5th Aug 2021 12:08
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: | 04 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: | 2,050,773 | 0.35% | 296,624 | 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: | 2,134,608 | 0.37% | 1,578,222 | 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 | 24.2300 USD |
| USD 0.01 common | Purchase | 57 | 24.2092 USD |
| USD 0.01 common | Purchase | 74 | 24.1601 USD |
| USD 0.01 common | Purchase | 82 | 24.1859 USD |
| USD 0.01 common | Purchase | 83 | 24.1774 USD |
| USD 0.01 common | Purchase | 100 | 24.1500 USD |
| USD 0.01 common | Purchase | 101 | 24.1797 USD |
| USD 0.01 common | Purchase | 104 | 24.1816 USD |
| USD 0.01 common | Purchase | 110 | 24.1812 USD |
| USD 0.01 common | Purchase | 117 | 24.1900 USD |
| USD 0.01 common | Purchase | 126 | 24.2103 USD |
| USD 0.01 common | Purchase | 127 | 24.2207 USD |
| USD 0.01 common | Purchase | 155 | 24.2090 USD |
| USD 0.01 common | Purchase | 194 | 24.1300 USD |
| USD 0.01 common | Purchase | 200 | 24.1700 USD |
| USD 0.01 common | Purchase | 200 | 24.2000 USD |
| USD 0.01 common | Purchase | 207 | 24.2236 USD |
| USD 0.01 common | Purchase | 237 | 24.1384 USD |
| USD 0.01 common | Purchase | 400 | 24.1375 USD |
| USD 0.01 common | Purchase | 900 | 24.1177 USD |
| USD 0.01 common | Purchase | 920 | 24.1400 USD |
| USD 0.01 common | Purchase | 1,154 | 24.1386 USD |
| USD 0.01 common | Purchase | 1,550 | 24.2946 USD |
| USD 0.01 common | Purchase | 1,600 | 24.1968 USD |
| USD 0.01 common | Purchase | 1,671 | 24.1372 USD |
| USD 0.01 common | Purchase | 1,799 | 24.1979 USD |
| USD 0.01 common | Purchase | 2,073 | 24.2134 USD |
| USD 0.01 common | Purchase | 2,190 | 24.2192 USD |
| USD 0.01 common | Purchase | 2,538 | 24.1394 USD |
| USD 0.01 common | Purchase | 2,790 | 24.2171 USD |
| USD 0.01 common | Purchase | 3,074 | 24.2050 USD |
| USD 0.01 common | Purchase | 6,614 | 24.1980 USD |
| USD 0.01 common | Purchase | 7,415 | 24.1346 USD |
| USD 0.01 common | Purchase | 8,971 | 24.1895 USD |
| USD 0.01 common | Purchase | 20,600 | 24.4421 USD |
| USD 0.01 common | Purchase | 22,834 | 24.1899 USD |
| USD 0.01 common | Purchase | 28,979 | 24.1508 USD |
| USD 0.01 common | Purchase | 33,079 | 24.1716 USD |
| USD 0.01 common | Purchase | 35,857 | 24.1599 USD |
| USD 0.01 common | Purchase | 47,259 | 24.2200 USD |
| USD 0.01 common | Purchase | 64,155 | 24.2331 USD |
| USD 0.01 common | Purchase | 79,658 | 24.2241 USD |
| USD 0.01 common | Purchase | 89,795 | 24.1705 USD |
| USD 0.01 common | Purchase | 450,000 | 24.3322 USD |
| USD 0.01 common | Purchase | 509,754 | 24.3195 USD |
| USD 0.01 common | Sale | 78 | 24.1983 USD |
| USD 0.01 common | Sale | 89 | 24.2687 USD |
| USD 0.01 common | Sale | 100 | 24.1600 USD |
| USD 0.01 common | Sale | 100 | 24.4200 USD |
| USD 0.01 common | Sale | 100 | 24.2500 USD |
| USD 0.01 common | Sale | 105 | 24.1843 USD |
| USD 0.01 common | Sale | 107 | 24.5000 USD |
| USD 0.01 common | Sale | 164 | 24.0960 USD |
| USD 0.01 common | Sale | 195 | 24.1760 USD |
| USD 0.01 common | Sale | 200 | 24.2000 USD |
| USD 0.01 common | Sale | 200 | 24.1900 USD |
| USD 0.01 common | Sale | 200 | 24.3800 USD |
| USD 0.01 common | Sale | 208 | 24.1643 USD |
| USD 0.01 common | Sale | 247 | 24.2026 USD |
| USD 0.01 common | Sale | 288 | 24.4005 USD |
| USD 0.01 common | Sale | 299 | 24.1917 USD |
