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Form 8.3 - NORTONLIFELOCK INC

23rd Jul 2021 12:45

 

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

22 JULY 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:

1,826,366

0.31%

212,948

0.04%

 

(2)

Cash-settled derivatives:

24,339

0.00%

1,279,498

0.22%

 

(3)

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

500

0.00%

2,100

0.00%

 
 
TOTAL:

1,851,205

0.32%

1,494,546

0.26%

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

(1)

Relevant securities owned
and/or controlled:

129,000

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:

129,000

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 relevantPurchase/saleNumber ofPrice per unit
securitysecurities
USD 0.01 commonPurchase

100

25.5750 USD
USD 0.01 commonPurchase

100

25.5950 USD
USD 0.01 commonPurchase

100

25.5850 USD
USD 0.01 commonPurchase

113

25.5794 USD
USD 0.01 commonPurchase

200

25.7175 USD
USD 0.01 commonPurchase

300

25.6300 USD
USD 0.01 commonPurchase

400

25.5600 USD
USD 0.01 commonPurchase

520

25.5703 USD
USD 0.01 commonPurchase

612

25.7412 USD
USD 0.01 commonPurchase

1,200

25.5758 USD
USD 0.01 commonPurchase

2,378

25.5650 USD
USD 0.01 commonPurchase

3,556

25.6225 USD
USD 0.01 commonPurchase

4,210

25.5564 USD
USD 0.01 commonPurchase

4,687

25.6595 USD
USD 0.01 commonPurchase

7,785

25.7112 USD
USD 0.01 commonPurchase

11,471

25.5588 USD
USD 0.01 commonPurchase

39,203

25.7100 USD
USD 0.01 commonPurchase

40,299

25.7734 USD
USD 0.01 commonPurchase

41,849

25.6086 USD
USD 0.01 commonPurchase

47,489

25.7065 USD
USD 0.01 commonPurchase

50,233

25.7255 USD
USD 0.01 commonPurchase

53,819

25.7087 USD
USD 0.01 commonPurchase

63,221

25.6349 USD
USD 0.01 commonPurchase

66,945

25.6314 USD
USD 0.01 commonSale

13

25.5450 USD
USD 0.01 commonSale

13

25.5600 USD
USD 0.01 commonSale

26

25.5525 USD
USD 0.01 commonSale

26

25.6100 USD
USD 0.01 commonSale

26

25.5875 USD
USD 0.01 commonSale

37

25.5700 USD
USD 0.01 commonSale

52

25.5500 USD
USD 0.01 commonSale

100

25.5550 USD
USD 0.01 commonSale

100

25.6500 USD
USD 0.01 commonSale

117

25.5755 USD
USD 0.01 commonSale

139

25.5900 USD
USD 0.01 commonSale

300

25.6300 USD
USD 0.01 commonSale

740

25.7981 USD
USD 0.01 commonSale

800

25.7850 USD
USD 0.01 commonSale

970

25.5850 USD
USD 0.01 commonSale

990

25.7461 USD
USD 0.01 commonSale

1,110

25.5890 USD
USD 0.01 commonSale

1,994

25.5922 USD
USD 0.01 commonSale

3,456

25.6244 USD
USD 0.01 commonSale

3,539

25.8156 USD
USD 0.01 commonSale

4,747

25.8080 USD
USD 0.01 commonSale

6,449

25.7621 USD
USD 0.01 commonSale

8,597

25.7135 USD
USD 0.01 commonSale

11,517

25.6644 USD
USD 0.01 commonSale

12,397

25.7555 USD
USD 0.01 commonSale

18,006

25.6967 USD
USD 0.01 commonSale

19,139

25.7084 USD
USD 0.01 commonSale

30,397

25.7048 USD
USD 0.01 commonSale

44,870

25.7100 USD
USD 0.01 commonSale

49,647

25.6143 USD
USD 0.01 commonSale

52,971

25.7401 USD
USD 0.01 commonSale

53,674

25.7088 USD
USD 0.01 commonSale

54,770

25.6256 USD
USD 0.01 commonSale

59,752

25.5931 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:

23 JULY 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/20210723005263/en/

Copyright Business Wire 2021


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