Last checked at 22 Oct 2021 12:42
FORM 8.3 - Amendment to Sale and Purchase
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: | 20 October 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: | 1,570,537 | 0.27% | 968,311 | 0.17% | ||
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(2) | Cash-settled derivatives: |
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556,267 | 0.10% | 1,028,322 | 0.18% | |||
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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: | 2,127,304 | 0.37% | 1,998,733 | 0.34% | ||
| Class of relevant security: | Convertible Bond US668771AA66 | |||||
| Interests | Short Positions | |||||
Number | (%) | Number | (%) | |||
(1) | Relevant securities owned |
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| and/or controlled: | 146,000 | 0.03% | 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: | 146,000 | 0.03% | 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 |
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| security |
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| securities |
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| USD 0.01 common | Purchase | 3 | 25.9433 USD | ||||
| USD 0.01 common | Purchase | 4 | 25.9600 USD | ||||
| USD 0.01 common | Purchase | 6 | 25.9483 USD | ||||
| USD 0.01 common | Purchase | 9 | 25.9366 USD | ||||
| USD 0.01 common | Purchase | 10 | 25.9690 USD | ||||
| USD 0.01 common | Purchase | 19 | 26.0900 USD | ||||
| USD 0.01 common | Purchase | 19 | 25.9357 USD | ||||
| USD 0.01 common | Purchase | 42 | 25.9688 USD | ||||
| USD 0.01 common | Purchase | 50 | 25.9050 USD | ||||
| USD 0.01 common | Purchase | 58 | 26.1387 USD | ||||
| USD 0.01 common | Purchase | 60 | 25.9083 USD | ||||
| USD 0.01 common | Purchase | 70 | 26.0121 USD | ||||
| USD 0.01 common | Purchase | 85 | 25.9461 USD | ||||
| USD 0.01 common | Purchase | 95 | 25.9163 USD | ||||
| USD 0.01 common | Purchase | 101 | 26.0441 USD | ||||
| USD 0.01 common | Purchase | 102 | 25.9642 USD | ||||
| USD 0.01 common | Purchase | 115 | 25.9293 USD | ||||
| USD 0.01 common | Purchase | 118 | 25.9534 USD | ||||
| USD 0.01 common | Purchase | 135 | 25.9492 USD | ||||
| USD 0.01 common | Purchase | 145 | 26.0098 USD | ||||
| USD 0.01 common | Purchase | 151 | 25.9874 USD | ||||
| USD 0.01 common | Purchase | 153 | 25.7554 USD | ||||
| USD 0.01 common | Purchase | 185 | 25.9545 USD | ||||
| USD 0.01 common | Purchase | 200 | 26.0425 USD | ||||
| USD 0.01 common | Purchase | 200 | 25.9300 USD | ||||
| USD 0.01 common | Purchase | 211 | 26.0390 USD | ||||
| USD 0.01 common | Purchase | 400 | 25.9800 USD | ||||
| USD 0.01 common | Purchase | 405 | 26.0436 USD | ||||
| USD 0.01 common | Purchase | 504 | 26.0992 USD | ||||
| USD 0.01 common | Purchase | 600 | 25.9633 USD | ||||
| USD 0.01 common | Purchase | 654 | 26.1279 USD | ||||
| USD 0.01 common | Purchase | 700 | 26.0428 USD | ||||
| USD 0.01 common | Purchase | 1,145 | 26.0246 USD | ||||
| USD 0.01 common | Purchase | 1,275 | 25.9400 USD | ||||
| USD 0.01 common | Purchase | 1,491 | 26.0240 USD | ||||
| USD 0.01 common | Purchase | 1,694 | 25.9762 USD | ||||
| USD 0.01 common | Purchase | 2,109 | 26.0967 USD | ||||
| USD 0.01 common | Purchase | 2,259 | 26.0657 USD | ||||
