22nd Sep 2021 14:35
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 |
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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: | 17 September 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: | 1,432,155 | 0.25% | 598,607 | 0.10% | ||
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(2) | Cash-settled derivatives: |
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193,930 | 0.03% | 1,028,322 | 0.18% | |||
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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: | 1,626,585 | 0.28% | 1,629,029 | 0.28% | ||
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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: | 141,000 | 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: | 141,000 | 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 |
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| securities |
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USD 0.01 common | Purchase | 3 | 25.7600 USD | ||||
USD 0.01 common | Purchase | 4 | 25.7300 USD | ||||
USD 0.01 common | Purchase | 6 | 25.7050 USD | ||||
USD 0.01 common | Purchase | 7 | 25.8700 USD | ||||
USD 0.01 common | Purchase | 7 | 25.7871 USD | ||||
USD 0.01 common | Purchase | 8 | 25.6975 USD | ||||
USD 0.01 common | Purchase | 8 | 25.7125 USD | ||||
USD 0.01 common | Purchase | 8 | 25.7200 USD | ||||
USD 0.01 common | Purchase | 9 | 25.7777 USD | ||||
USD 0.01 common | Purchase | 10 | 25.7315 USD | ||||
USD 0.01 common | Purchase | 11 | 25.7672 USD | ||||
USD 0.01 common | Purchase | 24 | 25.7550 USD | ||||
USD 0.01 common | Purchase | 25 | 25.7034 USD | ||||
USD 0.01 common | Purchase | 26 | 25.7700 USD | ||||
USD 0.01 common | Purchase | 28 | 25.7378 USD | ||||
USD 0.01 common | Purchase | 30 | 25.7100 USD | ||||
USD 0.01 common | Purchase | 30 | 25.7635 USD | ||||
USD 0.01 common | Purchase | 36 | 25.7455 USD | ||||
USD 0.01 common | Purchase | 42 | 25.7128 USD | ||||
USD 0.01 common | Purchase | 43 | 25.7444 USD | ||||
USD 0.01 common | Purchase | 46 | 25.7450 USD | ||||
USD 0.01 common | Purchase | 48 | 25.7704 USD | ||||
USD 0.01 common | Purchase | 54 | 25.7416 USD | ||||
USD 0.01 common | Purchase | 63 | 25.8800 USD | ||||
USD 0.01 common | Purchase | 100 | 25.7800 USD | ||||
USD 0.01 common | Purchase | 154 | 22.0500 EUR | ||||
USD 0.01 common | Purchase | 234 | 25.7475 USD | ||||
USD 0.01 common | Purchase | 368 | 25.7275 USD | ||||
USD 0.01 common | Purchase | 400 | 25.7537 USD | ||||
USD 0.01 common | Purchase | 498 | 25.7131 USD | ||||
USD 0.01 common | Purchase | 500 | 25.7020 USD | ||||
USD 0.01 common | Purchase | 569 | 25.6986 USD | ||||
USD 0.01 common | Purchase | 602 | 25.7000 USD | ||||
USD 0.01 common | Purchase | 617 | 25.7002 USD | ||||
USD 0.01 common | Purchase | 650 | 25.7905 USD | ||||
USD 0.01 common | Purchase | 775 | 25.6951 USD | ||||
USD 0.01 common | Purchase | 937 | 25.7435 USD | ||||
USD 0.01 common | Purchase | 1,200 | 25.7183 USD | ||||
USD 0.01 common | Purchase | 1,984 | 25.8203 USD | ||||
USD 0.01 common | Purchase | 2,712 | 25.7103 USD | ||||
USD 0.01 common | Purchase | 2,740 | 25.7596 USD | ||||
USD 0.01 common | Purchase | 6,889 | 25.7247 USD | ||||
