12th Aug 2021 12:31
FORM 8.3 - Amendment to Sales
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: | 10 August 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: | 1,892,481 | 0.33% | 289,804 | 0.05% | |
(2) | Cash-settled derivatives: | ||||
83,335 | 0.01% | 1,279,498 | 0.22% | ||
(3) | Stock-settled derivatives (including options) | ||||
| and agreements to purchase/sell: | 250,500 | 0.04% | 2,100 | 0.00% | |
| TOTAL: | 2,226,316 | 0.38% | 1,571,402 | 0.27% | |
| Class of relevant security: | Convertible Bond US668771AA66 | ||||
| Interests | Short Positions | ||||
| Number | (%) | Number | (%) | ||
(1) | Relevant securities owned | ||||
| and/or controlled: | 128,000 | 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: | 128,000 | 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 relevant | Purchase/sale | Number of | Price per unit |
security |
| securities |
|
USD 0.01 common | Purchase | 20 | 24.2950 USD |
USD 0.01 common | Purchase | 20 | 24.1950 USD |
USD 0.01 common | Purchase | 37 | 24.2900 USD |
USD 0.01 common | Purchase | 45 | 23.9986 USD |
USD 0.01 common | Purchase | 49 | 24.6691 USD |
USD 0.01 common | Purchase | 52 | 24.2600 USD |
USD 0.01 common | Purchase | 52 | 24.5500 USD |
USD 0.01 common | Purchase | 65 | 23.8650 USD |
USD 0.01 common | Purchase | 89 | 24.2598 USD |
USD 0.01 common | Purchase | 120 | 24.1966 USD |
USD 0.01 common | Purchase | 136 | 24.0666 USD |
USD 0.01 common | Purchase | 199 | 24.6193 USD |
USD 0.01 common | Purchase | 200 | 24.2625 USD |
USD 0.01 common | Purchase | 200 | 24.1800 USD |
USD 0.01 common | Purchase | 200 | 24.1750 USD |
USD 0.01 common | Purchase | 200 | 23.9325 USD |
USD 0.01 common | Purchase | 220 | 24.1168 USD |
USD 0.01 common | Purchase | 240 | 24.1325 USD |
USD 0.01 common | Purchase | 300 | 24.0883 USD |
USD 0.01 common | Purchase | 300 | 24.1400 USD |
USD 0.01 common | Purchase | 360 | 24.2708 USD |
USD 0.01 common | Purchase | 469 | 24.1624 USD |
USD 0.01 common | Purchase | 600 | 24.1561 USD |
USD 0.01 common | Purchase | 600 | 24.0783 USD |
USD 0.01 common | Purchase | 683 | 24.1963 USD |
USD 0.01 common | Purchase | 700 | 24.0521 USD |
USD 0.01 common | Purchase | 810 | 24.1161 USD |
USD 0.01 common | Purchase | 828 | 24.0000 USD |
USD 0.01 common | Purchase | 836 | 24.0856 USD |
USD 0.01 common | Purchase | 900 | 24.1844 USD |
USD 0.01 common | Purchase | 952 | 24.1284 USD |
USD 0.01 common | Purchase | 1,018 | 24.0744 USD |
USD 0.01 common | Purchase | 1,200 | 24.1725 USD |
USD 0.01 common | Purchase | 1,285 | 24.1670 USD |
USD 0.01 common | Purchase | 1,550 | 24.1290 USD |
USD 0.01 common | Purchase | 1,621 | 24.0350 USD |
USD 0.01 common | Purchase | 1,681 | 24.1500 USD |
USD 0.01 common | Purchase | 2,378 | 24.0991 USD |
USD 0.01 common | Purchase | 3,371 | 24.1766 USD |
USD 0.01 common | Purchase | 3,460 | 23.9359 USD |
USD 0.01 common | Purchase | 14,148 | 24.1256 USD |
USD 0.01 common | Purchase | 15,586 | 24.1237 USD |
USD 0.01 common | Purchase | 15,956 | 24.1172 USD |
USD 0.01 common | Purchase | 16,409 | 24.1331 USD |
USD 0.01 common | Purchase | 19,700 | 23.8900 USD |
USD 0.01 common | Purchase | 27,059 | 23.9565 USD |
USD 0.01 common | Purchase | 34,809 | 24.1587 USD |
USD 0.01 common | Purchase | 45,317 | 24.1424 USD |
USD 0.01 common | Purchase | 161,388 | 24.1603 USD |
USD 0.01 common | Sale | 5 | 23.9700 USD |
USD 0.01 common | Sale | 7 | 23.9650 USD |
USD 0.01 common | Sale | 11 | 23.9931 USD |
