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Form 8.3 - NORTONLIFELOCK INC- AMENDMENT

17th Sep 2021 14:38

 

FORM 8.3 - Amendment to Sale

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

14 September 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:

1,420,635

0.24%

505,515

0.09%

 

 

 

 

(2)

Cash-settled derivatives:

 

 

 

 

160,930

0.03%

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:

1,582,065

0.27%

1,535,937

0.26%

 

 

 

 

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%

 

 

 

 

(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:

141,000

0.02%

0

0.00%

 

 

 

0

Class of relevant security:

 

 

 

 

Interests

Short positions

 

Number

%

Number

%

(1) Relevant securities owned and/or controlled:

 

 

 

 

(2) Cash-settled derivatives:

 

 

 

 

 

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

 

 

 

 

 

TOTAL:

 

 

 

 

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

8

26.1750 USD
USD 0.01 commonPurchase

10

26.2200 USD
USD 0.01 commonPurchase

11

26.1577 USD
USD 0.01 commonPurchase

100

26.2300 USD
USD 0.01 commonPurchase

100

26.2050 USD
USD 0.01 commonPurchase

102

26.2090 USD
USD 0.01 commonPurchase

115

26.1405 USD
USD 0.01 commonPurchase

125

26.1660 USD
USD 0.01 commonPurchase

200

26.3600 USD
USD 0.01 commonPurchase

200

26.2550 USD
USD 0.01 commonPurchase

200

26.1125 USD
USD 0.01 commonPurchase

200

26.2350 USD
USD 0.01 commonPurchase

201

26.2000 USD
USD 0.01 commonPurchase

216

26.1500 USD
USD 0.01 commonPurchase

250

26.1850 USD
USD 0.01 commonPurchase

299

26.2100 USD
USD 0.01 commonPurchase

300

26.1966 USD
USD 0.01 commonPurchase

312

26.2123 USD
USD 0.01 commonPurchase

400

26.2125 USD
USD 0.01 commonPurchase

400

26.2825 USD
USD 0.01 commonPurchase

400

26.1775 USD
USD 0.01 commonPurchase

419

26.1200 USD
USD 0.01 commonPurchase

435

26.1900 USD
USD 0.01 commonPurchase

493

26.1530 USD
USD 0.01 commonPurchase

500

26.1220 USD
USD 0.01 commonPurchase

500

26.1600 USD
USD 0.01 commonPurchase

508

26.1518 USD
USD 0.01 commonPurchase

600

26.1883 USD
USD 0.01 commonPurchase

600

26.3300 USD
USD 0.01 commonPurchase

625

26.1280 USD
USD 0.01 commonPurchase

724

26.1865 USD
USD 0.01 commonPurchase

742

26.1691 USD
USD 0.01 commonPurchase

900

26.2600 USD
USD 0.01 commonPurchase

1,110

26.1888 USD
USD 0.01 commonPurchase

1,500

26.1950 USD
USD 0.01 commonPurchase

1,557

26.1769 USD
USD 0.01 commonPurchase

2,800

26.2033 USD
USD 0.01 commonPurchase

3,047

26.2044 USD
USD 0.01 commonPurchase

4,691

26.2608 USD
USD 0.01 commonPurchase

4,754

26.2274 USD
USD 0.01 commonPurchase

5,892

26.6200 USD
USD 0.01 commonPurchase

8,033

26.1754 USD
USD 0.01 commonPurchase

11,450

26.3000 USD
USD 0.01 commonPurchase

12,994

26.2424 USD
USD 0.01 commonPurchase

13,165

26.3049 USD
USD 0.01 commonPurchase

18,160

26.2096 USD
USD 0.01 commonPurchase

18,238

26.2136 USD
USD 0.01 commonPurchase

41,294

26.1800 USD
USD 0.01 commonPurchase

49,683

26.1799 USD
USD 0.01 commonPurchase

50,957

26.2094 USD
USD 0.01 commonSale

2

26.4200 USD
USD 0.01 commonSale

3

26.1450 USD
USD 0.01 commonSale

3

26.2050 USD
USD 0.01 commonSale

3

26.1600 USD
USD 0.01 commonSale

6

26.1150 USD
USD 0.01 commonSale

9

26.1633 USD
USD 0.01 commonSale

11

26.1709 USD
USD 0.01 commonSale

12

26.1200 USD
USD 0.01 commonSale

15

26.1580 USD
USD 0.01 commonSale

16

26.1659 USD
USD 0.01 commonSale

27

26.1344 USD
USD 0.01 commonSale

27

26.1222 USD
USD 0.01 commonSale

82

26.5478 USD
USD 0.01 commonSale

100

26.3200 USD
USD 0.01 commonSale

100

26.3850 USD
USD 0.01 commonSale

103

26.3319 USD
USD 0.01 commonSale

300

26.2433 USD
USD 0.01 commonSale

500

26.5700 USD
USD 0.01 commonSale

500

26.3480 USD
USD 0.01 commonSale

600

26.3300 USD
USD 0.01 commonSale

714

26.6200 USD
USD 0.01 commonSale

742

26.1691 USD
USD 0.01 commonSale

787

26.2463 USD
USD 0.01 commonSale

910

26.1896 USD
USD 0.01 commonSale

2,254

26.1700 USD
USD 0.01 commonSale

2,926

26.3245 USD
USD 0.01 commonSale

6,125

26.6032 USD
USD 0.01 commonSale

6,782

26.1826 USD
USD 0.01 commonSale

9,639

26.2966 USD
USD 0.01 commonSale

11,764

26.2313 USD
USD 0.01 commonSale

18,040

26.2208 USD
USD 0.01 commonSale

19,260

26.2097 USD
USD 0.01 commonSale

21,722

26.1795 USD
USD 0.01 commonSale

22,828

26.3000 USD
USD 0.01 commonSale

25,258

26.1764 USD
USD 0.01 commonSale

48,723

26.1800 USD
USD 0.01 commonSale

55,247

26.2089 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:

17 Setp 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

ProductWriting,NumberExerciseTypeExpiry

of

descriptionpurchasing,ofpricedate

relevant

selling,securitiesper unit

security

varying etcto which
option
relates
USD 0.01 commonCall OptionsPurchased

500

27.0000

American21 Jan 2022
USD 0.01 commonPut OptionsPurchased

-2,100

30.0000

American0 Jan 1900

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/20210917005328/en/

Copyright Business Wire 2021


Related Shares:

Barclays
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