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. |
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(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: |
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(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 | |||||
Interests | Short 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 | |||||
Interests | Short 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: |
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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 | 1 | 25.6000 USD | ||||
USD 0.01 common | Purchase | 4 | 25.5900 USD | ||||
USD 0.01 common | Purchase | 4 | 25.6050 USD | ||||
USD 0.01 common | Purchase | 4 | 25.5675 USD | ||||
USD 0.01 common | Purchase | 11 | 25.6081 USD | ||||
USD 0.01 common | Purchase | 17 | 25.6950 USD | ||||
USD 0.01 common | Purchase | 17 | 25.6800 USD | ||||
USD 0.01 common | Purchase | 23 | 25.5943 USD | ||||
USD 0.01 common | Purchase | 58 | 25.5853 USD | ||||
USD 0.01 common | Purchase | 100 | 25.6400 USD | ||||
USD 0.01 common | Purchase | 101 | 25.7146 USD | ||||
USD 0.01 common | Purchase | 109 | 25.7115 USD | ||||
USD 0.01 common | Purchase | 201 | 25.5602 USD | ||||
USD 0.01 common | Purchase | 202 | 25.7101 USD | ||||
USD 0.01 common | Purchase | 300 | 25.6866 USD | ||||
USD 0.01 common | Purchase | 302 | 25.7156 USD | ||||
USD 0.01 common | Purchase | 310 | 25.6112 USD | ||||
USD 0.01 common | Purchase | 400 | 25.5350 USD | ||||
USD 0.01 common | Purchase | 400 | 25.6200 USD | ||||
USD 0.01 common | Purchase | 506 | 25.7292 USD | ||||
USD 0.01 common | Purchase | 600 | 25.7033 USD | ||||
USD 0.01 common | Purchase | 604 | 25.6764 USD | ||||
USD 0.01 common | Purchase | 1,200 | 25.6812 USD | ||||
USD 0.01 common | Purchase | 1,300 | 25.5638 USD | ||||
USD 0.01 common | Purchase | 1,300 | 25.6657 USD | ||||
USD 0.01 common | Purchase | 1,300 | 25.6734 USD | ||||
USD 0.01 common | Purchase | 1,681 | 25.5601 USD | ||||
USD 0.01 common | Purchase | 1,700 | 25.6720 USD | ||||
USD 0.01 common | Purchase | 1,700 | 25.6882 USD | ||||
USD 0.01 common | Purchase | 2,400 | 25.6813 USD | ||||
USD 0.01 common | Purchase | 2,700 | 25.6807 USD | ||||
USD 0.01 common | Purchase | 2,900 | 25.6801 USD | ||||
USD 0.01 common | Purchase | 3,202 | 25.6655 USD | ||||
USD 0.01 common | Purchase | 3,941 | 25.6680 USD | ||||
USD 0.01 common | Purchase | 5,458 | 25.6480 USD | ||||
USD 0.01 common | Purchase | 5,858 | 25.7300 USD | ||||
USD 0.01 common | Purchase | 6,246 | 25.7184 USD | ||||
USD 0.01 common | Purchase | 9,113 | 25.6318 USD | ||||
USD 0.01 common | Purchase | 11,911 | 25.6514 USD | ||||
USD 0.01 common | Purchase | 12,339 | 25.6534 USD | ||||
USD 0.01 common | Purchase | 13,550 | 25.5812 USD | ||||
USD 0.01 common | Purchase | 15,167 | 25.6995 USD | ||||
USD 0.01 common | Purchase | 15,691 | 25.6526 USD | ||||
USD 0.01 common | Purchase | 16,020 | 25.7208 USD | ||||
USD 0.01 common | Purchase | 39,049 | 25.7291 USD | ||||
USD 0.01 common | Purchase | 92,061 | 25.6858 USD | ||||
USD 0.01 common | Purchase | 105,500 | 25.7235 USD | ||||
USD 0.01 common | Sale | 2 | 25.5900 USD | ||||
USD 0.01 common | Sale | 4 | 25.6350 USD | ||||
USD 0.01 common | Sale | 6 | 25.6700 USD | ||||
USD 0.01 common | Sale | 7 | 25.6042 USD | ||||
USD 0.01 common | Sale | 7 | 25.6128 USD | ||||
USD 0.01 common | Sale | 11 | 25.6300 USD | ||||
USD 0.01 common | Sale | 11 | 25.6681 USD | ||||
USD 0.01 common | Sale | 12 | 25.6341 USD | ||||
USD 0.01 common | Sale | 12 | 25.6000 USD | ||||
USD 0.01 common | Sale | 13 | 25.6161 USD | ||||
USD 0.01 common | Sale | 14 | 25.6371 USD | ||||
USD 0.01 common | Sale | 17 | 25.6950 USD | ||||
USD 0.01 common | Sale | 17 | 25.6800 USD | ||||
USD 0.01 common | Sale | 21 | 25.6247 USD | ||||
USD 0.01 common | Sale | 22 | 25.6445 USD | ||||
USD 0.01 common | Sale | 22 | 25.6404 USD | ||||
USD 0.01 common | Sale | 23 | 25.6569 USD | ||||
USD 0.01 common | Sale | 26 | 25.6457 USD | ||||
USD 0.01 common | Sale | 26 | 25.6253 USD | ||||
USD 0.01 common | Sale | 27 | 25.6459 USD | ||||
USD 0.01 common | Sale | 34 | 25.6697 USD | ||||
USD 0.01 common | Sale | 34 | 25.6852 USD | ||||
USD 0.01 common | Sale | 42 | 25.6521 USD | ||||
USD 0.01 common | Sale | 77 | 25.5100 USD | ||||
USD 0.01 common | Sale | 81 | 25.4300 USD | ||||
USD 0.01 common | Sale | 85 | 25.6443 USD | ||||
USD 0.01 common | Sale | 100 | 25.6400 USD | ||||
USD 0.01 common | Sale | 100 | 25.6200 USD | ||||
USD 0.01 common | Sale | 100 | 25.4500 USD | ||||
USD 0.01 common | Sale | 100 | 25.6500 USD | ||||
USD 0.01 common | Sale | 114 | 25.6390 USD | ||||
USD 0.01 common | Sale | 170 | 25.6794 USD | ||||
USD 0.01 common | Sale | 202 | 25.6899 USD | ||||
USD 0.01 common | Sale | 222 | 25.6100 USD | ||||
USD 0.01 common | Sale | 223 | 25.5473 USD | ||||
USD 0.01 common | Sale | 400 | 25.5662 USD | ||||
USD 0.01 common | Sale | 443 | 25.6150 USD | ||||
USD 0.01 common | Sale | 600 | 25.6550 USD | ||||
USD 0.01 common | Sale | 653 | 25.6740 USD | ||||
USD 0.01 common | Sale | 1,322 | 25.6724 USD | ||||
USD 0.01 common | Sale | 1,670 | 25.6881 USD | ||||
USD 0.01 common | Sale | 2,141 | 25.6435 USD | ||||
USD 0.01 common | Sale | 2,448 | 25.7265 USD | ||||
USD 0.01 common | Sale | 3,034 | 25.6680 USD | ||||
USD 0.01 common | Sale | 3,494 | 25.6644 USD | ||||
USD 0.01 common | