18th Nov 2021 11:21
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 | ||||||
| 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: | 17 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 | |||||
| Interests | Short Positions | |||||
| Number | (%) | Number | (%) | |||
(1) | Relevant securities owned |
|
|
|
| |
| and/or controlled: | 1,635,231 | 0.28% | 793,447 | 0.14% | ||
|
|
|
| |||
(2) | Cash-settled derivatives: |
|
|
|
| |
577,577 | 0.10% | 1,308,983 | 0.23% | |||
|
|
|
| |||
(3) | Stock-settled derivatives (including options) |
|
|
|
| |
| and agreements to purchase/sell: | 500 | 0.00% | 2,100 | 0.00% | ||
|
|
|
| |||
|
|
|
| |||
| TOTAL: | 2,213,308 | 0.38% | 2,104,530 | 0.36% | ||
|
|
|
| |||
| Class of relevant security: | Convertible Bond US668771AA66 | |||||
| Interests | Short Positions | |||||
| Number | (%) | Number | (%) | |||
(1) | Relevant securities owned |
|
|
|
| |
| and/or controlled: | 376,000 | 0.06% | 0 | 0.00% | ||
|
|
|
| |||
(2) | Cash-settled derivatives: |
|
|
|
| |
0 | 0.00% | 0 | 0.00% | |||
|
|
|
| |||
(3) | Stock-settled derivatives (including options) |
|
|
|
| |
| and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | ||
|
|
|
| |||
|
|
|
| |||
| TOTAL: | 376,000 | 0.06% | 0 | 0.00% | ||
|
|
|
| |||
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: |
|
Details, including nature of the rights concerned and relevant percentages: |
|
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 | 9 | 22.3600 EUR | ||||
USD 0.01 common | Purchase | 32 | 24.9762 USD | ||||
USD 0.01 common | Purchase | 34 | 25.0235 USD | ||||
USD 0.01 common | Purchase | 38 | 24.9647 USD | ||||
USD 0.01 common | Purchase | 39 | 25.0200 USD | ||||
USD 0.01 common | Purchase | 40 | 25.0040 USD | ||||
USD 0.01 common | Purchase | 51 | 25.0578 USD | ||||
USD 0.01 common | Purchase | 58 | 25.0600 USD | ||||
USD 0.01 common | Purchase | 72 | 25.0444 USD | ||||
USD 0.01 common | Purchase | 74 | 25.0378 USD | ||||
USD 0.01 common | Purchase | 104 | 25.0084 USD | ||||
USD 0.01 common | Purchase | 105 | 25.0309 USD | ||||
USD 0.01 common | Purchase | 110 | 25.0267 USD | ||||
USD 0.01 common | Purchase | 115 | 24.9900 USD | ||||
USD 0.01 common | Purchase | 118 | 25.0211 USD | ||||
USD 0.01 common | Purchase | 118 | 25.0048 USD | ||||
USD 0.01 common | Purchase | 200 | 25.0025 USD | ||||
USD 0.01 common | Purchase | 240 | 22.1600 EUR | ||||
USD 0.01 common | Purchase | 300 | 25.0500 USD | ||||
USD 0.01 common | Purchase | 600 | 24.9550 USD | ||||
USD 0.01 common | Purchase | 1,000 | 25.0390 USD | ||||
USD 0.01 common | Purchase | 1,081 | 24.9789 USD | ||||
USD 0.01 common | Purchase | 1,230 | 25.1000 USD | ||||
USD 0.01 common | Purchase | 1,341 | 25.0154 USD | ||||
USD 0.01 common | Purchase | 1,681 | 24.9583 USD | ||||
USD 0.01 common | Purchase | 3,422 | 25.2000 USD | ||||
USD 0.01 common | Purchase | 4,048 | 24.9869 USD | ||||
USD 0.01 common | Purchase | 4,800 | 25.0229 USD | ||||
USD 0.01 common | Purchase | 5,041 | 25.0014 USD | ||||
USD 0.01 common | Purchase | 10,451 | 25.0670 USD | ||||
USD 0.01 common | Purchase | 12,113 | 25.0263 USD | ||||
USD 0.01 common | Purchase | 22,288 | 25.1913 USD | ||||
USD 0.01 common | Purchase | 50,197 | 24.9500 USD | ||||
USD 0.01 common | Purchase | 52,757 | 25.0244 USD | ||||
USD 0.01 common | Purchase | 161,854 | 24.9503 USD | ||||
USD 0.01 common | Sale | 2 | 25.0500 USD | ||||
