Last checked at 28 Jul 2021 15:13
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 |
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| 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 |
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| offeror/offeree, state this and specify identity of | ||
| offeror/offeree: | ||
| (e) | Date position held/dealing undertaken: | 27 July 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 | ||||
Interests | Short Positions | ||||
Number | (%) | Number | (%) | ||
(1) | Relevant securities owned |
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| and/or controlled: | 1,882,743 | 0.32% | 301,164 | 0.05% | |
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(2) | Cash-settled derivatives: |
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140,739 | 0.02% | 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: | 2,023,982 | 0.35% | 1,582,762 | 0.27% | |
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| Class of relevant security: | Convertible Bond US668771AA66 | ||||
Interests | Short Positions | ||||
Number | (%) | Number | (%) | ||
(1) | Relevant securities owned |
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| and/or controlled: | 129,000 | 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: | 129,000 | 0.02% | 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: |
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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 |
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| USD 0.01 common | Purchase | 30 | 25.4900 USD |
| USD 0.01 common | Purchase | 55 | 25.4400 USD |
| USD 0.01 common | Purchase | 87 | 25.4303 USD |
| USD 0.01 common | Purchase | 100 | 25.5000 USD |
| USD 0.01 common | Purchase | 100 | 25.5700 USD |
| USD 0.01 common | Purchase | 100 | 25.5500 USD |
| USD 0.01 common | Purchase | 200 | 25.4850 USD |
| USD 0.01 common | Purchase | 200 | 25.5225 USD |
| USD 0.01 common | Purchase | 200 | 25.4675 USD |
| USD 0.01 common | Purchase | 300 | 25.4433 USD |
| USD 0.01 common | Purchase | 300 | 25.2900 USD |
| USD 0.01 common | Purchase | 310 | 25.5209 USD |
| USD 0.01 common | Purchase | 400 | 25.4950 USD |
| USD 0.01 common | Purchase | 400 | 25.4350 USD |
| USD 0.01 common | Purchase | 400 | 25.4662 USD |
| USD 0.01 common | Purchase | 454 | 25.4685 USD |
| USD 0.01 common | Purchase | 600 | 25.3266 USD |
| USD 0.01 common | Purchase | 640 | 25.4965 USD |
| USD 0.01 common | Purchase | 661 | 25.4750 USD |
| USD 0.01 common | Purchase | 700 | 25.5171 USD |
| USD 0.01 common | Purchase | 700 | 25.4657 USD |
| USD 0.01 common | Purchase | 803 | 25.5196 USD |
| USD 0.01 common | Purchase | 898 | 25.5188 USD |
| USD 0.01 common | Purchase | 900 | 25.4000 USD |
| USD 0.01 common | Purchase | 1,459 | 25.5120 USD |
| USD 0.01 common | Purchase | 1,592 | 25.7300 USD |
| USD 0.01 common | Purchase | 1,600 | 25.4084 USD |
| USD 0.01 common | Purchase | 2,903 | 25.4196 USD |
| USD 0.01 common | Purchase | 3,624 | 25.5122 USD |
| USD 0.01 common | Purchase | 3,968 | 25.4227 USD |
| USD 0.01 common | Purchase | 4,072 | 25.4800 USD |
| USD 0.01 common | Purchase | 4,428 | 25.4905 USD |
| USD 0.01 common | Purchase | 4,695 | 25.4725 USD |
| USD 0.01 common | Purchase | 4,929 | 25.5174 USD |
| USD 0.01 common | Purchase | 5,012 | 25.4802 USD |
| USD 0.01 common | Purchase | 5,730 | 25.4408 USD |
| USD 0.01 common | Purchase | 6,422 | 25.5130 USD |
| USD 0.01 common | Purchase | 8,519 | 25.4783 USD |
