19th Aug 2022 12:33
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: | 18 Aug 2022 | |||||
(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 | ||||||
(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: | 1,281,042 | 0.22% | 1,413,958 | 0.25% | |||
(2) | Cash-settled derivatives: | ||||||
and/or controlled: | 1,606,373 | 0.28% | 3,757,122 | 0.66% | |||
(3) | Stock-settled derivatives (including options) | ||||||
and agreements to purchase/sell: | 73,200 | 0.01% | 150,000 | 0.03% | |||
TOTAL: | 2,960,615 | 0.52% | 5,321,080 | 0.93% | |||
(b) | Rights to subscribe for new securities (including directors and other executive | ||||||
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 EXEMPT PRINCIPAL TRADER | ||||||
(a) | Purchases and sales | ||||||
Class of relevant | Purchase/sale | Number of | Price per unit | ||||
security | securities | ||||||
USD 0.01 common | Purchase | 78 | 23.7656 USD | ||||
USD 0.01 common | Purchase | 100 | 23.9400 USD | ||||
USD 0.01 common | Purchase | 100 | 23.9600 USD | ||||
USD 0.01 common | Purchase | 100 | 23.9550 USD | ||||
USD 0.01 common | Purchase | 200 | 23.8500 USD | ||||
USD 0.01 common | Purchase | 200 | 23.9450 USD | ||||
USD 0.01 common | Purchase | 200 | 23.9375 USD | ||||
USD 0.01 common | Purchase | 277 | 23.7722 USD | ||||
USD 0.01 common | Purchase | 300 | 23.7433 USD | ||||
USD 0.01 common | Purchase | 300 | 23.7733 USD | ||||
USD 0.01 common | Purchase | 500 | 23.7960 USD | ||||
USD 0.01 common | Purchase | 509 | 23.9500 USD | ||||
USD 0.01 common | Purchase | 571 | 23.9396 USD | ||||
USD 0.01 common | Purchase | 1,000 | 23.9560 USD | ||||
USD 0.01 common | Purchase | 1,191 | 23.8257 USD | ||||
USD 0.01 common | Purchase | 1,415 | 23.9315 USD | ||||
USD 0.01 common | Purchase | 3,016 | 23.8445 USD | ||||
USD 0.01 common | Purchase | 3,200 | 23.9613 USD | ||||
USD 0.01 common | Purchase | 3,400 | 23.7500 USD | ||||
USD 0.01 common | Purchase | 3,614 | 23.7700 USD | ||||
USD 0.01 common | Purchase | 3,794 | 23.7768 USD | ||||
USD 0.01 common | Purchase | 4,055 | 23.8135 USD | ||||
USD 0.01 common | Purchase | 4,164 | 23.9576 USD | ||||
USD 0.01 common | Purchase | 5,174 | 23.7917 USD | ||||
USD 0.01 common | Purchase | 5,400 | 23.8742 USD | ||||
USD 0.01 common | Purchase | 5,513 | 23.8987 USD | ||||
USD 0.01 common | Purchase | 5,881 | 23.7758 USD | ||||
USD 0.01 common | Purchase | 6,650 | 23.8641 USD | ||||
USD 0.01 common | Purchase | 6,881 | 23.7913 USD | ||||
USD 0.01 common | Purchase | 14,590 | 23.8377 USD | ||||
USD 0.01 common | Purchase | 16,700 | 23.9013 USD | ||||
USD 0.01 common | Purchase | 25,690 | 23.8111 USD | ||||
USD 0.01 common | Purchase | 27,170 | 23.8160 USD | ||||
USD 0.01 common | Purchase | 38,207 | 23.8409 USD | ||||
USD 0.01 common | Purchase | 40,654 | 23.7890 USD | ||||
USD 0.01 common | Purchase | 42,088 | 23.7836 USD | ||||
USD 0.01 common | Purchase | 44,687 | 23.7900 USD | ||||
USD 0.01 common | Purchase | 137,018 | 23.8646 USD | ||||
USD 0.01 common | Purchase | 171,474 | 23.8508 USD | ||||
USD 0.01 common | Sale | 1 | 23.7600 USD | ||||
USD 0.01 common | Sale | 1 | 23.8600 USD | ||||
USD 0.01 common | Sale | 7 | 23.8057 USD | ||||
USD 0.01 common | Sale | 8 | 23.7837 USD | ||||
USD 0.01 common | Sale | 11 | 23.7704 USD | ||||
USD 0.01 common | Sale | 14 | 23.9350 USD | ||||
USD 0.01 common | Sale | 15 | 23.9300 USD | ||||
USD 0.01 common | Sale | 23 | 23.7836 USD | ||||
USD 0.01 common | Sale | 78 | 23.7656 USD | ||||
USD 0.01 common | Sale | 100 | 23.9100 USD | ||||
USD 0.01 common | Sale | 100 | 23.8850 USD | ||||
USD 0.01 common | Sale | 100 | 23.8700 USD | ||||
USD 0.01 common | Sale | 100 | 23.9700 USD | ||||
USD 0.01 common | Sale | 111 | 23.8519 USD | ||||
USD 0.01 common | Sale | 132 | 23.8762 USD | ||||
USD 0.01 common | Sale | 210 | 23.8852 USD | ||||
USD 0.01 common | Sale | 211 | 23.8817 USD | ||||
USD 0.01 common | Sale | 224 | 23.7695 USD | ||||
