Last checked at 13 Aug 2021 11:19
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 | |
| 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 | |
| offeror/offeree, state this and specify identity of | ||
| offeror/offeree: | ||
| (e) | Date position held/dealing undertaken: | 12 August 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: | 1,714,683 | 0.29% | 441,564 | 0.08% | |
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(2) | Cash-settled derivatives: |
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86,098 | 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: | 261,900 | 0.05% | 13,500 | 0.00% | |
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(4) |
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| TOTAL: | 2,062,681 | 0.35% | 1,734,562 | 0.30% | |
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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: | 136,000 | 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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(4) |
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| TOTAL: | 136,000 | 0.02% | 0 | 0.00% | |
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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 | ||
| USD 0.01 common | Purchase | 8 | 26.4000 USD |
| USD 0.01 common | Purchase | 40 | 26.6000 USD |
| USD 0.01 common | Purchase | 41 | 26.5826 USD |
| USD 0.01 common | Purchase | 100 | 22.3850 EUR |
| USD 0.01 common | Purchase | 105 | 26.1850 USD |
| USD 0.01 common | Purchase | 140 | 26.2671 USD |
| USD 0.01 common | Purchase | 140 | 26.2728 USD |
| USD 0.01 common | Purchase | 200 | 26.6500 USD |
| USD 0.01 common | Purchase | 220 | 26.4118 USD |
| USD 0.01 common | Purchase | 251 | 26.2231 USD |
| USD 0.01 common | Purchase | 300 | 26.1100 USD |
| USD 0.01 common | Purchase | 400 | 26.0800 USD |
| USD 0.01 common | Purchase | 400 | 26.1262 USD |
| USD 0.01 common | Purchase | 477 | 22.3184 EUR |
| USD 0.01 common | Purchase | 565 | 26.1367 USD |
| USD 0.01 common | Purchase | 580 | 26.1998 USD |
| USD 0.01 common | Purchase | 595 | 26.0941 USD |
| USD 0.01 common | Purchase | 600 | 26.4016 USD |
| USD 0.01 common | Purchase | 685 | 26.1400 USD |
| USD 0.01 common | Purchase | 720 | 26.2281 USD |
| USD 0.01 common | Purchase | 1,000 | 26.2000 USD |
| USD 0.01 common | Purchase | 1,714 | 26.0764 USD |
| USD 0.01 common | Purchase | 2,101 | 26.3987 USD |
| USD 0.01 common | Purchase | 2,605 | 26.5153 USD |
| USD 0.01 common | Purchase | 2,633 | 26.3754 USD |
| USD 0.01 common | Purchase | 2,685 | 26.0573 USD |
| USD 0.01 common | Purchase | 2,765 | 26.4419 USD |
| USD 0.01 common | Purchase | 3,300 | 26.3780 USD |
| USD 0.01 common | Purchase | 4,117 | 26.0746 USD |
| USD 0.01 common | Purchase | 4,300 | 26.4069 USD |
| USD 0.01 common | Purchase | 4,589 | 26.1922 USD |
| USD 0.01 common | Purchase | 4,631 | 26.4030 USD |
| USD 0.01 common | Purchase | 4,799 | 26.3960 USD |
| USD 0.01 common | Purchase | 4,951 | 26.4487 USD |
| USD 0.01 common | Purchase | 6,006 | 26.5158 USD |
| USD 0.01 common | Purchase | 6,105 | 26.1997 USD |
| USD 0.01 common | Purchase | 6,247 | 26.0979 USD |
| USD 0.01 common | Purchase | 12,989 | 26.3878 USD |
| USD 0.01 common | Purchase | 13,200 | 26.3716 USD |
| USD 0.01 common | Purchase | 14,026 | 26.0000 USD |
| USD 0.01 common | Purchase | 19,383 | 26.1449 USD |
| USD 0.01 common | Purchase | 27,231 | 26.0936 USD |
| USD 0.01 common | Purchase | 28,485 | 26.1135 USD |
| USD 0.01 common | Purchase | 31,220 | 26.2172 USD |
| USD 0.01 common | Purchase | 66,300 | 26.1000 USD |
| USD 0.01 common | Purchase | 102,657 | 26.2623 USD |
| USD 0.01 common | Purchase | 117,418 | 26.0900 USD |
| USD 0.01 common | Purchase | 131,025 | 26.3633 USD |
| USD 0.01 common | Purchase | 140,671 | 26.2518 USD |
| USD 0.01 common | Purchase | 158,693 | 26.2437 USD |
| USD 0.01 common | Purchase | 316,814 | 26.2702 USD |
| USD 0.01 common | Sale | 2 | 26.2300 USD |
| USD 0.01 common | Sale | 3 | 26.0850 USD |
| USD 0.01 common | Sale | 3 | 26.1200 USD |
| USD 0.01 common | Sale | 9 | 26.0600 USD |