USD 0.01 common | Purchase | 21,129 | 25.7587 USD | ||||
USD 0.01 common | Purchase | 22,629 | 25.7607 USD | ||||
USD 0.01 common | Purchase | 24,526 | 25.6941 USD | ||||
USD 0.01 common | Purchase | 31,992 | 25.7161 USD | ||||
USD 0.01 common | Purchase | 68,186 | 25.6897 USD | ||||
USD 0.01 common | Purchase | 69,871 | 25.6900 USD | ||||
USD 0.01 common | Purchase | 89,714 | 25.6911 USD | ||||
USD 0.01 common | Purchase | 99,562 | 25.6945 USD | ||||
USD 0.01 common | Purchase | 114,066 | 25.7217 USD | ||||
USD 0.01 common | Sale | 4 | 25.6975 USD | ||||
USD 0.01 common | Sale | 4 | 25.7525 USD | ||||
USD 0.01 common | Sale | 5 | 25.7550 USD | ||||
USD 0.01 common | Sale | 6 | 25.7466 USD | ||||
USD 0.01 common | Sale | 6 | 25.7800 USD | ||||
USD 0.01 common | Sale | 8 | 25.7025 USD | ||||
USD 0.01 common | Sale | 8 | 25.7400 USD | ||||
USD 0.01 common | Sale | 8 | 25.7050 USD | ||||
USD 0.01 common | Sale | 8 | 25.7700 USD | ||||
USD 0.01 common | Sale | 9 | 25.7600 USD | ||||
USD 0.01 common | Sale | 10 | 25.7060 USD | ||||
USD 0.01 common | Sale | 14 | 25.7485 USD | ||||
USD 0.01 common | Sale | 100 | 25.6700 USD | ||||
USD 0.01 common | Sale | 134 | 25.6800 USD | ||||
USD 0.01 common | Sale | 154 | 22.0500 EUR | ||||
USD 0.01 common | Sale | 196 | 25.7809 USD | ||||
USD 0.01 common | Sale | 200 | 25.8000 USD | ||||
USD 0.01 common | Sale | 200 | 25.7200 USD | ||||
USD 0.01 common | Sale | 202 | 25.7000 USD | ||||
USD 0.01 common | Sale | 202 | 25.7900 USD | ||||
USD 0.01 common | Sale | 261 | 25.7493 USD | ||||
USD 0.01 common | Sale | 366 | 25.6827 USD | ||||
USD 0.01 common | Sale | 440 | 25.7304 USD | ||||
USD 0.01 common | Sale | 516 | 25.6935 USD | ||||
USD 0.01 common | Sale | 599 | 25.8115 USD | ||||
USD 0.01 common | Sale | 800 | 25.7599 USD | ||||
USD 0.01 common | Sale | 1,645 | 25.7684 USD | ||||
USD 0.01 common | Sale | 1,984 | 25.8203 USD | ||||
USD 0.01 common | Sale | 2,589 | 25.7237 USD | ||||
USD 0.01 common | Sale | 3,148 | 25.8093 USD | ||||
USD 0.01 common | Sale | 8,089 | 25.7238 USD | ||||
USD 0.01 common | Sale | 20,112 | 25.6934 USD | ||||
USD 0.01 common | Sale | 20,335 | 25.6910 USD | ||||
USD 0.01 common | Sale | 21,429 | 25.7596 USD | ||||
USD 0.01 common | Sale | 23,714 | 25.7595 USD | ||||
USD 0.01 common | Sale | 31,132 | 25.6954 USD | ||||
USD 0.01 common | Sale | 35,895 | 25.7139 USD | ||||
USD 0.01 common | Sale | 41,217 | 25.6901 USD | ||||
USD 0.01 common | Sale | 60,191 | 25.6900 USD | ||||
USD 0.01 common | Sale | 67,386 | 25.6896 USD | ||||
USD 0.01 common | Sale | 99,562 | 25.6945 USD | ||||
USD 0.01 common | Sale | 110,110 | 25.7186 USD | ||||
NB: The below transactions which were previously disclosed have been cancelled | |||||||
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 | 4,186 | 25.6900 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: | 22 Sep 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 |
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| selling, | securities | per unit |
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security |
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| 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/20210922005653/en/
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