14th Sep 2021 12:31
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: | 13 September 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: | 1,427,523 | 0.25% | 545,012 | 0.09% | ||
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(2) | Cash-settled derivatives: |
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160,930 | 0.03% | 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: | 1,588,953 | 0.27% | 1,575,434 | 0.27% | ||
| Class of relevant security: | Convertible Bond US668771AA66 | |||||
| Interests | Short Positions | |||||
| Number | (%) | Number | (%) | |||
(1) | Relevant securities owned | |||||
| and/or controlled: | 141,000 | 0.02% | 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: | 141,000 | 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: |
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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 |
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| securities |
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Convertible Bond | Purchase | 4,000 | 134.1250 USD | ||||
Convertible Bond | Sale | 2,000 | 134.1250 USD | ||||
USD 0.01 common | Purchase | 13 | 26.6900 USD | ||||
USD 0.01 common | Purchase | 19 | 26.6600 USD | ||||
USD 0.01 common | Purchase | 26 | 26.7075 USD | ||||
USD 0.01 common | Purchase | 37 | 26.9700 USD | ||||
USD 0.01 common | Purchase | 50 | 26.7800 USD | ||||
USD 0.01 common | Purchase | 64 | 26.9900 USD | ||||
USD 0.01 common | Purchase | 100 | 26.8750 USD | ||||
USD 0.01 common | Purchase | 100 | 26.8550 USD | ||||
USD 0.01 common | Purchase | 100 | 26.8450 USD | ||||
USD 0.01 common | Purchase | 100 | 26.7700 USD | ||||
USD 0.01 common | Purchase | 100 | 26.5400 USD | ||||
USD 0.01 common | Purchase | 100 | 26.9000 USD | ||||
USD 0.01 common | Purchase | 100 | 26.8950 USD | ||||
USD 0.01 common | Purchase | 127 | 26.9029 USD | ||||
USD 0.01 common | Purchase | 200 | 26.7300 USD | ||||
USD 0.01 common | Purchase | 200 | 26.8150 USD | ||||
USD 0.01 common | Purchase | 200 | 26.8900 USD | ||||
USD 0.01 common | Purchase | 200 | 26.8825 USD | ||||
USD 0.01 common | Purchase | 220 | 23.4170 EUR | ||||
USD 0.01 common | Purchase | 250 | 26.7740 USD | ||||
USD 0.01 common | Purchase | 304 | 27.0795 USD | ||||
USD 0.01 common | Purchase | 346 | 27.0651 USD | ||||
USD 0.01 common | Purchase | 373 | 27.0300 USD | ||||
USD 0.01 common | Purchase | 395 | 26.7768 USD | ||||
USD 0.01 common | Purchase | 450 | 26.7148 USD | ||||
USD 0.01 common | Purchase | 483 | 27.4600 USD | ||||
USD 0.01 common | Purchase | 542 | 26.8549 USD | ||||
USD 0.01 common | Purchase | 584 | 26.7281 USD | ||||
USD 0.01 common | Purchase | 593 | 26.9677 USD | ||||
USD 0.01 common | Purchase | 600 | 26.9004 USD | ||||
USD 0.01 common | Purchase | 600 | 26.9291 USD | ||||
USD 0.01 common | Purchase | 643 | 26.7064 USD | ||||
USD 0.01 common | Purchase | 650 | 26.6050 USD | ||||
USD 0.01 common | Purchase | 700 | 26.8292 USD | ||||
USD 0.01 common | Purchase | 797 | 26.7071 USD | ||||
USD 0.01 common | Purchase | 921 | 26.6205 USD | ||||
USD 0.01 common | Purchase | 1,230 | 27.1295 USD | ||||
USD 0.01 common | Purchase | 1,300 | 27.1269 USD | ||||
USD 0.01 common | Purchase | 2,250 | 26.8151 USD | ||||
USD 0.01 common | Purchase | 2,300 | 27.1310 USD | ||||
USD 0.01 common | Purchase | 2,500 | 26.8506 USD | ||||
USD 0.01 common | Purchase | 3,116 | 27.1307 USD | ||||
USD 0.01 common | Purchase | 3,400 | 27.1058 USD | ||||
USD 0.01 common | Purchase | 3,482 | 27.1258 USD | ||||
USD 0.01 common | Purchase | 3,679 | 26.8072 USD | ||||
USD 0.01 common | Purchase | 3,742 | 26.6943 USD | ||||
USD 0.01 common | Purchase | 4,197 | 27.1043 USD | ||||
USD 0.01 common | Purchase | 6,546 | 26.6100 USD | ||||
USD 0.01 common | Purchase | 6,630 | 27.0942 USD | ||||
USD 0.01 common | Purchase | 6,899 | 27.0934 USD | ||||
USD 0.01 common | Purchase | 7,322 | 26.7533 USD | ||||
USD 0.01 common | Purchase | 7,507 | 27.2600 USD | ||||
USD 0.01 common | Purchase | 7,606 | 26.9699 USD | ||||
USD 0.01 common | Purchase | 8,404 | 27.1079 USD | ||||
USD 0.01 common | Purchase | 8,711 | 26.6413 USD | ||||
USD 0.01 common | Purchase | 9,689 | 26.7308 USD | ||||
USD 0.01 common | Purchase | 12,397 | 26.9157 USD | ||||
