17th Nov 2021 11:45
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 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: | 16 November 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: | 1,954,506 | 0.34% | 1,226,732 | 0.21% | ||
(2) | Cash-settled derivatives: | |||||
737,477 | 0.13% | 1,307,674 | 0.22% | |||
(3) | Stock-settled derivatives (including options) | |||||
| and agreements to purchase/sell: | 500 | 0.00% | 2,100 | 0.00% | ||
| TOTAL: | 2,692,483 | 0.46% | 2,536,506 | 0.44% | ||
| 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% | ||
| 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 | 9 | 25.3050 USD |
USD 0.01 common | Purchase | 24 | 25.2000 USD |
USD 0.01 common | Purchase | 24 | 25.3000 USD |
USD 0.01 common | Purchase | 24 | 25.2500 USD |
USD 0.01 common | Purchase | 72 | 25.2600 USD |
USD 0.01 common | Purchase | 100 | 25.2250 USD |
USD 0.01 common | Purchase | 100 | 25.3450 USD |
USD 0.01 common | Purchase | 103 | 22.2160 EUR |
USD 0.01 common | Purchase | 147 | 25.2322 USD |
USD 0.01 common | Purchase | 172 | 25.2717 USD |
USD 0.01 common | Purchase | 185 | 25.2213 USD |
USD 0.01 common | Purchase | 196 | 25.2650 USD |
USD 0.01 common | Purchase | 199 | 25.2833 USD |
USD 0.01 common | Purchase | 202 | 25.3112 USD |
USD 0.01 common | Purchase | 229 | 25.2971 USD |
USD 0.01 common | Purchase | 233 | 25.2908 USD |
USD 0.01 common | Purchase | 251 | 25.3085 USD |
USD 0.01 common | Purchase | 258 | 25.3005 USD |
USD 0.01 common | Purchase | 281 | 25.3042 USD |
USD 0.01 common | Purchase | 289 | 25.2189 USD |
USD 0.01 common | Purchase | 300 | 25.2283 USD |
USD 0.01 common | Purchase | 393 | 25.2609 USD |
USD 0.01 common | Purchase | 439 | 25.3024 USD |
USD 0.01 common | Purchase | 610 | 25.3227 USD |
USD 0.01 common | Purchase | 648 | 25.2929 USD |
USD 0.01 common | Purchase | 800 | 25.2700 USD |
USD 0.01 common | Purchase | 800 | 25.2488 USD |
USD 0.01 common | Purchase | 893 | 25.2899 USD |
USD 0.01 common | Purchase | 900 | 25.2355 USD |
USD 0.01 common | Purchase | 1,150 | 25.1997 USD |
USD 0.01 common | Purchase | 1,200 | 25.2337 USD |
USD 0.01 common | Purchase | 1,300 | 25.1657 USD |
USD 0.01 common | Purchase | 1,310 | 22.3373 EUR |
USD 0.01 common | Purchase | 1,639 | 25.2754 USD |
USD 0.01 common | Purchase | 1,690 | 25.2518 USD |
USD 0.01 common | Purchase | 1,701 | 25.2587 USD |
USD 0.01 common | Purchase | 1,809 | 25.2385 USD |
USD 0.01 common | Purchase | 2,020 | 25.2378 USD |
USD 0.01 common | Purchase | 2,100 | 25.2066 USD |
USD 0.01 common | Purchase | 3,067 | 25.2538 USD |
USD 0.01 common | Purchase | 5,408 | 25.2950 USD |
USD 0.01 common | Purchase | 5,659 | 25.2875 USD |
USD 0.01 common | Purchase | 6,658 | 25.2870 USD |
USD 0.01 common | Purchase | 7,890 | 25.2238 USD |
USD 0.01 common | Purchase | 9,285 | 25.2295 USD |
USD 0.01 common | Purchase | 9,592 | 25.2958 USD |
USD 0.01 common | Purchase | 10,927 | 25.2711 USD |
USD 0.01 common | Purchase | 18,203 | 25.2535 USD |
USD 0.01 common | Purchase | 25,133 | 25.2430 USD |
USD 0.01 common | Purchase | 39,500 | 25.2706 USD |
USD 0.01 common | Purchase | 40,696 | 25.2210 USD |
USD 0.01 common | Purchase | 63,100 | 25.2192 USD |
USD 0.01 common | Purchase | 78,022 | 25.2788 USD |
USD 0.01 common | Purchase | 99,449 | 25.2725 USD |
USD 0.01 common | Purchase | 155,127 | 25.2562 USD |
USD 0.01 common | Purchase | 574,418 | 25.2200 USD |
USD 0.01 common | Sale | 1 | 25.2300 USD |
USD 0.01 common | Sale | 17 | 25.2041 USD |
USD 0.01 common | Sale | 44 | 25.2750 USD |
USD 0.01 common | Sale | 50 | 25.2688 USD |
USD 0.01 common | Sale | 83 | 25.3007 USD |
USD 0.01 common | Sale | 83 | 25.3100 USD |
USD 0.01 common | Sale | 90 | 25.2881 USD |
USD 0.01 common | Sale | 103 | 22.2160 EUR |
USD 0.01 common | Sale | 144 | 25.2919 USD |
USD 0.01 common | Sale | 200 | 25.2825 USD |
USD 0.01 common | Sale | 429 | 25.2573 USD |
USD 0.01 common | Sale | 533 | 25.3000 USD |
USD 0.01 common | Sale | 852 | 25.2502 USD |
USD 0.01 common | Sale | 1,045 | 25.2475 USD |
USD 0.01 common | Sale | 1,310 | 22.3373 EUR |
USD 0.01 common | Sale | 1,521 | 25.2900 USD |
USD 0.01 common | Sale | 2,400 | 25.2337 USD |
USD 0.01 common | Sale | 2,400 | 25.2950 USD |
USD 0.01 common | Sale | 2,550 | 25.1834 USD |
USD 0.01 common | Sale | 3,067 | 25.2538 USD |
USD 0.01 common | Sale | 3,169 | 25.2100 USD |
USD 0.01 common | Sale | 6,458 | 25.2871 USD |
USD 0.01 common | Sale | 9,569 | 25.2852 USD |
USD 0.01 common | Sale | 9,586 | 25.2728 USD |
USD 0.01 common | Sale | 9,990 | 25.2202 USD |
USD 0.01 common | Sale | 19,367 | 25.2364 USD |
USD 0.01 common | Sale | 21,529 | 25.2554 USD |
USD 0.01 common | Sale | 34,744 | 25.2691 USD |
USD 0.01 common | Sale | 40,291 | 25.2203 USD |
USD 0.01 common | Sale | 59,931 | 25.2197 USD |
USD 0.01 common | Sale | 69,527 | 25.2781 USD |
USD 0.01 common | Sale | 77,358 | 25.2771 USD |
USD 0.01 common | Sale | 85,678 | 25.2784 USD |
USD 0.01 common | Sale | 129,912 | 25.2399 USD |
USD 0.01 common | Sale | 296,695 | 25.2200 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: | 17 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
| 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 |
| selling, | securities | per unit |
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security |
| 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/20211117005777/en/
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