Last checked at 29 Jul 2021 13:09
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: | 28 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: | 1,918,640 | 0.33% | 305,724 | 0.05% | |
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(2) | Cash-settled derivatives: |
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82,539 | 0.01% | 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: | 2,001,679 | 0.35% | 1,587,322 | 0.27% | |
| Class of relevant security: | Convertible Bond US668771AA66 | ||||
| Interests | Short Positions | ||||
Number | (%) | Number | (%) | ||
(1) | Relevant securities owned |
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| and/or controlled: | 128,000 | 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: | 128,000 | 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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| Convertible Bond | Purchase | 1,000 | 132.4375 USD |
| Convertible Bond | Sale | 2,000 | 132.4375 USD |
| USD 0.01 common | Purchase | 10 | 25.0335 USD |
| USD 0.01 common | Purchase | 63 | 25.0100 USD |
| USD 0.01 common | Purchase | 83 | 25.2650 USD |
| USD 0.01 common | Purchase | 100 | 25.3900 USD |
| USD 0.01 common | Purchase | 100 | 25.2600 USD |
| USD 0.01 common | Purchase | 100 | 25.3000 USD |
| USD 0.01 common | Purchase | 200 | 25.2150 USD |
| USD 0.01 common | Purchase | 328 | 25.0000 USD |
| USD 0.01 common | Purchase | 697 | 25.3855 USD |
| USD 0.01 common | Purchase | 801 | 25.3104 USD |
| USD 0.01 common | Purchase | 900 | 25.2355 USD |
| USD 0.01 common | Purchase | 913 | 25.3832 USD |
| USD 0.01 common | Purchase | 1,000 | 25.3535 USD |
| USD 0.01 common | Purchase | 1,172 | 25.5987 USD |
| USD 0.01 common | Purchase | 1,258 | 25.5411 USD |
| USD 0.01 common | Purchase | 1,300 | 25.3984 USD |
| USD 0.01 common | Purchase | 1,333 | 25.2922 USD |
| USD 0.01 common | Purchase | 1,343 | 25.2853 USD |
| USD 0.01 common | Purchase | 1,350 | 25.2929 USD |
| USD 0.01 common | Purchase | 1,400 | 25.4500 USD |
| USD 0.01 common | Purchase | 1,453 | 25.3543 USD |
| USD 0.01 common | Purchase | 1,504 | 25.3262 USD |
| USD 0.01 common | Purchase | 1,575 | 25.3775 USD |
| USD 0.01 common | Purchase | 1,600 | 25.6000 USD |
| USD 0.01 common | Purchase | 1,650 | 25.4172 USD |
| USD 0.01 common | Purchase | 1,753 | 25.5370 USD |
| USD 0.01 common | Purchase | 1,775 | 25.4359 USD |
| USD 0.01 common | Purchase | 1,815 | 25.5878 USD |
| USD 0.01 common | Purchase | 1,828 | 25.4800 USD |
| USD 0.01 common | Purchase | 1,888 | 25.4153 USD |
| USD 0.01 common | Purchase | 1,898 | 25.3002 USD |
| USD 0.01 common | Purchase | 2,058 | 25.2534 USD |
| USD 0.01 common | Purchase | 2,264 | 25.5648 USD |
| USD 0.01 common | Purchase | 2,300 | 25.5847 USD |
| USD 0.01 common | Purchase | 2,358 | 25.2415 USD |
| USD 0.01 common | Purchase | 2,400 | 25.4400 USD |
| USD 0.01 common | Purchase | 2,781 | 25.4446 USD |
| USD 0.01 common | Purchase | 3,088 | 25.5529 USD |
| USD 0.01 common | Purchase | 3,091 | 25.5946 USD |
| USD 0.01 common | Purchase | 3,675 | 25.1847 USD |
| USD 0.01 common | Purchase | 3,717 | 25.5693 USD |
| USD 0.01 common | Purchase | 3,800 | 25.5300 USD |
| USD 0.01 common | Purchase | 4,099 | 25.4235 USD |
| USD 0.01 common | Purchase | 4,177 | 25.3938 USD |
| USD 0.01 common | Purchase | 4,501 | 25.3655 USD |
| USD 0.01 common | Purchase | 4,526 | 25.4176 USD |
| USD 0.01 common | Purchase | 4,630 | 25.4270 USD |
| USD 0.01 common | Purchase | 5,312 | 25.2686 USD |
| USD 0.01 common | Purchase | 5,374 | 25.3407 USD |
| USD 0.01 common | Purchase | 5,812 | 25.2897 USD |
| USD 0.01 common | Purchase | 7,871 | 25.2669 USD |
| USD 0.01 common | Purchase | 8,186 | 25.2130 USD |
| USD 0.01 common | Purchase | 8,649 | 25.2365 USD |
| USD 0.01 common | Purchase | 10,207 | 25.4946 USD |
| USD 0.01 common | Purchase | 10,252 | 25.4517 USD |
| USD 0.01 common | Purchase | 14,627 | 25.3969 USD |