USD 0.01 common | Purchase | 12,572 | 27.1105 USD | ||||
USD 0.01 common | Purchase | 13,595 | 27.1139 USD | ||||
USD 0.01 common | Purchase | 19,887 | 26.8744 USD | ||||
USD 0.01 common | Purchase | 32,359 | 26.8247 USD | ||||
USD 0.01 common | Purchase | 46,412 | 27.0084 USD | ||||
USD 0.01 common | Purchase | 56,808 | 27.1196 USD | ||||
USD 0.01 common | Purchase | 114,887 | 26.7294 USD | ||||
USD 0.01 common | Purchase | 128,433 | 26.7567 USD | ||||
USD 0.01 common | Sale | 1 | 26.7700 USD | ||||
USD 0.01 common | Sale | 1 | 26.7100 USD | ||||
USD 0.01 common | Sale | 1 | 26.6700 USD | ||||
USD 0.01 common | Sale | 2 | 26.6300 USD | ||||
USD 0.01 common | Sale | 4 | 26.6550 USD | ||||
USD 0.01 common | Sale | 6 | 26.5916 USD | ||||
USD 0.01 common | Sale | 6 | 26.5700 USD | ||||
USD 0.01 common | Sale | 6 | 26.7016 USD | ||||
USD 0.01 common | Sale | 12 | 26.7133 USD | ||||
USD 0.01 common | Sale | 17 | 26.6900 USD | ||||
USD 0.01 common | Sale | 28 | 26.7207 USD | ||||
USD 0.01 common | Sale | 66 | 26.6716 USD | ||||
USD 0.01 common | Sale | 66 | 26.8216 USD | ||||
USD 0.01 common | Sale | 100 | 26.6750 USD | ||||
USD 0.01 common | Sale | 100 | 26.8900 USD | ||||
USD 0.01 common | Sale | 102 | 27.1048 USD | ||||
USD 0.01 common | Sale | 103 | 27.0947 USD | ||||
USD 0.01 common | Sale | 120 | 27.1391 USD | ||||
USD 0.01 common | Sale | 143 | 26.7946 USD | ||||
USD 0.01 common | Sale | 143 | 26.7876 USD | ||||
USD 0.01 common | Sale | 150 | 26.9650 USD | ||||
USD 0.01 common | Sale | 165 | 26.7813 USD | ||||
USD 0.01 common | Sale | 165 | 26.7933 USD | ||||
USD 0.01 common | Sale | 200 | 27.1900 USD | ||||
USD 0.01 common | Sale | 220 | 23.4170 EUR | ||||
USD 0.01 common | Sale | 253 | 26.8604 USD | ||||
USD 0.01 common | Sale | 304 | 26.9503 USD | ||||
USD 0.01 common | Sale | 308 | 26.8403 USD | ||||
USD 0.01 common | Sale | 351 | 26.7781 USD | ||||
USD 0.01 common | Sale | 407 | 26.8454 USD | ||||
USD 0.01 common | Sale | 500 | 26.9025 USD | ||||
USD 0.01 common | Sale | 521 | 27.0623 USD | ||||
USD 0.01 common | Sale | 561 | 26.8323 USD | ||||
USD 0.01 common | Sale | 584 | 26.7281 USD | ||||
USD 0.01 common | Sale | 700 | 27.0785 USD | ||||
USD 0.01 common | Sale | 706 | 27.2100 USD | ||||
USD 0.01 common | Sale | 1,230 | 27.1295 USD | ||||
USD 0.01 common | Sale | 1,760 | 26.7695 USD | ||||
USD 0.01 common | Sale | 2,000 | 27.1275 USD | ||||
USD 0.01 common | Sale | 2,100 | 27.1097 USD | ||||
USD 0.01 common | Sale | 2,314 | 27.0715 USD | ||||
USD 0.01 common | Sale | 2,330 | 27.1204 USD | ||||
USD 0.01 common | Sale | 2,496 | 27.1663 USD | ||||
USD 0.01 common | Sale | 2,591 | 26.6800 USD | ||||
USD 0.01 common | Sale | 2,795 | 26.6833 USD | ||||
USD 0.01 common | Sale | 2,812 | 27.0986 USD | ||||
USD 0.01 common | Sale | 3,000 | 27.1156 USD | ||||
USD 0.01 common | Sale | 3,106 | 27.1749 USD | ||||
USD 0.01 common | Sale | 5,106 | 27.1005 USD | ||||
USD 0.01 common | Sale | 5,196 | 27.1013 USD | ||||
USD 0.01 common | Sale | 5,983 | 27.0562 USD | ||||
USD 0.01 common | Sale | 6,699 | 26.8369 USD | ||||
USD 0.01 common | Sale | 7,300 | 27.1291 USD | ||||
USD 0.01 common | Sale | 7,493 | 26.9700 USD | ||||
USD 0.01 common | Sale | 7,542 | 27.2600 USD | ||||
USD 0.01 common | Sale | 7,606 | 26.9699 USD | ||||
USD 0.01 common | Sale | 8,124 | 26.6176 USD | ||||
USD 0.01 common | Sale | 9,268 | 27.0375 USD | ||||
USD 0.01 common | Sale | 9,534 | 27.1106 USD | ||||
USD 0.01 common | Sale | 11,497 | 26.9010 USD | ||||
USD 0.01 common | Sale | 13,199 | 26.8534 USD | ||||
USD 0.01 common | Sale | 13,865 | 27.1224 USD | ||||
USD 0.01 common | Sale | 18,063 | 26.8486 USD | ||||
USD 0.01 common | Sale | 30,679 | 26.6100 USD | ||||
USD 0.01 common | Sale | 90,205 | 26.6126 USD | ||||
USD 0.01 common | Sale | 134,025 | 26.7328 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: | 14 Sep 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 |
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| selling, | securities | per unit |
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security |
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| 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/20210914005656/en/
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