6th Aug 2021 13:01
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: | 05 August 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: | 2,013,626 | 0.35% | 290,312 | 0.05% | |
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(2) | Cash-settled derivatives: |
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83,335 | 0.01% | 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: | 2,097,461 | 0.36% | 1,571,910 | 0.27% | |
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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: | 128,000 | 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: | 128,000 | 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 | 1 | 23.9300 USD |
| USD 0.01 common | Purchase | 22 | 24.0300 USD |
| USD 0.01 common | Purchase | 34 | 23.9741 USD |
| USD 0.01 common | Purchase | 38 | 23.8950 USD |
| USD 0.01 common | Purchase | 48 | 23.9456 USD |
| USD 0.01 common | Purchase | 62 | 23.8900 USD |
| USD 0.01 common | Purchase | 100 | 23.9050 USD |
| USD 0.01 common | Purchase | 100 | 23.9850 USD |
| USD 0.01 common | Purchase | 100 | 24.1000 USD |
| USD 0.01 common | Purchase | 100 | 23.9500 USD |
| USD 0.01 common | Purchase | 107 | 23.9463 USD |
| USD 0.01 common | Purchase | 120 | 24.0050 USD |
| USD 0.01 common | Purchase | 200 | 23.9800 USD |
| USD 0.01 common | Purchase | 259 | 23.9291 USD |
| USD 0.01 common | Purchase | 260 | 23.8975 USD |
| USD 0.01 common | Purchase | 287 | 24.0007 USD |
| USD 0.01 common | Purchase | 300 | 24.2700 USD |
| USD 0.01 common | Purchase | 300 | 23.8933 USD |
| USD 0.01 common | Purchase | 300 | 24.0550 USD |
| USD 0.01 common | Purchase | 398 | 23.9023 USD |
| USD 0.01 common | Purchase | 447 | 23.9498 USD |
| USD 0.01 common | Purchase | 500 | 23.8980 USD |
| USD 0.01 common | Purchase | 523 | 23.8533 USD |
| USD 0.01 common | Purchase | 672 | 23.9365 USD |
| USD 0.01 common | Purchase | 722 | 23.9187 USD |
| USD 0.01 common | Purchase | 736 | 24.0260 USD |
| USD 0.01 common | Purchase | 831 | 23.9301 USD |
| USD 0.01 common | Purchase | 900 | 23.8988 USD |
| USD 0.01 common | Purchase | 901 | 24.0187 USD |
| USD 0.01 common | Purchase | 930 | 23.8832 USD |
| USD 0.01 common | Purchase | 943 | 23.9163 USD |
| USD 0.01 common | Purchase | 1,257 | 23.9000 USD |
| USD 0.01 common | Purchase | 1,794 | 23.9622 USD |
| USD 0.01 common | Purchase | 1,799 | 23.9539 USD |
| USD 0.01 common | Purchase | 3,290 | 23.7950 USD |
| USD 0.01 common | Purchase | 3,436 | 23.9924 USD |
| USD 0.01 common | Purchase | 6,197 | 23.9075 USD |
| USD 0.01 common | Purchase | 6,208 | 23.9405 USD |
| USD 0.01 common | Purchase | 6,485 | 23.7966 USD |
| USD 0.01 common | Purchase | 6,627 | 23.9657 USD |
| USD 0.01 common | Purchase | 7,558 | 23.9221 USD |
| USD 0.01 common | Purchase | 8,091 | 24.1853 USD |
| USD 0.01 common | Purchase | 9,853 | 23.9659 USD |
| USD 0.01 common | Purchase | 11,379 | 23.9315 USD |
| USD 0.01 common | Purchase | 11,684 | 23.7998 USD |