| USD 0.01 common | Purchase | 17,158 | 25.2700 USD |
| USD 0.01 common | Purchase | 19,489 | 25.1057 USD |
| USD 0.01 common | Purchase | 19,940 | 25.3887 USD |
| USD 0.01 common | Purchase | 20,789 | 25.2795 USD |
| USD 0.01 common | Purchase | 21,359 | 25.2707 USD |
| USD 0.01 common | Purchase | 23,692 | 25.5886 USD |
| USD 0.01 common | Purchase | 30,486 | 25.4831 USD |
| USD 0.01 common | Purchase | 40,178 | 25.2855 USD |
| USD 0.01 common | Purchase | 45,138 | 25.2544 USD |
| USD 0.01 common | Purchase | 49,887 | 25.3965 USD |
| USD 0.01 common | Purchase | 101,972 | 25.2999 USD |
| USD 0.01 common | Purchase | 335,366 | 25.4957 USD |
| USD 0.01 common | Sale | 3 | 25.0000 USD |
| USD 0.01 common | Sale | 20 | 25.0100 USD |
| USD 0.01 common | Sale | 99 | 25.2833 USD |
| USD 0.01 common | Sale | 100 | 25.2600 USD |
| USD 0.01 common | Sale | 100 | 25.2550 USD |
| USD 0.01 common | Sale | 100 | 25.1600 USD |
| USD 0.01 common | Sale | 130 | 25.4065 USD |
| USD 0.01 common | Sale | 200 | 25.3350 USD |
| USD 0.01 common | Sale | 219 | 25.2604 USD |
| USD 0.01 common | Sale | 232 | 25.1859 USD |
| USD 0.01 common | Sale | 278 | 25.2941 USD |
| USD 0.01 common | Sale | 380 | 25.0920 USD |
| USD 0.01 common | Sale | 423 | 25.6222 USD |
| USD 0.01 common | Sale | 515 | 25.6200 USD |
| USD 0.01 common | Sale | 517 | 25.2446 USD |
| USD 0.01 common | Sale | 578 | 25.1913 USD |
| USD 0.01 common | Sale | 639 | 25.1476 USD |
| USD 0.01 common | Sale | 678 | 25.1757 USD |
| USD 0.01 common | Sale | 679 | 25.1238 USD |
| USD 0.01 common | Sale | 794 | 25.1695 USD |
| USD 0.01 common | Sale | 800 | 25.3675 USD |
| USD 0.01 common | Sale | 900 | 25.6000 USD |
| USD 0.01 common | Sale | 1,056 | 25.1976 USD |
| USD 0.01 common | Sale | 1,081 | 25.6103 USD |
| USD 0.01 common | Sale | 1,156 | 25.1592 USD |
| USD 0.01 common | Sale | 1,158 | 25.1839 USD |
| USD 0.01 common | Sale | 1,200 | 25.3333 USD |
| USD 0.01 common | Sale | 1,296 | 25.6354 USD |
| USD 0.01 common | Sale | 1,379 | 25.6384 USD |
| USD 0.01 common | Sale | 1,464 | 25.4800 USD |
| USD 0.01 common | Sale | 1,517 | 25.1596 USD |
| USD 0.01 common | Sale | 1,700 | 25.6376 USD |
| USD 0.01 common | Sale | 1,740 | 25.6242 USD |
| USD 0.01 common | Sale | 2,206 | 25.3944 USD |
| USD 0.01 common | Sale | 2,500 | 25.4050 USD |
| USD 0.01 common | Sale | 2,634 | 25.6071 USD |
| USD 0.01 common | Sale | 3,045 | 25.4750 USD |
| USD 0.01 common | Sale | 3,152 | 25.5637 USD |
| USD 0.01 common | Sale | 3,361 | 25.5258 USD |
| USD 0.01 common | Sale | 3,594 | 25.2700 USD |
| USD 0.01 common | Sale | 3,600 | 25.5465 USD |
| USD 0.01 common | Sale | 3,904 | 25.5438 USD |
| USD 0.01 common | Sale | 4,990 | 25.2693 USD |
| USD 0.01 common | Sale | 7,087 | 25.3193 USD |
| USD 0.01 common | Sale | 8,408 | 25.2765 USD |
| USD 0.01 common | Sale | 8,729 | 25.1551 USD |
| USD 0.01 common | Sale | 9,874 | 25.3847 USD |
| USD 0.01 common | Sale | 10,172 | 25.6010 USD |
| USD 0.01 common | Sale | 19,940 | 25.3888 USD |
| USD 0.01 common | Sale | 22,847 | 25.3816 USD |
| USD 0.01 common | Sale | 25,400 | 25.4000 USD |
| USD 0.01 common | Sale | 27,040 | 25.3922 USD |
| USD 0.01 common | Sale | 28,881 | 25.6314 USD |
| USD 0.01 common | Sale | 31,176 | 25.2689 USD |
| USD 0.01 common | Sale | 36,865 | 25.3575 USD |
| USD 0.01 common | Sale | 39,122 | 25.2957 USD |
| USD 0.01 common | Sale | 40,013 | 25.3994 USD |
| USD 0.01 common | Sale | 44,439 | 25.3801 USD |
| USD 0.01 common | Sale | 69,895 | 25.2260 USD |
| USD 0.01 common | Sale | 86,758 | 25.2581 USD |
| USD 0.01 common | Sale | 318,272 | 25.5075 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: | 29 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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| relates |
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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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