21st Jul 2021 14:15
FORM 8.3 - Amendment to 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 | |
| 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: | 19 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: | 1,883,330 | 0.32% | 183,909 | 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: | 1,908,169 | 0.33% | 1,465,507 | 0.25% | |
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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 | 6 | 22.2250 EUR |
| USD 0.01 common | Purchase | 45 | 26.0800 USD |
| USD 0.01 common | Purchase | 72 | 25.9000 USD |
| USD 0.01 common | Purchase | 100 | 26.0450 USD |
| USD 0.01 common | Purchase | 100 | 26.0100 USD |
| USD 0.01 common | Purchase | 283 | 26.0376 USD |
| USD 0.01 common | Purchase | 300 | 26.1700 USD |
| USD 0.01 common | Purchase | 400 | 26.0499 USD |
| USD 0.01 common | Purchase | 405 | 26.0424 USD |
| USD 0.01 common | Purchase | 500 | 26.0500 USD |
| USD 0.01 common | Purchase | 500 | 26.1300 USD |
| USD 0.01 common | Purchase | 550 | 26.0700 USD |
| USD 0.01 common | Purchase | 600 | 26.0433 USD |
| USD 0.01 common | Purchase | 630 | 26.0685 USD |
| USD 0.01 common | Purchase | 984 | 26.0430 USD |
| USD 0.01 common | Purchase | 1,100 | 25.9936 USD |
| USD 0.01 common | Purchase | 1,194 | 26.0478 USD |
| USD 0.01 common | Purchase | 1,598 | 25.9975 USD |
| USD 0.01 common | Purchase | 1,758 | 26.0199 USD |
| USD 0.01 common | Purchase | 2,340 | 26.0134 USD |
| USD 0.01 common | Purchase | 2,500 | 25.9998 USD |
| USD 0.01 common | Purchase | 2,744 | 25.9968 USD |
| USD 0.01 common | Purchase | 2,808 | 25.9803 USD |
| USD 0.01 common | Purchase | 2,900 | 25.9596 USD |
| USD 0.01 common | Purchase | 3,590 | 26.0455 USD |
| USD 0.01 common | Purchase | 3,722 | 25.9818 USD |
| USD 0.01 common | Purchase | 3,854 | 26.0278 USD |
| USD 0.01 common | Purchase | 3,900 | 26.0353 USD |
| USD 0.01 common | Purchase | 4,416 | 26.0063 USD |
| USD 0.01 common | Purchase | 4,501 | 26.0024 USD |
| USD 0.01 common | Purchase | 5,156 | 26.0015 USD |
| USD 0.01 common | Purchase | 5,907 | 26.0191 USD |
| USD 0.01 common | Purchase | 6,100 | 26.0231 USD |
| USD 0.01 common | Purchase | 8,411 | 25.9835 USD |
| USD 0.01 common | Purchase | 8,625 | 25.9882 USD |
| USD 0.01 common | Purchase | 15,054 | 25.9915 USD |
| USD 0.01 common | Purchase | 27,607 | 26.0002 USD |
| USD 0.01 common | Purchase | 33,900 | 26.0177 USD |
| USD 0.01 common | Purchase | 39,634 | 26.0400 USD |
| USD 0.01 common | Purchase | 42,164 | 26.0260 USD |
| USD 0.01 common | Purchase | 58,731 | 26.0399 USD |
| USD 0.01 common | Purchase | 131,184 | 26.0268 USD |
| USD 0.01 common | Sale | 3 | 25.8700 USD |
| USD 0.01 common | Sale | 4 | 25.9600 USD |
| USD 0.01 common | Sale | 6 | 22.2250 EUR |
| USD 0.01 common | Sale | 8 | 25.9150 USD |
| USD 0.01 common | Sale | 12 | 26.0033 USD |
| USD 0.01 common | Sale | 16 | 25.9737 USD |
| USD 0.01 common | Sale | 29 | 26.0855 USD |
| USD 0.01 common | Sale | 33 | 26.0263 USD |
| USD 0.01 common | Sale | 36 | 25.9688 USD |
| USD 0.01 common | Sale | 36 | 25.9344 USD |
| USD 0.01 common | Sale | 52 | 25.9753 USD |
| USD 0.01 common | Sale | 57 | 25.9817 USD |
| USD 0.01 common | Sale | 60 | 25.9700 USD |
| USD 0.01 common | Sale | 72 | 25.9000 USD |
| USD 0.01 common | Sale | 100 | 26.0200 USD |
| USD 0.01 common | Sale | 300 | 26.1700 USD |
| USD 0.01 common | Sale | 348 | 25.9612 USD |
| USD 0.01 common | Sale | 400 | 26.0887 USD |
| USD 0.01 common | Sale | 400 | 26.0050 USD |
| USD 0.01 common | Sale | 480 | 26.0029 USD |
| USD 0.01 common | Sale | 533 | 26.0408 USD |
| USD 0.01 common | Sale | 550 | 26.0700 USD |
| USD 0.01 common | Sale | 552 | 26.0580 USD |
| USD 0.01 common | Sale | 600 | 26.1300 USD |
| USD 0.01 common | Sale | 640 | 26.0244 USD |
| USD 0.01 common | Sale | 774 | 26.0647 USD |
| USD 0.01 common | Sale | 1,000 | 26.0870 USD |
| USD 0.01 common | Sale | 1,099 | 26.0435 USD |
| USD 0.01 common | Sale | 1,100 | 26.0350 USD |
| USD 0.01 common | Sale | 1,419 | 25.9171 USD |
| USD 0.01 common | Sale | 1,596 | 26.0443 USD |
| USD 0.01 common | Sale | 1,781 | 25.9572 USD |
| USD 0.01 common | Sale | 1,904 | 25.9100 USD |
| USD 0.01 common | Sale | 2,470 | 26.0420 USD |
| USD 0.01 common | Sale | 2,630 | 26.0539 USD |
| USD 0.01 common | Sale | 3,638 | 26.0067 USD |
| USD 0.01 common | Sale | 3,859 | 25.9972 USD |
| USD 0.01 common | Sale | 5,052 | 25.9739 USD |
| USD 0.01 common | Sale | 6,169 | 25.9609 USD |
| USD 0.01 common | Sale | 6,369 | 26.0089 USD |
| USD 0.01 common | Sale | 7,587 | 26.0105 USD |
| USD 0.01 common | Sale | 8,332 | 25.9968 USD |
| USD 0.01 common | Sale | 9,791 | 26.0065 USD |
| USD 0.01 common | Sale | 13,729 | 26.0080 USD |
| USD 0.01 common | Sale | 14,960 | 25.9994 USD |
| USD 0.01 common | Sale | 15,896 | 26.0148 USD |
| USD 0.01 common | Sale | 19,661 | 26.0365 USD |
| USD 0.01 common | Sale | 21,456 | 26.0230 USD |
| USD 0.01 common | Sale | 41,403 | 26.0229 USD |
| USD 0.01 common | Sale | 64,800 | 26.0168 USD |
| USD 0.01 common | Sale | 69,812 | 26.0282 USD |
| USD 0.01 common | Sale | 93,302 | 26.0400 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: | 21 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
| 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 |
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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/20210721005613/en/
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