 | 25.6387 USD | ||||
USD 0.01 common | Purchase | 481 | 25.7018 USD | ||||
USD 0.01 common | Purchase | 603 | 25.7600 USD | ||||
USD 0.01 common | Purchase | 627 | 25.6224 USD | ||||
USD 0.01 common | Purchase | 1,072 | 25.7864 USD | ||||
USD 0.01 common | Purchase | 1,282 | 25.8628 USD | ||||
USD 0.01 common | Purchase | 2,042 | 25.6312 USD | ||||
USD 0.01 common | Purchase | 2,412 | 25.6394 USD | ||||
USD 0.01 common | Purchase | 2,600 | 25.8000 USD | ||||
USD 0.01 common | Purchase | 3,022 | 25.7966 USD | ||||
USD 0.01 common | Purchase | 6,801 | 25.8707 USD | ||||
USD 0.01 common | Purchase | 9,393 | 25.6381 USD | ||||
USD 0.01 common | Purchase | 22,798 | 25.6114 USD | ||||
USD 0.01 common | Purchase | 38,909 | 25.5900 USD | ||||
USD 0.01 common | Purchase | 43,958 | 25.8304 USD | ||||
USD 0.01 common | Sale | 2 | 25.2200 USD | ||||
USD 0.01 common | Sale | 20 | 25.6550 USD | ||||
USD 0.01 common | Sale | 21 | 25.6600 USD | ||||
USD 0.01 common | Sale | 26 | 25.6450 USD | ||||
USD 0.01 common | Sale | 50 | 25.7425 USD | ||||
USD 0.01 common | Sale | 52 | 25.5950 USD | ||||
USD 0.01 common | Sale | 52 | 25.6050 USD | ||||
USD 0.01 common | Sale | 53 | 25.7803 USD | ||||
USD 0.01 common | Sale | 57 | 25.6712 USD | ||||
USD 0.01 common | Sale | 68 | 25.6650 USD | ||||
USD 0.01 common | Sale | 70 | 25.6545 USD | ||||
USD 0.01 common | Sale | 70 | 25.6850 USD | ||||
USD 0.01 common | Sale | 91 | 25.7350 USD | ||||
USD 0.01 common | Sale | 92 | 25.9633 USD | ||||
USD 0.01 common | Sale | 100 | 25.7894 USD | ||||
USD 0.01 common | Sale | 112 | 25.8220 USD | ||||
USD 0.01 common | Sale | 126 | 25.9298 USD | ||||
USD 0.01 common | Sale | 140 | 25.6700 USD | ||||
USD 0.01 common | Sale | 182 | 25.7472 USD | ||||
USD 0.01 common | Sale | 200 | 25.9050 USD | ||||
USD 0.01 common | Sale | 200 | 25.7725 USD | ||||
USD 0.01 common | Sale | 200 | 25.9825 USD | ||||
USD 0.01 common | Sale | 236 | 25.7879 USD | ||||
USD 0.01 common | Sale | 255 | 25.8351 USD | ||||
USD 0.01 common | Sale | 366 | 25.9377 USD | ||||
USD 0.01 common | Sale | 401 | 25.8646 USD | ||||
USD 0.01 common | Sale | 421 | 25.8844 USD | ||||
USD 0.01 common | Sale | 481 | 25.7018 USD | ||||
USD 0.01 common | Sale | 500 | 25.8980 USD | ||||
USD 0.01 common | Sale | 505 | 25.8384 USD | ||||
USD 0.01 common | Sale | 600 | 25.8366 USD | ||||
USD 0.01 common | Sale | 617 | 25.5907 USD | ||||
USD 0.01 common | Sale | 1,300 | 25.8000 USD | ||||
USD 0.01 common | Sale | 1,410 | 25.5933 USD | ||||
USD 0.01 common | Sale | 1,493 | 25.9107 USD | ||||
USD 0.01 common | Sale | 1,858 | 25.5929 USD | ||||
USD 0.01 common | Sale | 2,262 | 25.7829 USD | ||||
USD 0.01 common | Sale | 2,431 | 25.8059 USD | ||||
USD 0.01 common | Sale | 6,801 | 25.8707 USD | ||||
USD 0.01 common | Sale | 15,568 | 25.7268 USD | ||||
USD 0.01 common | Sale | 15,656 | 25.6103 USD | ||||
USD 0.01 common | Sale | 24,748 | 25.6138 USD | ||||
USD 0.01 common | Sale | 25,400 | 25.8826 USD | ||||
USD 0.01 common | Sale | 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 |
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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: | 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)
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: |
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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/20211012005647/en/
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