22 Aug 2022 13:11
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: | 19 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: | 1,286,513 | 0.23% | 1,391,079 | 0.24% | |||
(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: | 2,966,086 | 0.52% | 5,298,201 | 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 | 8 | 23.5000 USD | ||||
USD 0.01 common | Purchase | 28 | 23.4900 USD | ||||
USD 0.01 common | Purchase | 36 | 23.4683 USD | ||||
USD 0.01 common | Purchase | 68 | 23.4700 USD | ||||
USD 0.01 common | Purchase | 80 | 23.5020 USD | ||||
USD 0.01 common | Purchase | 90 | 23.4994 USD | ||||
USD 0.01 common | Purchase | 93 | 23.5145 USD | ||||
USD 0.01 common | Purchase | 97 | 23.3240 USD | ||||
USD 0.01 common | Purchase | 100 | 23.4200 USD | ||||
USD 0.01 common | Purchase | 100 | 23.4300 USD | ||||
USD 0.01 common | Purchase | 106 | 23.5149 USD | ||||
USD 0.01 common | Purchase | 114 | 23.5110 USD | ||||
USD 0.01 common | Purchase | 125 | 23.4133 USD | ||||
USD 0.01 common | Purchase | 128 | 23.4512 USD | ||||
USD 0.01 common | Purchase | 130 | 23.4773 USD | ||||
USD 0.01 common | Purchase | 155 | 23.4580 USD | ||||
USD 0.01 common | Purchase | 158 | 23.4564 USD | ||||
USD 0.01 common | Purchase | 165 | 23.3251 USD | ||||
USD 0.01 common | Purchase | 168 | 23.4472 USD | ||||
USD 0.01 common | Purchase | 200 | 23.4350 USD | ||||
USD 0.01 common | Purchase | 200 | 23.4275 USD | ||||
USD 0.01 common | Purchase | 200 | 23.5100 USD | ||||
USD 0.01 common | Purchase | 202 | 23.5150 USD | ||||
USD 0.01 common | Purchase | 236 | 23.4600 USD | ||||
USD 0.01 common | Purchase | 255 | 23.4657 USD | ||||
USD 0.01 common | Purchase | 264 | 23.4484 USD | ||||
USD 0.01 common | Purchase | 268 | 23.4400 USD | ||||
USD 0.01 common | Purchase | 300 | 23.4650 USD | ||||
USD 0.01 common | Purchase | 300 | 23.4266 USD | ||||
USD 0.01 common | Purchase | 350 | 23.4292 USD | ||||
USD 0.01 common | Purchase | 536 | 23.4240 USD | ||||
USD 0.01 common | Purchase | 800 | 23.4381 USD | ||||
USD 0.01 common | Purchase | 1,012 | 23.4301 USD | ||||
USD 0.01 common | Purchase | 1,200 | 23.4308 USD | ||||
USD 0.01 common | Purchase | 1,209 | 23.4313 USD | ||||
USD 0.01 common | Purchase | 1,527 | 23.4403 USD | ||||
USD 0.01 common | Purchase | 1,738 | 23.4491 USD | ||||
USD 0.01 common | Purchase | 2,161 | 23.5389 USD | ||||
USD 0.01 common | Purchase | 2,581 | 23.5008 USD | ||||
USD 0.01 common | Purchase | 2,991 | 23.5140 USD | ||||
USD 0.01 common | Purchase | 3,280 | 23.4050 USD | ||||
USD 0.01 common | Purchase | 3,348 | 23.5200 USD | ||||
USD 0.01 common | Purchase | 4,534 | 23.4615 USD | ||||
USD 0.01 common | Purchase | 5,559 | 23.5400 USD | ||||
USD 0.01 common | Purchase | 6,007 | 23.4202 USD | ||||
USD 0.01 common | Purchase | 7,863 | 23.3300 USD | ||||
USD 0.01 common | Purchase | 7,950 | 23.5021 USD | ||||
USD 0.01 common | Purchase | 9,040 | 23.4833 USD | ||||
USD 0.01 common | Purchase | 13,100 | 23.3250 USD | ||||