| USD 0.01 common | Sale | 9 | 26.0800 USD |
| USD 0.01 common | Sale | 11 | 26.1209 USD |
| USD 0.01 common | Sale | 13 | 26.1300 USD |
| USD 0.01 common | Sale | 15 | 26.3000 USD |
| USD 0.01 common | Sale | 15 | 26.0880 USD |
| USD 0.01 common | Sale | 17 | 26.0835 USD |
| USD 0.01 common | Sale | 18 | 26.1188 USD |
| USD 0.01 common | Sale | 19 | 26.1600 USD |
| USD 0.01 common | Sale | 23 | 26.0886 USD |
| USD 0.01 common | Sale | 26 | 26.1155 USD |
| USD 0.01 common | Sale | 27 | 26.0955 USD |
| USD 0.01 common | Sale | 32 | 26.0970 USD |
| USD 0.01 common | Sale | 34 | 26.1100 USD |
| USD 0.01 common | Sale | 36 | 26.1550 USD |
| USD 0.01 common | Sale | 45 | 26.1023 USD |
| USD 0.01 common | Sale | 45 | 26.0968 USD |
| USD 0.01 common | Sale | 85 | 26.6400 USD |
| USD 0.01 common | Sale | 100 | 26.5750 USD |
| USD 0.01 common | Sale | 100 | 22.3850 EUR |
| USD 0.01 common | Sale | 100 | 26.5550 USD |
| USD 0.01 common | Sale | 100 | 26.5100 USD |
| USD 0.01 common | Sale | 100 | 26.3600 USD |
| USD 0.01 common | Sale | 100 | 26.1650 USD |
| USD 0.01 common | Sale | 100 | 26.0950 USD |
| USD 0.01 common | Sale | 100 | 26.2650 USD |
| USD 0.01 common | Sale | 195 | 26.2207 USD |
| USD 0.01 common | Sale | 200 | 26.1350 USD |
| USD 0.01 common | Sale | 200 | 26.4925 USD |
| USD 0.01 common | Sale | 204 | 26.0972 USD |
| USD 0.01 common | Sale | 226 | 26.5642 USD |
| USD 0.01 common | Sale | 230 | 26.0000 USD |
| USD 0.01 common | Sale | 345 | 26.2256 USD |
| USD 0.01 common | Sale | 418 | 26.0922 USD |
| USD 0.01 common | Sale | 477 | 22.3184 EUR |
| USD 0.01 common | Sale | 500 | 26.3860 USD |
| USD 0.01 common | Sale | 542 | 26.1637 USD |
| USD 0.01 common | Sale | 555 | 26.1916 USD |
| USD 0.01 common | Sale | 600 | 26.1998 USD |
| USD 0.01 common | Sale | 765 | 26.1945 USD |
| USD 0.01 common | Sale | 772 | 26.4550 USD |
| USD 0.01 common | Sale | 800 | 26.3100 USD |
| USD 0.01 common | Sale | 1,192 | 26.3111 USD |
| USD 0.01 common | Sale | 1,322 | 26.5266 USD |
| USD 0.01 common | Sale | 1,549 | 26.1884 USD |
| USD 0.01 common | Sale | 1,730 | 26.3442 USD |
| USD 0.01 common | Sale | 2,168 | 26.4360 USD |
| USD 0.01 common | Sale | 2,401 | 26.2899 USD |
| USD 0.01 common | Sale | 3,861 | 26.2973 USD |
| USD 0.01 common | Sale | 4,117 | 26.0746 USD |
| USD 0.01 common | Sale | 6,600 | 26.3716 USD |
| USD 0.01 common | Sale | 7,518 | 26.3690 USD |
| USD 0.01 common | Sale | 9,449 | 26.1385 USD |
| USD 0.01 common | Sale | 12,164 | 26.2028 USD |
| USD 0.01 common | Sale | 12,227 | 26.2288 USD |
| USD 0.01 common | Sale | 17,099 | 26.0366 USD |
| USD 0.01 common | Sale | 19,360 | 26.1450 USD |
| USD 0.01 common | Sale | 19,861 | 26.2267 USD |
| USD 0.01 common | Sale | 20,411 | 26.2390 USD |
| USD 0.01 common | Sale | 23,074 | 26.1894 USD |
| USD 0.01 common | Sale | 26,851 | 26.0919 USD |
| USD 0.01 common | Sale | 34,177 | 26.1065 USD |
| USD 0.01 common | Sale | 39,287 | 26.2421 USD |
| USD 0.01 common | Sale | 41,174 | 26.2520 USD |
| USD 0.01 common | Sale | 47,707 | 26.2822 USD |
| USD 0.01 common | Sale | 53,959 | 26.3058 USD |
| USD 0.01 common | Sale | 66,300 | 26.1000 USD |
| USD 0.01 common | Sale | 88,118 | 26.2878 USD |
| USD 0.01 common | Sale | 108,703 | 26.2508 USD |
| USD 0.01 common | Sale | 122,552 | 26.0900 USD |
| USD 0.01 common | Sale | 125,429 | 26.2512 USD |
| USD 0.01 common | Sale | 166,842 | 26.2349 USD |
| USD 0.01 common | Sale | 180,300 | 26.3779 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: | 13 Aug 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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| 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 | Call Options | Purchased | 11,400 | 26.0000 | American | 20 Aug 2021 |
| USD 0.01 common | Call Options | Purchased | 50,000 | 25.0000 | American | 20 Aug 2021 |
| USD 0.01 common | Call Options | Purchased | 200,000 | 24.0000 | American | 20 Aug 2021 |
| USD 0.01 common | Put Options | Purchased | -11,400 | 26.0000 | American | 20 Aug 2021 |
| 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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