| USD 0.01 common | Purchase | 15,587 | 23.9419 USD |
| USD 0.01 common | Purchase | 18,056 | 23.9887 USD |
| USD 0.01 common | Purchase | 18,626 | 23.9370 USD |
| USD 0.01 common | Purchase | 22,821 | 23.9100 USD |
| USD 0.01 common | Purchase | 25,249 | 23.9205 USD |
| USD 0.01 common | Purchase | 25,463 | 23.9777 USD |
| USD 0.01 common | Purchase | 32,952 | 23.9164 USD |
| USD 0.01 common | Purchase | 38,926 | 23.9166 USD |
| USD 0.01 common | Purchase | 43,138 | 23.9344 USD |
| USD 0.01 common | Purchase | 59,394 | 23.9900 USD |
| USD 0.01 common | Purchase | 93,686 | 23.9278 USD |
| USD 0.01 common | Purchase | 112,908 | 23.8959 USD |
| USD 0.01 common | Purchase | 237,971 | 23.9768 USD |
| USD 0.01 common | Purchase | 478,541 | 23.8000 USD |
| USD 0.01 common | Sale | 100 | 23.9500 USD |
| USD 0.01 common | Sale | 129 | 23.8287 USD |
| USD 0.01 common | Sale | 193 | 23.8570 USD |
| USD 0.01 common | Sale | 271 | 23.8537 USD |
| USD 0.01 common | Sale | 286 | 23.8470 USD |
| USD 0.01 common | Sale | 300 | 24.2700 USD |
| USD 0.01 common | Sale | 328 | 23.7445 USD |
| USD 0.01 common | Sale | 412 | 23.9012 USD |
| USD 0.01 common | Sale | 522 | 24.0424 USD |
| USD 0.01 common | Sale | 600 | 23.9100 USD |
| USD 0.01 common | Sale | 640 | 23.8914 USD |
| USD 0.01 common | Sale | 709 | 24.2897 USD |
| USD 0.01 common | Sale | 959 | 23.9478 USD |
| USD 0.01 common | Sale | 1,053 | 23.8397 USD |
| USD 0.01 common | Sale | 1,100 | 24.3100 USD |
| USD 0.01 common | Sale | 1,118 | 23.9723 USD |
| USD 0.01 common | Sale | 1,160 | 23.8740 USD |
| USD 0.01 common | Sale | 1,239 | 24.0023 USD |
| USD 0.01 common | Sale | 1,300 | 23.9522 USD |
| USD 0.01 common | Sale | 1,391 | 23.8863 USD |
| USD 0.01 common | Sale | 1,405 | 23.9085 USD |
| USD 0.01 common | Sale | 2,200 | 23.9190 USD |
| USD 0.01 common | Sale | 2,900 | 23.9451 USD |
| USD 0.01 common | Sale | 3,365 | 24.0295 USD |
| USD 0.01 common | Sale | 4,042 | 23.9922 USD |
| USD 0.01 common | Sale | 6,742 | 24.2124 USD |
| USD 0.01 common | Sale | 7,427 | 23.9063 USD |
| USD 0.01 common | Sale | 7,827 | 23.9180 USD |
| USD 0.01 common | Sale | 8,356 | 23.9411 USD |
| USD 0.01 common | Sale | 12,793 | 23.9151 USD |
| USD 0.01 common | Sale | 17,121 | 23.9029 USD |
| USD 0.01 common | Sale | 17,466 | 23.9412 USD |
| USD 0.01 common | Sale | 18,056 | 23.9887 USD |
| USD 0.01 common | Sale | 21,873 | 23.9246 USD |
| USD 0.01 common | Sale | 22,203 | 23.9024 USD |
| USD 0.01 common | Sale | 28,942 | 23.9909 USD |
| USD 0.01 common | Sale | 34,184 | 23.9132 USD |
| USD 0.01 common | Sale | 48,507 | 23.9900 USD |
| USD 0.01 common | Sale | 75,348 | 23.9332 USD |
| USD 0.01 common | Sale | 466,750 | 23.8000 USD |
| USD 0.01 common | Sale | 500,000 | 23.7999 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: | 6 Aug 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/20210806005284/en/
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