USD 0.01 common | Purchase | 17,648 | 23.4389 USD | ||||
USD 0.01 common | Purchase | 18,979 | 23.5371 USD | ||||
USD 0.01 common | Purchase | 21,041 | 23.4337 USD | ||||
USD 0.01 common | Purchase | 24,468 | 23.4370 USD | ||||
USD 0.01 common | Purchase | 26,760 | 23.4998 USD | ||||
USD 0.01 common | Purchase | 27,945 | 23.3918 USD | ||||
USD 0.01 common | Purchase | 29,541 | 23.4550 USD | ||||
USD 0.01 common | Purchase | 35,928 | 23.4817 USD | ||||
USD 0.01 common | Purchase | 43,527 | 23.5148 USD | ||||
USD 0.01 common | Purchase | 145,056 | 23.4445 USD | ||||
USD 0.01 common | Sale | 2 | 23.5100 USD | ||||
USD 0.01 common | Sale | 3 | 23.4600 USD | ||||
USD 0.01 common | Sale | 3 | 23.4700 USD | ||||
USD 0.01 common | Sale | 4 | 23.4075 USD | ||||
USD 0.01 common | Sale | 4 | 23.3200 USD | ||||
USD 0.01 common | Sale | 9 | 23.4483 USD | ||||
USD 0.01 common | Sale | 10 | 23.4900 USD | ||||
USD 0.01 common | Sale | 12 | 23.3266 USD | ||||
USD 0.01 common | Sale | 16 | 23.3262 USD | ||||
USD 0.01 common | Sale | 49 | 23.4791 USD | ||||
USD 0.01 common | Sale | 99 | 23.5050 USD | ||||
USD 0.01 common | Sale | 100 | 23.5000 USD | ||||
USD 0.01 common | Sale | 100 | 23.5150 USD | ||||
USD 0.01 common | Sale | 100 | 23.4800 USD | ||||
USD 0.01 common | Sale | 130 | 23.4500 USD | ||||
USD 0.01 common | Sale | 167 | 23.3784 USD | ||||
USD 0.01 common | Sale | 176 | 23.4300 USD | ||||
USD 0.01 common | Sale | 200 | 23.4400 USD | ||||
USD 0.01 common | Sale | 264 | 23.4484 USD | ||||
USD 0.01 common | Sale | 487 | 23.5080 USD | ||||
USD 0.01 common | Sale | 1,242 | 23.4843 USD | ||||
USD 0.01 common | Sale | 1,458 | 23.5136 USD | ||||
USD 0.01 common | Sale | 1,583 | 23.5196 USD | ||||
USD 0.01 common | Sale | 1,604 | 23.5222 USD | ||||
USD 0.01 common | Sale | 1,798 | 23.4337 USD | ||||
USD 0.01 common | Sale | 1,847 | 23.4981 USD | ||||
USD 0.01 common | Sale | 2,135 | 23.5399 USD | ||||
USD 0.01 common | Sale | 2,695 | 23.5396 USD | ||||
USD 0.01 common | Sale | 2,863 | 23.5065 USD | ||||
USD 0.01 common | Sale | 3,100 | 23.5200 USD | ||||
USD 0.01 common | Sale | 3,482 | 23.4113 USD | ||||
USD 0.01 common | Sale | 4,000 | 23.4410 USD | ||||
USD 0.01 common | Sale | 4,078 | 23.5400 USD | ||||
USD 0.01 common | Sale | 5,510 | 23.4331 USD | ||||
USD 0.01 common | Sale | 6,200 | 23.4291 USD | ||||
USD 0.01 common | Sale | 6,740 | 23.4811 USD | ||||
USD 0.01 common | Sale | 7,739 | 23.3300 USD | ||||
USD 0.01 common | Sale | 10,735 | 23.4934 USD | ||||
USD 0.01 common | Sale | 22,565 | 23.3822 USD | ||||
USD 0.01 common | Sale | 22,915 | 23.5327 USD | ||||
USD 0.01 common | Sale | 27,050 | 23.5255 USD | ||||
USD 0.01 common | Sale | 28,163 | 23.4987 USD | ||||
USD 0.01 common | Sale | 91,630 | 23.4352 USD | ||||
USD 0.01 common | Sale | 92,021 | 23.4347 USD | ||||
USD 0.01 common | Sale | 114,828 | 23.4491 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: | 22 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: | |||||||