Last checked at 11 Nov 2021 12:22
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: | 10 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: | 1,858,700 | 0.32% | 983,839 | 0.17% | ||
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(2) | Cash-settled derivatives: |
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645,961 | 0.11% | 1,307,674 | 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: | 2,505,161 | 0.43% | 2,293,613 | 0.39% | ||
| 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 | 18 | 25.0050 USD | ||||
| USD 0.01 common | Purchase | 36 | 24.9700 USD | ||||
| USD 0.01 common | Purchase | 36 | 25.0450 USD | ||||
| USD 0.01 common | Purchase | 36 | 24.9950 USD | ||||
| USD 0.01 common | Purchase | 36 | 24.9600 USD | ||||
| USD 0.01 common | Purchase | 54 | 24.9566 USD | ||||
| USD 0.01 common | Purchase | 54 | 24.9816 USD | ||||
| USD 0.01 common | Purchase | 100 | 24.9500 USD | ||||
| USD 0.01 common | Purchase | 100 | 24.9300 USD | ||||
| USD 0.01 common | Purchase | 100 | 25.1950 USD | ||||
| USD 0.01 common | Purchase | 105 | 25.1995 USD | ||||
| USD 0.01 common | Purchase | 108 | 24.9641 USD | ||||
| USD 0.01 common | Purchase | 108 | 24.9625 USD | ||||
| USD 0.01 common | Purchase | 155 | 25.1758 USD | ||||
| USD 0.01 common | Purchase | 164 | 25.5500 USD | ||||
| USD 0.01 common | Purchase | 200 | 25.1900 USD | ||||
| USD 0.01 common | Purchase | 201 | 24.9460 USD | ||||
| USD 0.01 common | Purchase | 282 | 25.5706 USD | ||||
| USD 0.01 common | Purchase | 600 | 25.6066 USD | ||||
| USD 0.01 common | Purchase | 623 | 25.0232 USD | ||||
| USD 0.01 common | Purchase | 800 | 25.6175 USD | ||||
| USD 0.01 common | Purchase | 1,000 | 25.0492 USD | ||||
| USD 0.01 common | Purchase | 1,097 | 25.6055 USD | ||||
| USD 0.01 common | Purchase | 1,100 | 25.5854 USD | ||||
| USD 0.01 common | Purchase | 1,100 | 25.6136 USD | ||||
| USD 0.01 common | Purchase | 1,113 | 25.0706 USD | ||||
| USD 0.01 common | Purchase | 1,200 | 25.4800 USD | ||||
| USD 0.01 common | Purchase | 1,200 | 25.6200 USD | ||||
| USD 0.01 common | Purchase | 1,203 | 25.0441 USD | ||||
| USD 0.01 common | Purchase | 1,291 | 25.1582 USD | ||||
| USD 0.01 common | Purchase | 1,507 | 25.6143 USD | ||||
| USD 0.01 common | Purchase | 1,600 | 25.6112 USD | ||||
| USD 0.01 common | Purchase | 1,646 | 25.6213 USD | ||||
| USD 0.01 common | Purchase | 1,700 | 25.7176 USD | ||||
| USD 0.01 common | Purchase | 1,700 | 25.0964 USD | ||||
| USD 0.01 common | Purchase | 2,164 | 25.0437 USD | ||||
| USD 0.01 common | Purchase | 2,280 | 25.5990 USD | ||||
| USD 0.01 common | Purchase | 2,300 | 25.6013 USD | ||||
| USD 0.01 common | Purchase | 3,843 | 25.0426 USD | ||||
| USD 0.01 common | Purchase | 4,941 | 25.0213 USD | ||||
| USD 0.01 common | Purchase | 4,970 | 24.9934 USD | ||||
| USD 0.01 common | Purchase | 5,051 | 25.0174 USD | ||||
| USD 0.01 common | Purchase | 5,999 | 25.1251 USD | ||||
| USD 0.01 common | Purchase | 6,040 | 25.3531 USD | ||||
| USD 0.01 common | Purchase | 7,786 | 25.6185 USD | ||||
| USD 0.01 common | Purchase | 10,179 | 25.5763 USD | ||||
| USD 0.01 common | Purchase | 10,484 | 25.1424 USD | ||||
| USD 0.01 common | Purchase | 13,232 | 24.9932 USD | ||||
| USD 0.01 common | Purchase | 13,258 | 25.0188 USD | ||||
| USD 0.01 common | Purchase | 16,079 | 25.1079 USD | ||||
