2nd Dec 2021 16:41
FORM 8.3 - Amendment to Sale and Purchase
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 |
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| 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 |
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| offeror/offeree, state this and specify identity of | |||||||
| offeror/offeree: | |||||||
| (e) | Date position held/dealing undertaken: | 30 November 2021 | |||||
| (f) | In addition to the company in 1(c) above, is the discloser making | YES: |
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| disclosures in respect of any other party to the offer? | AVAST PLC |
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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 |
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| and/or controlled: | 1,757,285 | 0.30% | 901,882 | 0.16% | ||
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(2) | Cash-settled derivatives: |
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656,716 | 0.11% | 3,023,718 | 0.52% | |||
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(3) | Stock-settled derivatives (including options) |
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| and agreements to purchase/sell: | 0 | 0.00% | 2,100 | 0.00% | ||
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| TOTAL: | 2,414,001 | 0.41% | 3,927,700 | 0.68% | ||
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| Class of relevant security: | Convertible Bond US668771AA66 | |||||
Interests | Short Positions | |||||
Number | (%) | Number | (%) | |||
(1) | Relevant securities owned |
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| and/or controlled: | 386,000 | 0.07% | 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: | 386,000 | 0.07% | 0 | 0.00% | ||
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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 |
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| security |
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| securities |
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| USD 0.01 common | Purchase | 3 | 24.8200 USD | ||||
| USD 0.01 common | Purchase | 3 | 24.8600 USD | ||||
| USD 0.01 common | Purchase | 6 | 25.0066 USD | ||||
| USD 0.01 common | Purchase | 10 | 24.9150 USD | ||||
| USD 0.01 common | Purchase | 10 | 24.9345 USD | ||||
| USD 0.01 common | Purchase | 10 | 24.8875 USD | ||||
| USD 0.01 common | Purchase | 14 | 24.9500 USD | ||||
| USD 0.01 common | Purchase | 18 | 25.0211 USD | ||||
| USD 0.01 common | Purchase | 20 | 24.9360 USD | ||||
| USD 0.01 common | Purchase | 27 | 24.8700 USD | ||||
| USD 0.01 common | Purchase | 30 | 25.0513 USD | ||||
| USD 0.01 common | Purchase | 30 | 24.9943 USD | ||||
| USD 0.01 common | Purchase | 32 | 25.1287 USD | ||||
| USD 0.01 common | Purchase | 34 | 25.0297 USD | ||||
| USD 0.01 common | Purchase | 40 | 25.0535 USD | ||||
| USD 0.01 common | Purchase | 40 | 25.0685 USD | ||||
| USD 0.01 common | Purchase | 40 | 25.0410 USD | ||||
| USD 0.01 common | Purchase | 42 | 25.0000 USD | ||||
| USD 0.01 common | Purchase | 42 | 25.0590 USD | ||||
| USD 0.01 common | Purchase | 54 | 24.8877 USD | ||||
| USD 0.01 common | Purchase | 60 | 25.0920 USD | ||||
| USD 0.01 common | Purchase | 62 | 25.0312 USD | ||||
| USD 0.01 common | Purchase | 66 | 25.0418 USD | ||||
| USD 0.01 common | Purchase | 67 | 25.0450 USD | ||||
| USD 0.01 common | Purchase | 100 | 24.9700 USD | ||||
| USD 0.01 common | Purchase | 100 | 25.3600 USD | ||||
| USD 0.01 common | Purchase | 106 | 24.9000 USD | ||||
| USD 0.01 common | Purchase | 121 | 25.2300 USD | ||||
| USD 0.01 common | Purchase | 127 | 24.8851 USD | ||||
| USD 0.01 common | Purchase | 129 | 22.1806 EUR | ||||
| USD 0.01 common | Purchase | 200 | 25.3775 USD | ||||
| USD 0.01 common | Purchase | 207 | 24.8571 USD | ||||
| USD 0.01 common | Purchase | 300 | 25.0166 USD | ||||
| USD 0.01 common | Purchase | 320 | 25.2206 USD | ||||