| USD 0.01 common | Purchase | 8,763 | 25.4367 USD |
| USD 0.01 common | Purchase | 10,085 | 25.4373 USD |
| USD 0.01 common | Purchase | 11,803 | 25.4798 USD |
| USD 0.01 common | Purchase | 15,503 | 25.4323 USD |
| USD 0.01 common | Purchase | 16,346 | 25.4661 USD |
| USD 0.01 common | Purchase | 18,030 | 25.4610 USD |
| USD 0.01 common | Purchase | 21,757 | 25.5018 USD |
| USD 0.01 common | Purchase | 31,839 | 25.4706 USD |
| USD 0.01 common | Purchase | 38,394 | 25.4787 USD |
| USD 0.01 common | Purchase | 47,036 | 25.4999 USD |
| USD 0.01 common | Purchase | 72,723 | 25.4632 USD |
| USD 0.01 common | Purchase | 74,547 | 25.4911 USD |
| USD 0.01 common | Sale | 1 | 25.4600 USD |
| USD 0.01 common | Sale | 83 | 25.5150 USD |
| USD 0.01 common | Sale | 100 | 25.5100 USD |
| USD 0.01 common | Sale | 100 | 25.5000 USD |
| USD 0.01 common | Sale | 179 | 25.3032 USD |
| USD 0.01 common | Sale | 200 | 25.4975 USD |
| USD 0.01 common | Sale | 200 | 25.4775 USD |
| USD 0.01 common | Sale | 200 | 25.4950 USD |
| USD 0.01 common | Sale | 200 | 25.4750 USD |
| USD 0.01 common | Sale | 300 | 25.4700 USD |
| USD 0.01 common | Sale | 322 | 25.4958 USD |
| USD 0.01 common | Sale | 452 | 25.5015 USD |
| USD 0.01 common | Sale | 474 | 25.4567 USD |
| USD 0.01 common | Sale | 500 | 25.4840 USD |
| USD 0.01 common | Sale | 600 | 25.3500 USD |
| USD 0.01 common | Sale | 690 | 25.4984 USD |
| USD 0.01 common | Sale | 713 | 25.3950 USD |
| USD 0.01 common | Sale | 747 | 25.4678 USD |
| USD 0.01 common | Sale | 911 | 25.4698 USD |
| USD 0.01 common | Sale | 934 | 25.3294 USD |
| USD 0.01 common | Sale | 1,052 | 25.3542 USD |
| USD 0.01 common | Sale | 1,055 | 25.4900 USD |
| USD 0.01 common | Sale | 1,300 | 25.4811 USD |
| USD 0.01 common | Sale | 1,300 | 25.4653 USD |
| USD 0.01 common | Sale | 1,400 | 25.4568 USD |
| USD 0.01 common | Sale | 1,530 | 25.4801 USD |
| USD 0.01 common | Sale | 1,600 | 25.3315 USD |
| USD 0.01 common | Sale | 1,842 | 25.3410 USD |
| USD 0.01 common | Sale | 1,900 | 25.3300 USD |
| USD 0.01 common | Sale | 1,900 | 25.4865 USD |
| USD 0.01 common | Sale | 2,140 | 25.3388 USD |
| USD 0.01 common | Sale | 2,227 | 25.4210 USD |
| USD 0.01 common | Sale | 2,577 | 25.3353 USD |
| USD 0.01 common | Sale | 3,501 | 25.4777 USD |
| USD 0.01 common | Sale | 4,706 | 25.4870 USD |
| USD 0.01 common | Sale | 4,800 | 25.3981 USD |
| USD 0.01 common | Sale | 4,885 | 25.4846 USD |
| USD 0.01 common | Sale | 5,276 | 25.3321 USD |
| USD 0.01 common | Sale | 6,096 | 25.4798 USD |
| USD 0.01 common | Sale | 6,197 | 25.4864 USD |
| USD 0.01 common | Sale | 6,700 | 25.3685 USD |
| USD 0.01 common | Sale | 6,965 | 25.4827 USD |
| USD 0.01 common | Sale | 7,381 | 25.4659 USD |
| USD 0.01 common | Sale | 8,580 | 25.4800 USD |
| USD 0.01 common | Sale | 11,720 | 25.4795 USD |
| USD 0.01 common | Sale | 11,761 | 25.3779 USD |
| USD 0.01 common | Sale | 17,106 | 25.5057 USD |
| USD 0.01 common | Sale | 25,180 | 25.4007 USD |
| USD 0.01 common | Sale | 26,037 | 25.4706 USD |
| USD 0.01 common | Sale | 26,225 | 25.4571 USD |
| USD 0.01 common | Sale | 32,812 | 25.4154 USD |
| USD 0.01 common | Sale | 39,159 | 25.4500 USD |
| USD 0.01 common | Sale | 50,672 | 25.4986 USD |
| USD 0.01 common | Sale | 104,519 | 25.4534 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: | 28 Jul 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 |
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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.
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