| USD 0.01 common | Sale | 300 | 24.3933 USD |
| USD 0.01 common | Sale | 300 | 24.1216 USD |
| USD 0.01 common | Sale | 300 | 24.1500 USD |
| USD 0.01 common | Sale | 301 | 24.4900 USD |
| USD 0.01 common | Sale | 338 | 24.2111 USD |
| USD 0.01 common | Sale | 494 | 24.1863 USD |
| USD 0.01 common | Sale | 529 | 24.2327 USD |
| USD 0.01 common | Sale | 600 | 24.3150 USD |
| USD 0.01 common | Sale | 600 | 24.1308 USD |
| USD 0.01 common | Sale | 800 | 24.1200 USD |
| USD 0.01 common | Sale | 900 | 24.1544 USD |
| USD 0.01 common | Sale | 1,211 | 24.1680 USD |
| USD 0.01 common | Sale | 1,296 | 24.2214 USD |
| USD 0.01 common | Sale | 1,300 | 24.2353 USD |
| USD 0.01 common | Sale | 1,350 | 24.2820 USD |
| USD 0.01 common | Sale | 1,394 | 24.1180 USD |
| USD 0.01 common | Sale | 1,398 | 24.4503 USD |
| USD 0.01 common | Sale | 1,400 | 24.4021 USD |
| USD 0.01 common | Sale | 1,422 | 24.2317 USD |
| USD 0.01 common | Sale | 1,529 | 24.2332 USD |
| USD 0.01 common | Sale | 1,749 | 24.1052 USD |
| USD 0.01 common | Sale | 1,836 | 24.2016 USD |
| USD 0.01 common | Sale | 1,900 | 24.2271 USD |
| USD 0.01 common | Sale | 2,038 | 24.2180 USD |
| USD 0.01 common | Sale | 2,198 | 24.3228 USD |
| USD 0.01 common | Sale | 2,200 | 24.2238 USD |
| USD 0.01 common | Sale | 2,200 | 24.3236 USD |
| USD 0.01 common | Sale | 2,669 | 24.2245 USD |
| USD 0.01 common | Sale | 2,672 | 24.2084 USD |
| USD 0.01 common | Sale | 2,783 | 24.2164 USD |
| USD 0.01 common | Sale | 2,900 | 24.2170 USD |
| USD 0.01 common | Sale | 3,857 | 24.2222 USD |
| USD 0.01 common | Sale | 3,876 | 24.1060 USD |
| USD 0.01 common | Sale | 4,029 | 24.2435 USD |
| USD 0.01 common | Sale | 4,166 | 24.4501 USD |
| USD 0.01 common | Sale | 4,572 | 24.0838 USD |
| USD 0.01 common | Sale | 4,668 | 24.1373 USD |
| USD 0.01 common | Sale | 5,088 | 24.1647 USD |
| USD 0.01 common | Sale | 5,100 | 24.2232 USD |
| USD 0.01 common | Sale | 5,441 | 24.1333 USD |
| USD 0.01 common | Sale | 6,614 | 24.1980 USD |
| USD 0.01 common | Sale | 7,163 | 24.3359 USD |
| USD 0.01 common | Sale | 10,300 | 24.4421 USD |
| USD 0.01 common | Sale | 10,445 | 24.2363 USD |
| USD 0.01 common | Sale | 11,479 | 24.2192 USD |
| USD 0.01 common | Sale | 11,638 | 24.3974 USD |
| USD 0.01 common | Sale | 13,174 | 24.2365 USD |
| USD 0.01 common | Sale | 14,438 | 24.1546 USD |
| USD 0.01 common | Sale | 19,900 | 24.1462 USD |
| USD 0.01 common | Sale | 29,440 | 24.2200 USD |
| USD 0.01 common | Sale | 31,948 | 24.2184 USD |
| USD 0.01 common | Sale | 36,638 | 24.2225 USD |
| USD 0.01 common | Sale | 43,065 | 24.1628 USD |
| USD 0.01 common | Sale | 52,547 | 24.1681 USD |
| USD 0.01 common | Sale | 56,066 | 24.2239 USD |
| USD 0.01 common | Sale | 72,099 | 24.1846 USD |
| USD 0.01 common | Sale | 82,465 | 24.1796 USD |
| USD 0.01 common | Sale | 94,458 | 24.2234 USD |
| USD 0.01 common | Sale | 100,800 | 24.2218 USD |
| USD 0.01 common | Sale | 195,945 | 24.1313 USD |
| USD 0.01 common | Sale | 450,000 | 24.3322 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: | 5 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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| option | |||
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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/20210805005579/en/
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