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Form 8.3 - NORTONLIFELOCK INC

7th Jan 2022 12:34

 

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 interests and short positions disclosed, if different from 1(a):

The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.

 

(c) Name of offeror/offeree in relation to whose relevant securities this form relates:

Use a separate form for each offeror/offeree

NORTONLIFELOCK INC

(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:

For an opening position disclosure, state the latest practicable date prior to the disclosure

6 Jan 2022

(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer?

If it is a cash offer or possible cash offer, state “N/A”

YES: 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
InterestsShort Positions
Number(%)Number(%)

(1)

Relevant securities owned

 

and/or controlled:

1,356,073

0.23%

551,164

0.09%

 

(2)

Cash-settled derivatives:

 

274,830

0.05%

1,513,170

0.26%

 

(3)

Stock-settled derivatives (including options)

 

and agreements to purchase/sell:

0

0.00%

2,100

0.00%

 

(4)

TOTAL:

1,630,903

0.28%

2,066,434

0.36%

 
Class of relevant security:Convertible Bond US668771AA66
InterestsShort Positions
Number(%)Number(%)

(1)

Relevant securities owned

 

and/or controlled:

390,000

0.07%

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%

 

(4)

TOTAL:

390,000

0.07%

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 relevantPurchase/saleNumber ofPrice per unit
securitysecurities
USD 0.01 commonPurchase

33

23.1306 EUR
USD 0.01 commonPurchase

37

26.9100 USD
USD 0.01 commonPurchase

44

27.1236 USD
USD 0.01 commonPurchase

60

27.3826 USD
USD 0.01 commonPurchase

63

26.9550 USD
USD 0.01 commonPurchase

64

27.2125 USD
USD 0.01 commonPurchase

72

27.1855 USD
USD 0.01 commonPurchase

80

27.3305 USD
USD 0.01 commonPurchase

100

26.3100 USD
USD 0.01 commonPurchase

100

27.1200 USD
USD 0.01 commonPurchase

100

27.1308 USD
USD 0.01 commonPurchase

192

27.0935 USD
USD 0.01 commonPurchase

200

27.0499 USD
USD 0.01 commonPurchase

200

27.2650 USD
USD 0.01 commonPurchase

264

27.0704 USD
USD 0.01 commonPurchase

300

27.1800 USD
USD 0.01 commonPurchase

302

27.3061 USD
USD 0.01 commonPurchase

305

27.0101 USD
USD 0.01 commonPurchase

321

27.0864 USD
USD 0.01 commonPurchase

381

27.0544 USD
USD 0.01 commonPurchase

503

27.0402 USD
USD 0.01 commonPurchase

520

27.0126 USD
USD 0.01 commonPurchase

698

27.0635 USD
USD 0.01 commonPurchase

800

26.8045 USD
USD 0.01 commonPurchase

1,200

27.0274 USD
USD 0.01 commonPurchase

1,467

27.1068 USD
USD 0.01 commonPurchase

1,654

27.0666 USD
USD 0.01 commonPurchase

4,400

27.1183 USD
USD 0.01 commonPurchase

4,414

27.5767 USD
USD 0.01 commonPurchase

4,488

27.0735 USD
USD 0.01 commonPurchase

6,840

26.7345 USD
USD 0.01 commonPurchase

9,974

27.0573 USD
USD 0.01 commonPurchase

10,953

27.2538 USD
USD 0.01 commonPurchase

24,103

27.2558 USD
USD 0.01 commonPurchase

26,905

27.0284 USD
USD 0.01 commonPurchase

35,031

27.0600 USD
USD 0.01 commonPurchase

48,888

27.3384 USD
USD 0.01 commonPurchase

53,750

27.0493 USD
USD 0.01 commonPurchase

132,962

27.4432 USD
USD 0.01 commonPurchase

271,593

27.1155 USD
USD 0.01 commonSale

33

23.1306 EUR
USD 0.01 commonSale

37

26.9100 USD
USD 0.01 commonSale

37

27.0150 USD
USD 0.01 commonSale

63

26.9550 USD
USD 0.01 commonSale

100

27.2400 USD
USD 0.01 commonSale

100

27.5800 USD
USD 0.01 commonSale

108

27.1900 USD
USD 0.01 commonSale

114

27.1349 USD
USD 0.01 commonSale

129

27.1339 USD
USD 0.01 commonSale

192

27.4098 USD
USD 0.01 commonSale

200

27.0650 USD
USD 0.01 commonSale

200

27.5900 USD
USD 0.01 commonSale

202

27.4106 USD
USD 0.01 commonSale

221

27.5809 USD
USD 0.01 commonSale

300

27.1800 USD
USD 0.01 commonSale

400

27.0950 USD
USD 0.01 commonSale

444

27.1893 USD
USD 0.01 commonSale

490

27.3586 USD
USD 0.01 commonSale

729

27.3829 USD
USD 0.01 commonSale

1,058

27.5774 USD
USD 0.01 commonSale

1,100

27.5740 USD
USD 0.01 commonSale

1,108

27.3657 USD
USD 0.01 commonSale

1,459

27.0860 USD
USD 0.01 commonSale

1,481

27.3558 USD
USD 0.01 commonSale

1,735

27.5757 USD
USD 0.01 commonSale

1,942

27.4699 USD
USD 0.01 commonSale

2,751

26.9880 USD
USD 0.01 commonSale

2,913

26.8066 USD
USD 0.01 commonSale

3,007

27.3277 USD
USD 0.01 commonSale

3,200

27.0660 USD
USD 0.01 commonSale

3,269

27.1807 USD
USD 0.01 commonSale

3,978

27.3661 USD
USD 0.01 commonSale

4,071

27.0140 USD
USD 0.01 commonSale

4,772

27.0734 USD
USD 0.01 commonSale

6,261

27.3332 USD
USD 0.01 commonSale

8,039

27.2273 USD
USD 0.01 commonSale

8,157

27.0600 USD
USD 0.01 commonSale

8,687

27.1326 USD
USD 0.01 commonSale

34,828

27.0422 USD
USD 0.01 commonSale

37,295

27.1374 USD
USD 0.01 commonSale

38,169

27.3576 USD
USD 0.01 commonSale

40,277

27.3802 USD
USD 0.01 commonSale

41,735

27.3505 USD
USD 0.01 commonSale

47,784

27.2171 USD
USD 0.01 commonSale

53,398

27.0493 USD
USD 0.01 commonSale

60,029

27.2816 USD
USD 0.01 commonSale

62,843

27.4744 USD
USD 0.01 commonSale

154,882

27.0006 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:

7 Jan 2022

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

Full name of person making disclosure:

Barclays PLC.

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

NORTONLIFELOCK INC

2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

ClassProductWriting,NumberExerciseTypeExpiry
ofdescriptionpurchasing,ofpricedate
relevantselling,securitiesper unit
securityvarying etcto which
option
relates
USD 0.01 commonPut OptionsPurchased

-2,100

30.0000

American21 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/20220107005232/en/

Copyright Business Wire 2022


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