29th Nov 2021 10:22
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 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: | 24 November 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: | 1,652,266 | 0.28% | 908,365 | 0.16% | ||
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(2) | Cash-settled derivatives: |
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635,572 | 0.11% | 1,310,292 | 0.23% | |||
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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: | 2,287,838 | 0.39% | 2,220,757 | 0.38% | ||
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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: | 378,000 | 0.06% | 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: | 378,000 | 0.06% | 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 |
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Convertible Bond | Purchase | 4,000 | 125.3125 USD | ||||
Convertible Bond | Sale | 2,000 | 125.3125 USD | ||||
USD 0.01 common | Purchase | 23 | 25.2600 USD | ||||
USD 0.01 common | Purchase | 46 | 25.1875 USD | ||||
USD 0.01 common | Purchase | 46 | 25.1975 USD | ||||
USD 0.01 common | Purchase | 46 | 25.1950 USD | ||||
USD 0.01 common | Purchase | 46 | 25.1900 USD | ||||
USD 0.01 common | Purchase | 56 | 25.0150 USD | ||||
USD 0.01 common | Purchase | 56 | 24.9200 USD | ||||
USD 0.01 common | Purchase | 63 | 25.3000 USD | ||||
USD 0.01 common | Purchase | 69 | 25.2116 USD | ||||
USD 0.01 common | Purchase | 69 | 25.2333 USD | ||||
USD 0.01 common | Purchase | 100 | 25.2050 USD | ||||
USD 0.01 common | Purchase | 112 | 25.1700 USD | ||||
USD 0.01 common | Purchase | 145 | 25.2717 USD | ||||
USD 0.01 common | Purchase | 169 | 25.0402 USD | ||||
USD 0.01 common | Purchase | 177 | 24.9954 USD | ||||
USD 0.01 common | Purchase | 263 | 25.2790 USD | ||||
USD 0.01 common | Purchase | 263 | 25.2823 USD | ||||
USD 0.01 common | Purchase | 294 | 25.2363 USD | ||||
USD 0.01 common | Purchase | 326 | 25.2734 USD | ||||
USD 0.01 common | Purchase | 363 | 25.2806 USD | ||||
USD 0.01 common | Purchase | 400 | 24.9325 USD | ||||
USD 0.01 common | Purchase | 400 | 25.2837 USD | ||||
USD 0.01 common | Purchase | 600 | 25.0300 USD | ||||
USD 0.01 common | Purchase | 1,000 | 25.0180 USD | ||||
USD 0.01 common | Purchase | 1,093 | 25.2053 USD | ||||
USD 0.01 common | Purchase | 1,228 | 25.1640 USD | ||||
USD 0.01 common | Purchase | 1,301 | 25.1316 USD | ||||
USD 0.01 common | Purchase | 1,400 | 25.2850 USD | ||||
USD 0.01 common | Purchase | 1,497 | 25.1518 USD | ||||
USD 0.01 common | Purchase | 1,693 | 25.1913 USD | ||||
USD 0.01 common | Purchase | 2,632 | 25.2093 USD | ||||
USD 0.01 common | Purchase | 7,026 | 25.2000 USD | ||||
USD 0.01 common | Purchase | 7,550 | 24.8328 USD | ||||
USD 0.01 common | Purchase | 8,112 | 25.2026 USD | ||||
USD 0.01 common | Purchase | 10,340 | 25.2057 USD | ||||
USD 0.01 common | Purchase | 11,433 | 25.1998 USD | ||||
USD 0.01 common | Purchase | 19,786 | 25.0107 USD | ||||
USD 0.01 common | Purchase | 23,172 | 25.1692 USD | ||||
USD 0.01 common | Purchase | 58,854 | 25.1773 USD | ||||
USD 0.01 common | Sale | 8 | 24.8500 USD | ||||
USD 0.01 common | Sale | 29 | 25.1531 USD | ||||
USD 0.01 common | Sale | 46 | 25.1169 USD | ||||
USD 0.01 common | Sale | 56 | 25.0150 USD | ||||
USD 0.01 common | Sale | 56 | 25.1400 USD | ||||
USD 0.01 common | Sale | 56 | 24.9200 USD | ||||
USD 0.01 common | Sale | 65 | 25.1571 USD | ||||
USD 0.01 common | Sale | 68 | 25.1200 USD | ||||
USD 0.01 common | Sale | 70 | 25.1261 USD | ||||
USD 0.01 common | Sale | 84 | 25.1550 USD | ||||
USD 0.01 common | Sale | 100 | 24.8800 USD | ||||
USD 0.01 common | Sale | 100 | 24.8900 USD | ||||
USD 0.01 common | Sale | 171 | 25.2164 USD | ||||
USD 0.01 common | Sale | 200 | 24.9050 USD | ||||
USD 0.01 common | Sale | 200 | 24.8650 USD | ||||
USD 0.01 common | Sale | 201 | 25.2433 USD | ||||
USD 0.01 common | Sale | 212 | 25.2479 USD | ||||
USD 0.01 common | Sale | 259 | 25.2111 USD | ||||
USD 0.01 common | Sale | 300 | 24.8250 USD | ||||
USD 0.01 common | Sale | 300 | 24.9868 USD | ||||
USD 0.01 common | Sale | 300 | 24.8400 USD | ||||
USD 0.01 common | Sale | 382 | 25.1568 USD | ||||
USD 0.01 common | Sale | 396 | 25.2108 USD | ||||
USD 0.01 common | Sale | 500 | 25.2490 USD | ||||
USD 0.01 common | Sale | 608 | 24.9101 USD | ||||
USD 0.01 common | Sale | 960 | 25.1306 USD | ||||
USD 0.01 common | Sale | 1,314 | 25.1502 USD | ||||
USD 0.01 common | Sale | 1,342 | 25.1234 USD | ||||
USD 0.01 common | Sale | 1,447 | 24.8103 USD | ||||
USD 0.01 common | Sale | 2,584 | 25.1552 USD | ||||
USD 0.01 common | Sale | 2,805 | 25.1002 USD | ||||
USD 0.01 common | Sale | 4,043 | 25.2032 USD | ||||
USD 0.01 common | Sale | 5,303 | 24.8378 USD | ||||
USD 0.01 common | Sale | 5,934 | 25.2070 USD | ||||
USD 0.01 common | Sale | 6,601 | 25.2000 USD | ||||
USD 0.01 common | Sale | 10,313 | 25.2040 USD | ||||
USD 0.01 common | Sale | 11,626 | 25.1998 USD | ||||
USD 0.01 common | Sale | 16,310 | 25.1896 USD | ||||
USD 0.01 common | Sale | 22,918 | 25.1705 USD | ||||
USD 0.01 common | Sale | 24,346 | 25.0256 USD | ||||
USD 0.01 common | Sale | 35,665 | 25.1903 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: | 29 Nov 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 | 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/20211129005312/en/
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