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Form 8.3 - NORTONLIFELOCK INC

4th Mar 2022 12:20

 

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

3 March 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:

1,394,967

0.24%

738,368

0.13%

 

(2)

Cash-settled derivatives:

 

230,120

0.04%

3,730,776

0.64%

 

(3)

Stock-settled derivatives (including options)

 

and agreements to purchase/sell:

0

0.00%

0

0.00%

 

(4)

TOTAL:

1,625,087

0.28%

4,469,144

0.77%

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

(1)

Relevant securities owned

 

and/or controlled:

0

0.00%

10,000

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:

0

0.00%

10,000

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
Convertible BondPurchase

20,000

144.2500 USD
Convertible BondPurchase

251,000

144.9649 USD
Convertible BondSale

15,000

144.2500 USD
Convertible BondSale

502,000

144.9649 USD
USD 0.01 commonPurchase

1

29.3900 USD
USD 0.01 commonPurchase

1

29.7200 USD
USD 0.01 commonPurchase

2

29.6250 USD
USD 0.01 commonPurchase

4

29.6900 USD
USD 0.01 commonPurchase

4

29.7425 USD
USD 0.01 commonPurchase

5

29.7300 USD
USD 0.01 commonPurchase

8

29.6693 USD
USD 0.01 commonPurchase

88

29.6450 USD
USD 0.01 commonPurchase

100

29.9400 USD
USD 0.01 commonPurchase

147

29.7706 USD
USD 0.01 commonPurchase

200

29.5400 USD
USD 0.01 commonPurchase

201

29.6600 USD
USD 0.01 commonPurchase

587

29.5110 USD
USD 0.01 commonPurchase

600

29.6500 USD
USD 0.01 commonPurchase

600

29.8083 USD
USD 0.01 commonPurchase

701

29.7160 USD
USD 0.01 commonPurchase

721

29.9378 USD
USD 0.01 commonPurchase

765

29.6620 USD
USD 0.01 commonPurchase

2,143

29.7640 USD
USD 0.01 commonPurchase

2,207

29.7696 USD
USD 0.01 commonPurchase

2,296

29.7709 USD
USD 0.01 commonPurchase

2,822

29.7086 USD
USD 0.01 commonPurchase

3,952

29.8268 USD
USD 0.01 commonPurchase

4,029

29.7852 USD
USD 0.01 commonPurchase

4,965

29.7301 USD
USD 0.01 commonPurchase

5,910

29.7599 USD
USD 0.01 commonPurchase

6,434

29.7799 USD
USD 0.01 commonPurchase

6,793

29.8351 USD
USD 0.01 commonPurchase

6,973

29.8643 USD
USD 0.01 commonPurchase

8,065

29.6981 USD
USD 0.01 commonPurchase

8,304

29.5430 USD
USD 0.01 commonPurchase

9,481

29.4719 USD
USD 0.01 commonPurchase

11,648

29.6950 USD
USD 0.01 commonPurchase

12,858

29.8712 USD
USD 0.01 commonPurchase

16,706

29.7600 USD
USD 0.01 commonPurchase

17,105

29.6948 USD
USD 0.01 commonPurchase

23,800

29.5500 USD
USD 0.01 commonPurchase

24,508

29.7739 USD
USD 0.01 commonPurchase

87,655

29.5789 USD
USD 0.01 commonPurchase

93,829

29.7692 USD
USD 0.01 commonPurchase

136,324

29.7724 USD
USD 0.01 commonPurchase

148,000

29.7875 USD
USD 0.01 commonSale

2

29.7850 USD
USD 0.01 commonSale

6

29.5833 USD
USD 0.01 commonSale

12

29.6400 USD
USD 0.01 commonSale

12

29.7300 USD
USD 0.01 commonSale

12

29.6050 USD
USD 0.01 commonSale

36

29.6433 USD
USD 0.01 commonSale

36

29.6000 USD
USD 0.01 commonSale

48

29.6225 USD
USD 0.01 commonSale

48

29.7062 USD
USD 0.01 commonSale

60

29.6060 USD
USD 0.01 commonSale

60

29.6080 USD
USD 0.01 commonSale

70

29.6454 USD
USD 0.01 commonSale

88

29.6900 USD
USD 0.01 commonSale

88

29.6450 USD
USD 0.01 commonSale

100

29.5200 USD
USD 0.01 commonSale

107

29.6440 USD
USD 0.01 commonSale

200

29.5400 USD
USD 0.01 commonSale

200

29.6700 USD
USD 0.01 commonSale

200

29.9600 USD
USD 0.01 commonSale

214

29.7541 USD
USD 0.01 commonSale

325

29.7196 USD
USD 0.01 commonSale

363

29.7059 USD
USD 0.01 commonSale

413

29.9250 USD
USD 0.01 commonSale

520

29.7108 USD
USD 0.01 commonSale

558

29.7691 USD
USD 0.01 commonSale

637

29.7680 USD
USD 0.01 commonSale

651

29.8096 USD
USD 0.01 commonSale

701

29.7160 USD
USD 0.01 commonSale

806

29.7526 USD
USD 0.01 commonSale

840

29.8004 USD
USD 0.01 commonSale

885

29.7567 USD
USD 0.01 commonSale

1,041

29.7700 USD
USD 0.01 commonSale

1,082

29.7822 USD
USD 0.01 commonSale

1,193

29.7392 USD
USD 0.01 commonSale

1,271

29.6835 USD
USD 0.01 commonSale

1,274

29.8066 USD
USD 0.01 commonSale

2,290

29.7839 USD
USD 0.01 commonSale

2,484

29.7017 USD
USD 0.01 commonSale

2,810

29.7658 USD
USD 0.01 commonSale

6,079

29.7599 USD
USD 0.01 commonSale

6,091

29.7646 USD
USD 0.01 commonSale

6,935

29.7870 USD
USD 0.01 commonSale

7,592

29.7921 USD
USD 0.01 commonSale

11,054

29.6579 USD
USD 0.01 commonSale

11,900

29.5500 USD
USD 0.01 commonSale

15,863

29.6959 USD
USD 0.01 commonSale

21,418

29.7600 USD
USD 0.01 commonSale

27,144

29.7883 USD
USD 0.01 commonSale

100,066

29.7642 USD
USD 0.01 commonSale

105,636

29.5650 USD
USD 0.01 commonSale

148,000

29.7875 USD
USD 0.01 commonSale

148,000

29.7876 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?

NO

Date of disclosure:

4 March 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.

View source version on businesswire.com: https://www.businesswire.com/news/home/20220304005236/en/

Copyright Business Wire 2022


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