Last checked at 8 Nov 2021 11:46
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: | 05 November 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: | 1,753,827 | 0.30% | 1,026,818 | 0.18% | ||
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(2) | Cash-settled derivatives: |
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896,361 | 0.15% | 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: | 2,650,688 | 0.46% | 2,057,240 | 0.35% | ||
| Class of relevant security: | Convertible Bond US668771AA66 | |||||
Interests | Short Positions | |||||
Number | (%) | Number | (%) | |||
(1) | Relevant securities owned |
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| and/or controlled: | 376,000 | 0.06% | 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: | 376,000 | 0.06% | 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 | 1 | 24.4900 USD | ||||
| USD 0.01 common | Purchase | 3 | 25.5000 USD | ||||
| USD 0.01 common | Purchase | 10 | 24.7650 USD | ||||
| USD 0.01 common | Purchase | 11 | 24.5927 USD | ||||
| USD 0.01 common | Purchase | 21 | 25.5800 USD | ||||
| USD 0.01 common | Purchase | 33 | 24.5800 USD | ||||
| USD 0.01 common | Purchase | 37 | 24.7651 USD | ||||
| USD 0.01 common | Purchase | 43 | 25.3665 USD | ||||
| USD 0.01 common | Purchase | 105 | 24.4923 USD | ||||
| USD 0.01 common | Purchase | 115 | 24.7639 USD | ||||
| USD 0.01 common | Purchase | 200 | 24.6200 USD | ||||
| USD 0.01 common | Purchase | 200 | 25.3200 USD | ||||
| USD 0.01 common | Purchase | 201 | 24.6366 USD | ||||
| USD 0.01 common | Purchase | 267 | 24.4337 USD | ||||
| USD 0.01 common | Purchase | 321 | 24.7025 USD | ||||
| USD 0.01 common | Purchase | 490 | 24.7048 USD | ||||
| USD 0.01 common | Purchase | 500 | 24.7440 USD | ||||
| USD 0.01 common | Purchase | 500 | 24.4650 USD | ||||
| USD 0.01 common | Purchase | 508 | 24.4500 USD | ||||
| USD 0.01 common | Purchase | 514 | 24.7152 USD | ||||
| USD 0.01 common | Purchase | 541 | 24.7652 USD | ||||
| USD 0.01 common | Purchase | 554 | 24.7325 USD | ||||
| USD 0.01 common | Purchase | 600 | 24.7483 USD | ||||
| USD 0.01 common | Purchase | 605 | 24.6687 USD | ||||
| USD 0.01 common | Purchase | 700 | 24.5550 USD | ||||
| USD 0.01 common | Purchase | 809 | 25.2228 USD | ||||
| USD 0.01 common | Purchase | 812 | 24.6927 USD | ||||
| USD 0.01 common | Purchase | 814 | 24.7327 USD | ||||
| USD 0.01 common | Purchase | 839 | 24.4600 USD | ||||
| USD 0.01 common | Purchase | 967 | 24.5508 USD | ||||
| USD 0.01 common | Purchase | 1,614 | 24.4611 USD | ||||
| USD 0.01 common | Purchase | 1,814 | 24.4516 USD | ||||
| USD 0.01 common | Purchase | 2,341 | 24.7582 USD | ||||
| USD 0.01 common | Purchase | 2,418 | 24.7679 USD | ||||
| USD 0.01 common | Purchase | 2,610 | 24.4573 USD | ||||
| USD 0.01 common | Purchase | 2,994 | 24.7702 USD | ||||
| USD 0.01 common | Purchase | 3,218 | 24.6671 USD | ||||
| USD 0.01 common | Purchase | 3,256 | 24.5804 USD | ||||
| USD 0.01 common | Purchase | 4,287 | 24.5462 USD | ||||
| USD 0.01 common | Purchase | 4,679 | 24.4613 USD | ||||
| USD 0.01 common | Purchase | 5,152 | 24.8131 USD | ||||
| USD 0.01 common | Purchase | 6,221 | 24.4518 USD | ||||
| USD 0.01 common | Purchase | 6,600 | 24.4849 USD | ||||
| USD 0.01 common | Purchase | 7,598 | 24.6602 USD | ||||
| USD 0.01 common | Purchase | 11,121 | 24.7700 USD | ||||
| USD 0.01 common | Purchase | 19,861 | 24.4699 USD | ||||
