23rd Jul 2021 14:48
FORM 8.3 - Amendment to Purchase & 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: | 21 July 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 |
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Interests | Short Positions | ||||
Number | (%) | Number | (%) | ||
(1) | Relevant securities owned |
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| and/or controlled: | 1,901,841 | 0.33% | 199,007 | 0.03% | |
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(2) | Cash-settled derivatives: |
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24,339 | 0.00% | 1,279,498 | 0.22% | ||
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(3) | Stock-settled derivatives (including options) |
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| and agreements to purchase/sell: | 500 | 0.00% | 2,100 | 0.00% | |
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| TOTAL: | 1,926,680 | 0.33% | 1,480,605 | 0.26% | |
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| Class of relevant security: | Convertible Bond US668771AA66 |
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Interests | Short Positions | ||||
Number | (%) | Number | (%) | ||
(1) | Relevant securities owned |
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| and/or controlled: | 129,000 | 0.02% | 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: | 129,000 | 0.02% | 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 |
| security | securities | ||
| USD 0.01 common | Purchase | 3 | 25.5400 USD |
| USD 0.01 common | Purchase | 5 | 25.6900 USD |
| USD 0.01 common | Purchase | 50 | 25.6650 USD |
| USD 0.01 common | Purchase | 66 | 25.6200 USD |
| USD 0.01 common | Purchase | 66 | 25.6300 USD |
| USD 0.01 common | Purchase | 100 | 25.6800 USD |
| USD 0.01 common | Purchase | 100 | 25.5850 USD |
| USD 0.01 common | Purchase | 100 | 25.6050 USD |
| USD 0.01 common | Purchase | 100 | 25.5950 USD |
| USD 0.01 common | Purchase | 100 | 25.5800 USD |
| USD 0.01 common | Purchase | 100 | 25.5700 USD |
| USD 0.01 common | Purchase | 300 | 25.6500 USD |
| USD 0.01 common | Purchase | 300 | 25.5883 USD |
| USD 0.01 common | Purchase | 372 | 25.5930 USD |
| USD 0.01 common | Purchase | 400 | 25.5150 USD |
| USD 0.01 common | Purchase | 423 | 25.6158 USD |
| USD 0.01 common | Purchase | 500 | 25.5200 USD |
| USD 0.01 common | Purchase | 600 | 25.5100 USD |
| USD 0.01 common | Purchase | 700 | 25.5250 USD |
| USD 0.01 common | Purchase | 831 | 25.5878 USD |
| USD 0.01 common | Purchase | 1,051 | 25.5893 USD |
| USD 0.01 common | Purchase | 1,416 | 25.6955 USD |
| USD 0.01 common | Purchase | 1,731 | 25.6016 USD |
| USD 0.01 common | Purchase | 2,333 | 25.6082 USD |
| USD 0.01 common | Purchase | 3,000 | 25.5198 USD |
| USD 0.01 common | Purchase | 3,007 | 25.6012 USD |
| USD 0.01 common | Purchase | 3,856 | 25.5900 USD |
| USD 0.01 common | Purchase | 4,541 | 25.6011 USD |
| USD 0.01 common | Purchase | 5,395 | 25.5952 USD |
| USD 0.01 common | Purchase | 5,704 | 25.5545 USD |
| USD 0.01 common | Purchase | 5,922 | 25.5541 USD |
| USD 0.01 common | Purchase | 7,654 | 25.5968 USD |
| USD 0.01 common | Purchase | 8,736 | 25.5907 USD |
| USD 0.01 common | Purchase | 9,930 | 25.6028 USD |
| USD 0.01 common | Purchase | 10,089 | 25.5934 USD |
| USD 0.01 common | Purchase | 10,331 | 25.5668 USD |
| USD 0.01 common | Purchase | 10,562 | 25.6042 USD |
| USD 0.01 common | Purchase | 12,465 | 25.5776 USD |
| USD 0.01 common | Purchase | 13,260 | 25.6197 USD |
| USD 0.01 common | Purchase | 13,963 | 25.5844 USD |