USD 0.01 common | Sale | 14 | 23.9925 USD |
USD 0.01 common | Sale | 15 | 23.9900 USD |
USD 0.01 common | Sale | 19 | 23.9752 USD |
USD 0.01 common | Sale | 32 | 24.2900 USD |
USD 0.01 common | Sale | 38 | 23.9847 USD |
USD 0.01 common | Sale | 89 | 24.2598 USD |
USD 0.01 common | Sale | 105 | 24.1852 USD |
USD 0.01 common | Sale | 108 | 23.9600 USD |
USD 0.01 common | Sale | 300 | 24.2216 USD |
USD 0.01 common | Sale | 300 | 24.2600 USD |
USD 0.01 common | Sale | 446 | 24.0000 USD |
USD 0.01 common | Sale | 500 | 24.3300 USD |
USD 0.01 common | Sale | 811 | 24.2163 USD |
USD 0.01 common | Sale | 891 | 24.2328 USD |
USD 0.01 common | Sale | 1,408 | 24.0324 USD |
USD 0.01 common | Sale | 2,768 | 24.1500 USD |
USD 0.01 common | Sale | 3,698 | 24.1093 USD |
USD 0.01 common | Sale | 5,589 | 24.1677 USD |
USD 0.01 common | Sale | 5,615 | 24.1458 USD |
USD 0.01 common | Sale | 6,648 | 24.2091 USD |
USD 0.01 common | Sale | 6,805 | 24.1486 USD |
USD 0.01 common | Sale | 7,399 | 24.2165 USD |
USD 0.01 common | Sale | 9,921 | 24.1604 USD |
USD 0.01 common | Sale | 10,116 | 24.1071 USD |
USD 0.01 common | Sale | 12,792 | 24.1225 USD |
USD 0.01 common | Sale | 16,643 | 24.1803 USD |
USD 0.01 common | Sale | 19,700 | 23.8900 USD |
USD 0.01 common | Sale | 20,050 | 23.8911 USD |
USD 0.01 common | Sale | 21,367 | 24.1352 USD |
USD 0.01 common | Sale | 22,187 | 24.0892 USD |
USD 0.01 common | Sale | 25,818 | 24.1130 USD |
USD 0.01 common | Sale | 26,500 | 24.1537 USD |
USD 0.01 common | Sale | 32,959 | 24.2020 USD |
USD 0.01 common | Sale | 33,920 | 24.1288 USD |
USD 0.01 common | Sale | 82,501 | 24.1450 USD |
NB: The below transactions which were previously disclosed have been cancelled | |||
Class of relevant | Purchase/sale | Number of | Price per unit |
security |
| securities |
|
USD 0.01 common | Sale | 977 | 24.1500 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 | Product | Writing, | Number | Exercise | Type | Expiry | Option |
of | description | purchasing, | of | price |
| date | money |
relevant |
| selling, | securities | per unit |
|
| paid/ |
security |
| varying etc | to which |
|
|
| received |
|
|
| option |
|
|
| per unit |
|
|
| relates |
|
|
|
|
USD 0.01 common | Call Options | Purchasing | 100,000 | 24 USD | American | 20 Aug 2021 | 0.4250 USD |
USD 0.01 common | Call Options | Purchasing | 200,000 | 24 USD | American | 20 Aug 2021 | 0.4374 USD |
USD 0.01 common | Call Options | Purchasing | 50,000 | 25 USD | American | 20 Aug 2021 | 0.2500 USD |
USD 0.01 common | Call Options | Selling | 100,000 | 24 USD | American | 20 Aug 2021 | 0.4250 USD |
(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) |
|
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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
|
(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: | 12 Aug 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 |
|
|
security |
| varying etc | to which |
|
|
|
|
|
| option |
|
|
|
|
|
| relates |
|
|
|
USD 0.01 common | Call Options | Purchased | 500 | 27.0000 | American | 21 Jan 2022 |
USD 0.01 common | Call Options | Purchased | 50,000 | 25.0000 | American | 20 Aug 2021 |
USD 0.01 common | Call Options | Purchased | 200,000 | 24.0000 | American | 20 Aug 2021 |
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: |
|
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/20210812005471/en/
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