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Pin to quick picksBarclays Regulatory News (BARC)

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Form 8.3 - NORTONLIFELOCK INC

8 Oct 2021 11:51

 

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 interests and short positions disclosed, if different from 1(a):

The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.

 

(c) Name of offeror/offeree in relation to whose relevant securities this form relates:

Use a separate form for each offeror/offeree

NORTONLIFELOCK INC

(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:

For an opening position disclosure, state the latest practicable date prior to the disclosure

7 Oct 2021

(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer?

If it is a cash offer or possible cash offer, state “N/A”

YES : 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
InterestsShort Positions
Number(%)Number(%)

(1)

Relevant securities owned
and/or controlled:

1,514,391

0.26%

694,352

0.12%

 

(2)

Cash-settled derivatives:

354,367

0.06%

1,028,322

0.18%

 

(3)

Stock-settled derivatives (including options)
and agreements to purchase/sell:

500

0.00%

2,100

0.00%

 

(4)

TOTAL:

1,869,258

0.32%

1,724,774

0.30%

 
Class of relevant security:Convertible Bond US668771AA66
InterestsShort Positions
Number(%)Number(%)

(1)

Relevant securities owned
and/or controlled:

146,000

0.03%

0

0.00%

 

(2)

Cash-settled derivatives:

0

0.00%

0

0.00%

 

(3)

Stock-settled derivatives (including options)
and agreements to purchase/sell:

0

0.00%

0

0.00%

 

(4)

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:

 

Details, including nature of the rights concerned and relevant percentages:

 

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 relevantPurchase/saleNumber ofPrice per unit
securitysecurities
USD 0.01 commonPurchase