USD 0.01 common | Sale | 300 | 23.9333 USD | ||||
USD 0.01 common | Sale | 330 | 23.8800 USD | ||||
USD 0.01 common | Sale | 779 | 23.8855 USD | ||||
USD 0.01 common | Sale | 848 | 23.8314 USD | ||||
USD 0.01 common | Sale | 897 | 23.9009 USD | ||||
USD 0.01 common | Sale | 967 | 23.9403 USD | ||||
USD 0.01 common | Sale | 1,192 | 23.9500 USD | ||||
USD 0.01 common | Sale | 1,697 | 23.8053 USD | ||||
USD 0.01 common | Sale | 2,137 | 23.8640 USD | ||||
USD 0.01 common | Sale | 3,100 | 23.9610 USD | ||||
USD 0.01 common | Sale | 3,136 | 23.7602 USD | ||||
USD 0.01 common | Sale | 3,502 | 23.7500 USD | ||||
USD 0.01 common | Sale | 6,650 | 23.8641 USD | ||||
USD 0.01 common | Sale | 7,600 | 23.8273 USD | ||||
USD 0.01 common | Sale | 9,416 | 23.8121 USD | ||||
USD 0.01 common | Sale | 10,272 | 23.7900 USD | ||||
USD 0.01 common | Sale | 15,297 | 23.8312 USD | ||||
USD 0.01 common | Sale | 16,700 | 23.9013 USD | ||||
USD 0.01 common | Sale | 16,887 | 23.8321 USD | ||||
USD 0.01 common | Sale | 23,339 | 23.7700 USD | ||||
USD 0.01 common | Sale | 27,662 | 23.8611 USD | ||||
USD 0.01 common | Sale | 33,999 | 23.7654 USD | ||||
USD 0.01 common | Sale | 40,896 | 23.7788 USD | ||||
USD 0.01 common | Sale | 124,114 | 23.8605 USD | ||||
USD 0.01 common | Sale | 133,172 | 23.8145 USD | ||||
USD 0.01 common | Sale | 145,014 | 23.8730 USD | ||||
(b) | Cash-settled derivative transactions | ||||||
Class of | Product | Nature of dealing | Number of | Price per | |||
relevant | description | reference | unit | ||||
security | securities | ||||||
(c) | Stock-settled derivative transactions (including options) | ||||||
(i) | Writing, selling, purchasing or varying | ||||||
Class | Product | Writing, | Number | Exercise | Type | Expiry | Option |
of | description | purchasing, | of | price | date | money | |
relevant | selling, | securities | per unit | paid/ | |||
security | varying etc | to which | received | ||||
option | per unit | ||||||
relates | |||||||
(ii) | Exercising | ||||||
Class of relevant | Product description | Exercising/ exercised against | Number of | Exercise price per | |||
security | securities | unit | |||||
(d) | Other dealings (including subscribing for new securities) | ||||||
Class of relevant | Nature of Dealings | Details | Price per unit (if | ||||
security | applicable) | ||||||
4. | OTHER INFORMATION | ||||||
(a) | Indemnity and other dealings 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 exempt principal trader making the disclosure and any party | |||||||
to the offer or any person acting in concert with a party to the offer: | |||||||
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 of future acquisition or disposal of any relevant securities to which | |||||||
any derivative is referenced: | |||||||
NONE | |||||||
(c) | Attachments | ||||||
Is a Supplemental Form 8 (Open Positions) attached? | YES | ||||||
Date of disclosure: | 19 Aug 2022 | ||||||
Contact name: | Large Holdings Regulatory Operations | ||||||
Telephone number: | 020 3134 7213 | ||||||
DETAILS OF OPEN OPTION AND DERIVATIVE 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. | OPTIONS AND DERIVATIVES | ||||||
Class of relevant security | Product description | Writing, purchasing, selling, varying etc | Number of securities to which option relates | Exercise price per unit | Type | Expiry date | |
USD 0.01 common | Call Options | Purchased | 56,100 | 25.0000 | American | 19 Aug 2022 | |
USD 0.01 common | Call Options | Written | -112,200 | 28.0000 | American | 19 Aug 2022 | |
USD 0.01 common | Call Options | Written | -20,700 | 27.0000 | American | 19 Aug 2022 | |
USD 0.01 common | Call Options | Written | -17,100 | 27.0000 | American | 16 Sep 2022 | |
USD 0.01 common | Put Options | Written | 17,100 | 25.0000 | American | 16 Sep 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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