23rd Nov 2021 12:13
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.
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(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: |
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(e) Date position held/dealing undertaken: For an opening position disclosure, state the latest practicable date prior to the disclosure | 22 Nov 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: | 1,659,274 | 0.29% | 996,514 | 0.17% | ||
(2) | Cash-settled derivatives: | |||||
903,072 | 0.16% | 1,310,292 | 0.23% | |||
(3) | Stock-settled derivatives (including options) | |||||
and agreements to purchase/sell: | 0 | 0.00% | 2,100 | 0.00% | ||
(4) | ||||||
TOTAL: | 2,562,346 | 0.44% | 2,308,906 | 0.40% | ||
Class of relevant security: | Convertible Bond US668771AA66 | |||||
Interests | Short Positions | |||||
Number | (%) | Number | (%) | |||
(1) | Relevant securities owned | |||||
and/or controlled: | 376,000 | 0.06% | 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: | 376,000 | 0.06% | 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 | securities | ||||||
USD 0.01 common | Purchase | 1 | 24.9900 USD | ||||
USD 0.01 common | Purchase | 1 | 24.7250 USD | ||||
USD 0.01 common | Purchase | 1 | 24.8900 USD | ||||
USD 0.01 common | Purchase | 1 | 24.9000 USD | ||||
USD 0.01 common | Purchase | 2 | 24.8800 USD | ||||
USD 0.01 common | Purchase | 2 | 24.9300 USD | ||||
USD 0.01 common | Purchase | 4 | 24.9275 USD | ||||
USD 0.01 common | Purchase | 6 | 24.8966 USD | ||||
USD 0.01 common | Purchase | 19 | 24.9605 USD | ||||
USD 0.01 common | Purchase | 71 | 24.7467 USD | ||||
USD 0.01 common | Purchase | 100 | 24.8750 USD | ||||
USD 0.01 common | Purchase | 246 | 24.7404 USD | ||||
USD 0.01 common | Purchase | 287 | 21.8747 EUR | ||||
USD 0.01 common | Purchase | 291 | 24.8595 USD | ||||
USD 0.01 common | Purchase | 300 | 24.8300 USD | ||||
USD 0.01 common | Purchase | 391 | 24.8363 USD | ||||
USD 0.01 common | Purchase | 457 | 24.8716 USD | ||||
USD 0.01 common | Purchase | 500 | 24.9640 USD | ||||
USD 0.01 common | Purchase | 596 | 22.0791 EUR | ||||
USD 0.01 common | Purchase | 604 | 24.8616 USD | ||||
USD 0.01 common | Purchase | 740 | 24.8480 USD | ||||
USD 0.01 common | Purchase | 806 | 24.8245 USD | ||||
USD 0.01 common | Purchase | 817 | 24.8579 USD | ||||
USD 0.01 common | Purchase | 924 | 24.9407 USD | ||||
USD 0.01 common | Purchase | 1,060 | 24.9005 USD | ||||
USD 0.01 common | Purchase | 1,466 | 24.9492 USD | ||||
USD 0.01 common | Purchase | 3,144 | 24.9262 USD | ||||
USD 0.01 common | Purchase | 3,231 | 24.8990 USD | ||||
USD 0.01 common | Purchase | 5,300 | 24.7400 USD | ||||
USD 0.01 common | Purchase | 9,002 | 25.0000 USD | ||||
USD 0.01 common | Purchase | 10,336 | 24.8842 USD | ||||
USD 0.01 common | Purchase | 13,665 | 24.8724 USD | ||||
USD 0.01 common | Purchase | 19,700 | 24.8504 USD | ||||
USD 0.01 common | Purchase | 28,750 | 24.7520 USD | ||||
USD 0.01 common | Purchase | 49,545 | 24.8661 USD | ||||
USD 0.01 common | Purchase | 141,258 | 24.7867 USD | ||||
USD 0.01 common | Purchase | 191,912 | 24.7413 USD | ||||
USD 0.01 common | Sale | 4 | 24.7100 USD | ||||
USD 0.01 common | Sale | 8 | 24.8700 USD | ||||
USD 0.01 common | Sale | 46 | 24.8400 USD | ||||
USD 0.01 common | Sale | 57 | 24.8650 USD | ||||
USD 0.01 common | Sale | 68 | 24.8900 USD | ||||
USD 0.01 common | Sale | 91 | 24.7472 USD | ||||
USD 0.01 common | Sale | 100 | 24.7550 USD | ||||
USD 0.01 common | Sale | 100 | 24.8800 USD | ||||
USD 0.01 common | Sale | 100 | 24.8550 USD | ||||
USD 0.01 common | Sale | 103 | 24.8467 USD | ||||
USD 0.01 common | Sale | 107 | 24.8108 USD | ||||
USD 0.01 common | Sale | 170 | 24.8718 USD | ||||
USD 0.01 common | Sale | 208 | 24.7726 USD | ||||
USD 0.01 common | Sale | 223 | 24.7974 USD | ||||
USD 0.01 common | Sale | 252 | 24.7432 USD | ||||
USD 0.01 common | Sale | 287 | 21.8747 EUR | ||||
USD 0.01 common | Sale | 292 | 24.8194 USD | ||||
USD 0.01 common | Sale | 296 | 24.8156 USD | ||||
USD 0.01 common | Sale | 300 | 24.8750 USD | ||||
USD 0.01 common | Sale | 309 | 24.8780 USD | ||||
USD 0.01 common | Sale | 388 | 24.8476 USD | ||||
USD 0.01 common | Sale | 526 | 24.8345 USD | ||||
USD 0.01 common | Sale | 540 | 24.8462 USD | ||||
USD 0.01 common | Sale | 596 | 22.0791 EUR | ||||
USD 0.01 common | Sale | 700 | 24.8185 USD | ||||
USD 0.01 common | Sale | 700 | 24.7500 USD | ||||
USD 0.01 common | Sale | 1,330 | 24.8207 USD | ||||
USD 0.01 common | Sale | 1,449 | 24.8992 USD | ||||
USD 0.01 common | Sale | 1,528 | 24.9578 USD | ||||
USD 0.01 common | Sale | 1,910 | 25.0000 USD | ||||
USD 0.01 common | Sale | 2,731 | 24.9410 USD | ||||
USD 0.01 common | Sale | 3,743 | 24.8543 USD | ||||
USD 0.01 common | Sale | 7,422 | 24.8291 USD | ||||
USD 0.01 common | Sale | 9,389 | 24.7400 USD | ||||
USD 0.01 common | Sale | 13,925 | 24.7832 USD | ||||
USD 0.01 common | Sale | 20,513 | 24.8494 USD | ||||
USD 0.01 common | Sale | 28,292 | 24.7479 USD | ||||
USD 0.01 common | Sale | 66,220 | 24.8903 USD | ||||
USD 0.01 common | Sale | 127,352 | 24.7819 USD | ||||
USD 0.01 common | Sale | 189,703 | 24.7402 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: | 23 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
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 | 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/20211123005769/en/
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