1

25.6000 USD
USD 0.01 commonPurchase

4

25.5900 USD
USD 0.01 commonPurchase

4

25.6050 USD
USD 0.01 commonPurchase

4

25.5675 USD
USD 0.01 commonPurchase

11

25.6081 USD
USD 0.01 commonPurchase

17

25.6950 USD
USD 0.01 commonPurchase

17

25.6800 USD
USD 0.01 commonPurchase

23

25.5943 USD
USD 0.01 commonPurchase

58

25.5853 USD
USD 0.01 commonPurchase

100

25.6400 USD
USD 0.01 commonPurchase

101

25.7146 USD
USD 0.01 commonPurchase

109

25.7115 USD
USD 0.01 commonPurchase

201

25.5602 USD
USD 0.01 commonPurchase

202

25.7101 USD
USD 0.01 commonPurchase

300

25.6866 USD
USD 0.01 commonPurchase

302

25.7156 USD
USD 0.01 commonPurchase

310

25.6112 USD
USD 0.01 commonPurchase

400

25.5350 USD
USD 0.01 commonPurchase

400

25.6200 USD
USD 0.01 commonPurchase

506

25.7292 USD
USD 0.01 commonPurchase

600

25.7033 USD
USD 0.01 commonPurchase

604

25.6764 USD
USD 0.01 commonPurchase

1,200

25.6812 USD
USD 0.01 commonPurchase

1,300

25.5638 USD
USD 0.01 commonPurchase

1,300

25.6657 USD
USD 0.01 commonPurchase

1,300

25.6734 USD
USD 0.01 commonPurchase

1,681

25.5601 USD
USD 0.01 commonPurchase

1,700

25.6720 USD
USD 0.01 commonPurchase

1,700

25.6882 USD
USD 0.01 commonPurchase

2,400

25.6813 USD
USD 0.01 commonPurchase

2,700

25.6807 USD
USD 0.01 commonPurchase

2,900

25.6801 USD
USD 0.01 commonPurchase

3,202

25.6655 USD
USD 0.01 commonPurchase

3,941

25.6680 USD
USD 0.01 commonPurchase

5,458

25.6480 USD
USD 0.01 commonPurchase

5,858

25.7300 USD
USD 0.01 commonPurchase

6,246

25.7184 USD
USD 0.01 commonPurchase

9,113

25.6318 USD
USD 0.01 commonPurchase

11,911

25.6514 USD
USD 0.01 commonPurchase

12,339

25.6534 USD
USD 0.01 commonPurchase

13,550

25.5812 USD
USD 0.01 commonPurchase

15,167

25.6995 USD
USD 0.01 commonPurchase

15,691

25.6526 USD
USD 0.01 commonPurchase

16,020

25.7208 USD
USD 0.01 commonPurchase

39,049

25.7291 USD
USD 0.01 commonPurchase

92,061

25.6858 USD
USD 0.01 commonPurchase

105,500

25.7235 USD
USD 0.01 commonSale

2

25.5900 USD
USD 0.01 commonSale

4

25.6350 USD
USD 0.01 commonSale

6

25.6700 USD
USD 0.01 commonSale

7

25.6042 USD
USD 0.01 commonSale

7

25.6128 USD
USD 0.01 commonSale

11

25.6300 USD
USD 0.01 commonSale

11

25.6681 USD
USD 0.01 commonSale

12

25.6341 USD
USD 0.01 commonSale

12

25.6000 USD
USD 0.01 commonSale

13

25.6161 USD
USD 0.01 commonSale

14

25.6371 USD
USD 0.01 commonSale

17

25.6950 USD
USD 0.01 commonSale

17

25.6800 USD
USD 0.01 commonSale

21

25.6247 USD
USD 0.01 commonSale

22

25.6445 USD
USD 0.01 commonSale

22

25.6404 USD
USD 0.01 commonSale

23

25.6569 USD
USD 0.01 commonSale

26

25.6457 USD
USD 0.01 commonSale

26

25.6253 USD
USD 0.01 commonSale

27

25.6459 USD
USD 0.01 commonSale

34

25.6697 USD
USD 0.01 commonSale

34

25.6852 USD
USD 0.01 commonSale

42

25.6521 USD
USD 0.01 commonSale

77

25.5100 USD
USD 0.01 commonSale

81

25.4300 USD
USD 0.01 commonSale

85

25.6443 USD
USD 0.01 commonSale

100

25.6400 USD
USD 0.01 commonSale

100

25.6200 USD
USD 0.01 commonSale

100

25.4500 USD
USD 0.01 commonSale

100

25.6500 USD
USD 0.01 commonSale

114

25.6390 USD
USD 0.01 commonSale

170

25.6794 USD
USD 0.01 commonSale

202

25.6899 USD
USD 0.01 commonSale

222

25.6100 USD
USD 0.01 commonSale

223

25.5473 USD
USD 0.01 commonSale

400

25.5662 USD
USD 0.01 commonSale

443

25.6150 USD
USD 0.01 commonSale

600

25.6550 USD
USD 0.01 commonSale

653

25.6740 USD
USD 0.01 commonSale

1,322

25.6724 USD
USD 0.01 commonSale

1,670

25.6881 USD
USD 0.01 commonSale

2,141

25.6435 USD
USD 0.01 commonSale

2,448

25.7265 USD
USD 0.01 commonSale

3,034

25.6680 USD
USD 0.01 commonSale

3,494

25.6644 USD
USD 0.01 commonSale

3,508

25.6491 USD
USD 0.01 commonSale

5,090

25.7254 USD
USD 0.01 commonSale

5,600

25.7268 USD
USD 0.01 commonSale

6,317

25.6883 USD
USD 0.01 commonSale

10,361

25.6744 USD
USD 0.01 commonSale

10,813

25.6232 USD
USD 0.01 commonSale

11,641

25.6562 USD
USD 0.01 commonSale

12,238

25.6582 USD
USD 0.01 commonSale

15,751

25.5783 USD
USD 0.01 commonSale

51,718

25.7300 USD
USD 0.01 commonSale

55,256

25.6723 USD
USD 0.01 commonSale

63,220

25.6922 USD
USD 0.01 commonSale

106,218

25.7230 USD

(b) Cash-settled derivative transactions

Class ofProductNature of dealingNumber ofPrice per
relevantdescriptionreferenceunit
securitysecurities

USD 0.01 common

SWAP

Long

423

25.5600 USD

 

(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

 

 

 

 

 

 

 

 

(ii) Exercise

Class of relevant security

Product description

e.g. call option

Exercising/ exercised against

Number of securities

Exercise price per unit

 

 

 

 

 

 

(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)

 

 

 

 

 

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

 

(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

 

(c) Attachments

Is a Supplemental Form 8 (Open Positions) attached?

YES

Date of disclosure:

8 October 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

Full name of person making disclosure:

Barclays PLC.

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

NORTONLIFELOCK INC

2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

ClassProductWriting,NumberExerciseTypeExpiry
ofdescriptionpurchasing,ofpricedate
relevantselling,securitiesper unit
securityvarying etcto which
option
relates
USD 0.01 commonCall OptionsPurchased

500

27.0000

American21 Jan 2022
USD 0.01 commonPut OptionsPurchased

-2,100

30.0000

American21 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:

 

 

 

 

 

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

View source version on businesswire.com: https://www.businesswire.com/news/home/20211008005196/en/

Copyright Business Wire 2021

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