| USD 0.01 common | Purchase | 2,372 | 26.0076 USD | ||||
| USD 0.01 common | Purchase | 2,396 | 25.9945 USD | ||||
| USD 0.01 common | Purchase | 2,922 | 25.9827 USD | ||||
| USD 0.01 common | Purchase | 3,623 | 26.0617 USD | ||||
| USD 0.01 common | Purchase | 4,438 | 26.0060 USD | ||||
| USD 0.01 common | Purchase | 5,237 | 26.1300 USD | ||||
| USD 0.01 common | Purchase | 5,503 | 25.8200 USD | ||||
| USD 0.01 common | Purchase | 11,251 | 26.0194 USD | ||||
| USD 0.01 common | Purchase | 31,339 | 26.0784 USD | ||||
| USD 0.01 common | Purchase | 32,635 | 26.0074 USD | ||||
| USD 0.01 common | Sale | 4 | 25.9175 USD | ||||
| USD 0.01 common | Sale | 17 | 26.0761 USD | ||||
| USD 0.01 common | Sale | 30 | 26.0200 USD | ||||
| USD 0.01 common | Sale | 37 | 26.1400 USD | ||||
| USD 0.01 common | Sale | 44 | 26.0400 USD | ||||
| USD 0.01 common | Sale | 44 | 26.1000 USD | ||||
| USD 0.01 common | Sale | 44 | 26.1100 USD | ||||
| USD 0.01 common | Sale | 47 | 26.1128 USD | ||||
| USD 0.01 common | Sale | 63 | 26.0900 USD | ||||
| USD 0.01 common | Sale | 88 | 26.0950 USD | ||||
| USD 0.01 common | Sale | 90 | 26.0333 USD | ||||
| USD 0.01 common | Sale | 94 | 26.0857 USD | ||||
| USD 0.01 common | Sale | 120 | 26.0725 USD | ||||
| USD 0.01 common | Sale | 144 | 26.1105 USD | ||||
| USD 0.01 common | Sale | 150 | 26.0800 USD | ||||
| USD 0.01 common | Sale | 200 | 26.0475 USD | ||||
| USD 0.01 common | Sale | 200 | 26.0300 USD | ||||
| USD 0.01 common | Sale | 255 | 26.0417 USD | ||||
| USD 0.01 common | Sale | 276 | 26.1250 USD | ||||
| USD 0.01 common | Sale | 290 | 26.0600 USD | ||||
| USD 0.01 common | Sale | 290 | 26.0500 USD | ||||
| USD 0.01 common | Sale | 300 | 26.0566 USD | ||||
| USD 0.01 common | Sale | 300 | 26.0416 USD | ||||
| USD 0.01 common | Sale | 346 | 26.1213 USD | ||||
| USD 0.01 common | Sale | 348 | 26.1013 USD | ||||
| USD 0.01 common | Sale | 352 | 26.0298 USD | ||||
| USD 0.01 common | Sale | 401 | 26.0594 USD | ||||
| USD 0.01 common | Sale | 430 | 26.1200 USD | ||||
| USD 0.01 common | Sale | 615 | 26.0586 USD | ||||
| USD 0.01 common | Sale | 654 | 26.1279 USD | ||||
| USD 0.01 common | Sale | 666 | 26.0592 USD | ||||
| USD 0.01 common | Sale | 742 | 25.9400 USD | ||||
| USD 0.01 common | Sale | 900 | 26.0961 USD | ||||
| USD 0.01 common | Sale | 908 | 26.0905 USD | ||||
| USD 0.01 common | Sale | 1,252 | 26.0396 USD | ||||
| USD 0.01 common | Sale | 1,571 | 25.9870 USD | ||||
| USD 0.01 common | Sale | 1,804 | 26.0439 USD | ||||
| USD 0.01 common | Sale | 2,567 | 26.0118 USD | ||||
| USD 0.01 common | Sale | 3,266 | 26.1300 USD | ||||
| USD 0.01 common | Sale | 3,358 | 26.1232 USD | ||||
| USD 0.01 common | Sale | 3,428 | 26.0775 USD | ||||
| USD 0.01 common | Sale | 4,792 | 25.9945 USD | ||||
| USD 0.01 common | Sale | 5,013 | 25.9904 USD | ||||
| USD 0.01 common | Sale | 5,503 | 25.8200 USD | ||||
| USD 0.01 common | Sale | 6,547 | 26.1184 USD | ||||
| USD 0.01 common | Sale | 10,825 | 26.1081 USD | ||||
| USD 0.01 common | Sale | 12,751 | 26.0166 USD | ||||
| USD 0.01 common | Sale | 15,419 | 26.0514 USD | ||||
| USD 0.01 common | Sale | 29,826 | 25.9805 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: | 22 Oct 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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