| USD 0.01 common | Purchase | 16,889 | 24.9800 USD | ||||
| USD 0.01 common | Purchase | 18,096 | 25.1272 USD | ||||
| USD 0.01 common | Purchase | 21,614 | 25.4224 USD | ||||
| USD 0.01 common | Purchase | 22,678 | 25.1418 USD | ||||
| USD 0.01 common | Purchase | 22,960 | 24.9857 USD | ||||
| USD 0.01 common | Purchase | 132,724 | 25.2597 USD | ||||
| USD 0.01 common | Purchase | 158,518 | 25.1375 USD | ||||
| USD 0.01 common | Sale | 1 | 25.0200 USD | ||||
| USD 0.01 common | Sale | 2 | 25.5600 USD | ||||
| USD 0.01 common | Sale | 100 | 25.5100 USD | ||||
| USD 0.01 common | Sale | 100 | 24.9300 USD | ||||
| USD 0.01 common | Sale | 100 | 25.4500 USD | ||||
| USD 0.01 common | Sale | 100 | 25.3400 USD | ||||
| USD 0.01 common | Sale | 100 | 25.3750 USD | ||||
| USD 0.01 common | Sale | 101 | 24.9948 USD | ||||
| USD 0.01 common | Sale | 105 | 25.0003 USD | ||||
| USD 0.01 common | Sale | 123 | 24.9550 USD | ||||
| USD 0.01 common | Sale | 200 | 25.7000 USD | ||||
| USD 0.01 common | Sale | 200 | 25.5550 USD | ||||
| USD 0.01 common | Sale | 200 | 25.4000 USD | ||||
| USD 0.01 common | Sale | 200 | 25.3800 USD | ||||
| USD 0.01 common | Sale | 212 | 24.9900 USD | ||||
| USD 0.01 common | Sale | 222 | 25.3535 USD | ||||
| USD 0.01 common | Sale | 243 | 25.1800 USD | ||||
| USD 0.01 common | Sale | 282 | 25.5706 USD | ||||
| USD 0.01 common | Sale | 300 | 25.5800 USD | ||||
| USD 0.01 common | Sale | 315 | 25.2707 USD | ||||
| USD 0.01 common | Sale | 400 | 25.3350 USD | ||||
| USD 0.01 common | Sale | 827 | 25.0397 USD | ||||
| USD 0.01 common | Sale | 880 | 25.3110 USD | ||||
| USD 0.01 common | Sale | 1,000 | 25.0492 USD | ||||
| USD 0.01 common | Sale | 1,120 | 25.5189 USD | ||||
| USD 0.01 common | Sale | 1,200 | 25.5166 USD | ||||
| USD 0.01 common | Sale | 1,200 | 25.4800 USD | ||||
| USD 0.01 common | Sale | 1,200 | 25.4625 USD | ||||
| USD 0.01 common | Sale | 1,249 | 25.3612 USD | ||||
| USD 0.01 common | Sale | 1,500 | 25.7200 USD | ||||
| USD 0.01 common | Sale | 1,566 | 25.4052 USD | ||||
| USD 0.01 common | Sale | 1,874 | 25.5620 USD | ||||
| USD 0.01 common | Sale | 2,499 | 25.4057 USD | ||||
| USD 0.01 common | Sale | 2,953 | 24.9681 USD | ||||
| USD 0.01 common | Sale | 3,571 | 25.5535 USD | ||||
| USD 0.01 common | Sale | 3,730 | 25.5533 USD | ||||
| USD 0.01 common | Sale | 3,991 | 25.3498 USD | ||||
| USD 0.01 common | Sale | 4,038 | 25.5684 USD | ||||
| USD 0.01 common | Sale | 4,254 | 24.9800 USD | ||||
| USD 0.01 common | Sale | 4,281 | 25.5429 USD | ||||
| USD 0.01 common | Sale | 4,307 | 25.2087 USD | ||||
| USD 0.01 common | Sale | 4,551 | 24.9934 USD | ||||
| USD 0.01 common | Sale | 5,579 | 25.1192 USD | ||||
| USD 0.01 common | Sale | 12,058 | 25.5518 USD | ||||
| USD 0.01 common | Sale | 12,955 | 25.0157 USD | ||||
| USD 0.01 common | Sale | 17,300 | 25.3877 USD | ||||
| USD 0.01 common | Sale | 17,300 | 25.1119 USD | ||||
| USD 0.01 common | Sale | 19,182 | 25.1038 USD | ||||
| USD 0.01 common | Sale | 22,337 | 24.9858 USD | ||||
| USD 0.01 common | Sale | 26,972 | 24.9873 USD | ||||
| USD 0.01 common | Sale | 70,659 | 25.2469 USD | ||||
| USD 0.01 common | Sale | 129,518 | 25.2640 USD | ||||
| USD 0.01 common | Sale | 135,857 | 25.0739 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: | 11 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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