USD 0.01 common | Sale | 3 | 24.9850 USD | ||||
USD 0.01 common | Sale | 3 | 25.1400 USD | ||||
USD 0.01 common | Sale | 3 | 25.3333 USD | ||||
USD 0.01 common | Sale | 4 | 25.3350 USD | ||||
USD 0.01 common | Sale | 9 | 22.3600 EUR | ||||
USD 0.01 common | Sale | 15 | 24.9900 USD | ||||
USD 0.01 common | Sale | 23 | 24.9745 USD | ||||
USD 0.01 common | Sale | 24 | 24.9700 USD | ||||
USD 0.01 common | Sale | 27 | 24.9450 USD | ||||
USD 0.01 common | Sale | 27 | 24.9961 USD | ||||
USD 0.01 common | Sale | 40 | 24.9875 USD | ||||
USD 0.01 common | Sale | 45 | 24.9893 USD | ||||
USD 0.01 common | Sale | 47 | 25.0244 USD | ||||
USD 0.01 common | Sale | 47 | 24.9887 USD | ||||
USD 0.01 common | Sale | 76 | 24.9525 USD | ||||
USD 0.01 common | Sale | 76 | 24.9975 USD | ||||
USD 0.01 common | Sale | 76 | 24.9950 USD | ||||
USD 0.01 common | Sale | 112 | 25.1685 USD | ||||
USD 0.01 common | Sale | 114 | 24.9600 USD | ||||
USD 0.01 common | Sale | 114 | 24.9800 USD | ||||
USD 0.01 common | Sale | 115 | 24.9648 USD | ||||
USD 0.01 common | Sale | 116 | 25.0600 USD | ||||
USD 0.01 common | Sale | 240 | 22.1600 EUR | ||||
USD 0.01 common | Sale | 328 | 25.2317 USD | ||||
USD 0.01 common | Sale | 388 | 25.0100 USD | ||||
USD 0.01 common | Sale | 403 | 25.0893 USD | ||||
USD 0.01 common | Sale | 448 | 25.2647 USD | ||||
USD 0.01 common | Sale | 797 | 25.2774 USD | ||||
USD 0.01 common | Sale | 938 | 25.0000 USD | ||||
USD 0.01 common | Sale | 1,000 | 25.0390 USD | ||||
USD 0.01 common | Sale | 1,230 | 25.1000 USD | ||||
USD 0.01 common | Sale | 1,300 | 25.0276 USD | ||||
USD 0.01 common | Sale | 2,287 | 25.0052 USD | ||||
USD 0.01 common | Sale | 2,412 | 25.0191 USD | ||||
USD 0.01 common | Sale | 2,750 | 25.0221 USD | ||||
USD 0.01 common | Sale | 3,576 | 25.2000 USD | ||||
USD 0.01 common | Sale | 3,984 | 25.0077 USD | ||||
USD 0.01 common | Sale | 4,213 | 25.0607 USD | ||||
USD 0.01 common | Sale | 4,332 | 25.1197 USD | ||||
USD 0.01 common | Sale | 5,199 | 25.0137 USD | ||||
USD 0.01 common | Sale | 6,345 | 24.9500 USD | ||||
USD 0.01 common | Sale | 7,893 | 25.0079 USD | ||||
USD 0.01 common | Sale | 8,689 | 25.0085 USD | ||||
USD 0.01 common | Sale | 9,465 | 25.0050 USD | ||||
USD 0.01 common | Sale | 9,585 | 25.0217 USD | ||||
USD 0.01 common | Sale | 14,069 | 25.0179 USD | ||||
USD 0.01 common | Sale | 20,750 | 25.1841 USD | ||||
USD 0.01 common | Sale | 44,273 | 24.9501 USD | ||||
USD 0.01 common | Sale | 63,508 | 25.0205 USD | ||||
USD 0.01 common | Sale | 162,772 | 24.9506 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 |
|
|
|
|
|
(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 |
|
|
|
|
|
|
|
|
(ii) Exercise
Class of relevant security | Product description e.g. call option | Exercising/ exercised against | Number of securities | Exercise price per unit |
|
|
|
|
|
(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) |
|
|
|
|
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
|
(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
|
(c) Attachments
| Is a Supplemental Form 8 (Open Positions) attached? | YES | ||||||
| Date of disclosure: | 18 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 | 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: |
|
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/20211118005695/en/
Copyright Business Wire 2021
Related Shares:
Barclays