| USD 0.01 common | Purchase | 356 | 25.0371 USD | ||||
| USD 0.01 common | Purchase | 400 | 25.0650 USD | ||||
| USD 0.01 common | Purchase | 476 | 24.8909 USD | ||||
| USD 0.01 common | Purchase | 680 | 25.0227 USD | ||||
| USD 0.01 common | Purchase | 700 | 25.2142 USD | ||||
| USD 0.01 common | Purchase | 711 | 24.9019 USD | ||||
| USD 0.01 common | Purchase | 1,047 | 24.8501 USD | ||||
| USD 0.01 common | Purchase | 1,070 | 25.2215 USD | ||||
| USD 0.01 common | Purchase | 1,100 | 25.3518 USD | ||||
| USD 0.01 common | Purchase | 1,466 | 25.3257 USD | ||||
| USD 0.01 common | Purchase | 1,563 | 25.2145 USD | ||||
| USD 0.01 common | Purchase | 2,897 | 24.9343 USD | ||||
| USD 0.01 common | Purchase | 3,000 | 25.3170 USD | ||||
| USD 0.01 common | Purchase | 3,441 | 25.0246 USD | ||||
| USD 0.01 common | Purchase | 4,173 | 24.8854 USD | ||||
| USD 0.01 common | Purchase | 5,382 | 24.9605 USD | ||||
| USD 0.01 common | Purchase | 7,548 | 25.2174 USD | ||||
| USD 0.01 common | Purchase | 27,684 | 25.0503 USD | ||||
| USD 0.01 common | Purchase | 31,046 | 25.0472 USD | ||||
| USD 0.01 common | Purchase | 40,477 | 24.8570 USD | ||||
| USD 0.01 common | Purchase | 48,082 | 24.9108 USD | ||||
| USD 0.01 common | Purchase | 62,585 | 24.8498 USD | ||||
| USD 0.01 common | Purchase | 179,437 | 24.8500 USD | ||||
| USD 0.01 common | Purchase | 236,920 | 25.0063 USD | ||||
| USD 0.01 common | Sale | 2 | 25.1750 USD | ||||
| USD 0.01 common | Sale | 10 | 24.8875 USD | ||||
| USD 0.01 common | Sale | 22 | 24.9400 USD | ||||
| USD 0.01 common | Sale | 22 | 24.8425 USD | ||||
| USD 0.01 common | Sale | 22 | 24.8825 USD | ||||
| USD 0.01 common | Sale | 33 | 24.9133 USD | ||||
| USD 0.01 common | Sale | 33 | 24.8900 USD | ||||
| USD 0.01 common | Sale | 33 | 24.9566 USD | ||||
| USD 0.01 common | Sale | 42 | 25.0000 USD | ||||
| USD 0.01 common | Sale | 55 | 24.9300 USD | ||||
| USD 0.01 common | Sale | 56 | 24.9600 USD | ||||
| USD 0.01 common | Sale | 62 | 25.0312 USD | ||||
| USD 0.01 common | Sale | 100 | 24.9700 USD | ||||
| USD 0.01 common | Sale | 111 | 24.9805 USD | ||||
| USD 0.01 common | Sale | 129 | 22.1806 EUR | ||||
| USD 0.01 common | Sale | 154 | 24.8635 USD | ||||
| USD 0.01 common | Sale | 167 | 25.1799 USD | ||||
| USD 0.01 common | Sale | 200 | 24.9950 USD | ||||
| USD 0.01 common | Sale | 200 | 25.0250 USD | ||||
| USD 0.01 common | Sale | 300 | 25.1333 USD | ||||
| USD 0.01 common | Sale | 322 | 24.9000 USD | ||||
| USD 0.01 common | Sale | 400 | 25.1200 USD | ||||
| USD 0.01 common | Sale | 492 | 25.0950 USD | ||||
| USD 0.01 common | Sale | 500 | 25.0900 USD | ||||
| USD 0.01 common | Sale | 956 | 24.8856 USD | ||||
| USD 0.01 common | Sale | 1,000 | 25.0045 USD | ||||
| USD 0.01 common | Sale | 1,372 | 25.0373 USD | ||||
| USD 0.01 common | Sale | 1,491 | 24.8583 USD | ||||
| USD 0.01 common | Sale | 2,777 | 25.1471 USD | ||||
| USD 0.01 common | Sale | 3,415 | 25.1032 USD | ||||
| USD 0.01 common | Sale | 4,006 | 24.8732 USD | ||||
| USD 0.01 common | Sale | 4,074 | 24.9938 USD | ||||
| USD 0.01 common | Sale | 5,866 | 25.3285 USD | ||||
| USD 0.01 common | Sale | 6,314 | 25.0306 USD | ||||
| USD 0.01 common | Sale | 7,905 | 25.0726 USD | ||||
| USD 0.01 common | Sale | 10,411 | 25.0741 USD | ||||
| USD 0.01 common | Sale | 11,322 | 25.2174 USD | ||||
| USD 0.01 common | Sale | 23,301 | 25.0517 USD | ||||
| USD 0.01 common | Sale | 24,786 | 25.0511 USD | ||||
| USD 0.01 common | Sale | 39,859 | 24.8571 USD | ||||
| USD 0.01 common | Sale | 44,101 | 25.0753 USD | ||||
| USD 0.01 common | Sale | 58,562 | 24.9193 USD | ||||
| USD 0.01 common | Sale | 174,424 | 24.9716 USD | ||||
| USD 0.01 common | Sale | 177,543 | 24.8500 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: | 2 Dec 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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| 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/20211202005757/en/
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