| USD 0.01 common | Purchase | 41,600 | 24.7268 USD | ||||
| USD 0.01 common | Purchase | 43,938 | 24.7162 USD | ||||
| USD 0.01 common | Purchase | 53,178 | 24.6530 USD | ||||
| USD 0.01 common | Purchase | 53,224 | 24.6898 USD | ||||
| USD 0.01 common | Purchase | 55,937 | 24.8280 USD | ||||
| USD 0.01 common | Purchase | 56,141 | 24.4660 USD | ||||
| USD 0.01 common | Purchase | 77,404 | 24.8981 USD | ||||
| USD 0.01 common | Purchase | 100,931 | 24.6307 USD | ||||
| USD 0.01 common | Purchase | 140,912 | 24.7946 USD | ||||
| USD 0.01 common | Sale | 1 | 24.8000 USD | ||||
| USD 0.01 common | Sale | 2 | 25.1300 USD | ||||
| USD 0.01 common | Sale | 10 | 24.5720 USD | ||||
| USD 0.01 common | Sale | 100 | 25.7400 USD | ||||
| USD 0.01 common | Sale | 165 | 24.7517 USD | ||||
| USD 0.01 common | Sale | 201 | 24.6366 USD | ||||
| USD 0.01 common | Sale | 281 | 24.7018 USD | ||||
| USD 0.01 common | Sale | 352 | 24.8778 USD | ||||
| USD 0.01 common | Sale | 403 | 24.8568 USD | ||||
| USD 0.01 common | Sale | 559 | 24.6976 USD | ||||
| USD 0.01 common | Sale | 603 | 24.7461 USD | ||||
| USD 0.01 common | Sale | 682 | 24.6779 USD | ||||
| USD 0.01 common | Sale | 725 | 24.7415 USD | ||||
| USD 0.01 common | Sale | 742 | 24.6980 USD | ||||
| USD 0.01 common | Sale | 752 | 24.7501 USD | ||||
| USD 0.01 common | Sale | 770 | 24.7236 USD | ||||
| USD 0.01 common | Sale | 790 | 24.6164 USD | ||||
| USD 0.01 common | Sale | 1,000 | 24.7548 USD | ||||
| USD 0.01 common | Sale | 1,120 | 24.7151 USD | ||||
| USD 0.01 common | Sale | 1,385 | 24.6612 USD | ||||
| USD 0.01 common | Sale | 1,589 | 24.8249 USD | ||||
| USD 0.01 common | Sale | 2,418 | 24.7679 USD | ||||
| USD 0.01 common | Sale | 4,124 | 24.8125 USD | ||||
| USD 0.01 common | Sale | 4,174 | 25.1148 USD | ||||
| USD 0.01 common | Sale | 4,461 | 24.8384 USD | ||||
| USD 0.01 common | Sale | 6,900 | 24.8281 USD | ||||
| USD 0.01 common | Sale | 6,996 | 24.7109 USD | ||||
| USD 0.01 common | Sale | 7,123 | 24.8225 USD | ||||
| USD 0.01 common | Sale | 7,207 | 24.8012 USD | ||||
| USD 0.01 common | Sale | 7,293 | 24.7700 USD | ||||
| USD 0.01 common | Sale | 7,518 | 24.8046 USD | ||||
| USD 0.01 common | Sale | 8,325 | 24.9139 USD | ||||
| USD 0.01 common | Sale | 8,500 | 24.8701 USD | ||||
| USD 0.01 common | Sale | 8,700 | 24.7713 USD | ||||
| USD 0.01 common | Sale | 8,915 | 24.8217 USD | ||||
| USD 0.01 common | Sale | 9,000 | 24.8021 USD | ||||
| USD 0.01 common | Sale | 10,284 | 24.8114 USD | ||||
| USD 0.01 common | Sale | 10,828 | 24.7709 USD | ||||
| USD 0.01 common | Sale | 11,306 | 24.7455 USD | ||||
| USD 0.01 common | Sale | 12,557 | 24.7348 USD | ||||
| USD 0.01 common | Sale | 12,609 | 24.7811 USD | ||||
| USD 0.01 common | Sale | 14,825 | 24.6092 USD | ||||
| USD 0.01 common | Sale | 38,407 | 24.7179 USD | ||||
| USD 0.01 common | Sale | 40,149 | 24.7399 USD | ||||
| USD 0.01 common | Sale | 41,600 | 24.7268 USD | ||||
| USD 0.01 common | Sale | 46,919 | 24.6461 USD | ||||
| USD 0.01 common | Sale | 53,470 | 24.5954 USD | ||||
| USD 0.01 common | Sale | 54,666 | 24.8312 USD | ||||
| USD 0.01 common | Sale | 54,954 | 24.7077 USD | ||||
| USD 0.01 common | Sale | 59,418 | 24.6629 USD | ||||
| USD 0.01 common | Sale | 66,884 | 24.8925 USD | ||||
| USD 0.01 common | Sale | 101,721 | 24.4662 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: | 8 Nov 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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