| USD 0.01 common | Purchase | 15,000 | 25.5446 USD |
| USD 0.01 common | Purchase | 17,690 | 25.6089 USD |
| USD 0.01 common | Purchase | 17,992 | 25.5904 USD |
| USD 0.01 common | Purchase | 18,162 | 25.6310 USD |
| USD 0.01 common | Purchase | 18,621 | 25.5719 USD |
| USD 0.01 common | Purchase | 21,830 | 25.5547 USD |
| USD 0.01 common | Purchase | 28,779 | 25.5897 USD |
| USD 0.01 common | Purchase | 43,073 | 25.6172 USD |
| USD 0.01 common | Purchase | 62,939 | 25.6238 USD |
| USD 0.01 common | Purchase | 89,548 | 25.5660 USD |
| USD 0.01 common | Sale | 3 | 25.5400 USD |
| USD 0.01 common | Sale | 50 | 25.6650 USD |
| USD 0.01 common | Sale | 100 | 25.6050 USD |
| USD 0.01 common | Sale | 131 | 25.5300 USD |
| USD 0.01 common | Sale | 158 | 25.4989 USD |
| USD 0.01 common | Sale | 300 | 25.5700 USD |
| USD 0.01 common | Sale | 300 | 25.6500 USD |
| USD 0.01 common | Sale | 400 | 25.5112 USD |
| USD 0.01 common | Sale | 400 | 25.5350 USD |
| USD 0.01 common | Sale | 400 | 25.5675 USD |
| USD 0.01 common | Sale | 500 | 25.5920 USD |
| USD 0.01 common | Sale | 500 | 25.5200 USD |
| USD 0.01 common | Sale | 673 | 25.5795 USD |
| USD 0.01 common | Sale | 692 | 25.5595 USD |
| USD 0.01 common | Sale | 700 | 25.5785 USD |
| USD 0.01 common | Sale | 900 | 25.5283 USD |
| USD 0.01 common | Sale | 900 | 25.5577 USD |
| USD 0.01 common | Sale | 956 | 25.6294 USD |
| USD 0.01 common | Sale | 992 | 25.5427 USD |
| USD 0.01 common | Sale | 1,100 | 25.6000 USD |
| USD 0.01 common | Sale | 1,200 | 25.5479 USD |
| USD 0.01 common | Sale | 1,208 | 25.5491 USD |
| USD 0.01 common | Sale | 1,277 | 25.5881 USD |
| USD 0.01 common | Sale | 1,416 | 25.6955 USD |
| USD 0.01 common | Sale | 1,500 | 25.5680 USD |
| USD 0.01 common | Sale | 1,800 | 25.5363 USD |
| USD 0.01 common | Sale | 2,020 | 25.5974 USD |
| USD 0.01 common | Sale | 2,194 | 25.5764 USD |
| USD 0.01 common | Sale | 2,201 | 25.5487 USD |
| USD 0.01 common | Sale | 2,722 | 25.5734 USD |
| USD 0.01 common | Sale | 2,899 | 25.5745 USD |
| USD 0.01 common | Sale | 3,042 | 25.5784 USD |
| USD 0.01 common | Sale | 3,132 | 25.5326 USD |
| USD 0.01 common | Sale | 3,388 | 25.5677 USD |
| USD 0.01 common | Sale | 3,555 | 25.5528 USD |
| USD 0.01 common | Sale | 3,723 | 25.5869 USD |
| USD 0.01 common | Sale | 4,700 | 25.5189 USD |
| USD 0.01 common | Sale | 6,832 | 25.5896 USD |
| USD 0.01 common | Sale | 7,214 | 25.5756 USD |
| USD 0.01 common | Sale | 7,654 | 25.5968 USD |
| USD 0.01 common | Sale | 8,742 | 25.5736 USD |
| USD 0.01 common | Sale | 8,795 | 25.5748 USD |
| USD 0.01 common | Sale | 10,043 | 25.5879 USD |
| USD 0.01 common | Sale | 11,398 | 25.5771 USD |
| USD 0.01 common | Sale | 11,803 | 25.5739 USD |
| USD 0.01 common | Sale | 14,084 | 25.5793 USD |
| USD 0.01 common | Sale | 19,096 | 25.5904 USD |
| USD 0.01 common | Sale | 19,718 | 25.5721 USD |
| USD 0.01 common | Sale | 20,406 | 25.5800 USD |
| USD 0.01 common | Sale | 26,404 | 25.5747 USD |
| USD 0.01 common | Sale | 32,414 | 25.5900 USD |
| USD 0.01 common | Sale | 62,939 | 25.6238 USD |
| USD 0.01 common | Sale | 154,024 | 25.5720 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 Jul 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
| Is a Supplemental Form 8 (Open Positions) attached? | YES |
| Date of disclosure: | 23 Jul 2021 |
| Contact name: | Large Holdings Regulatory Operations |
| Telephone number: | 020 3134 7213 |
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/20210723005336/en/
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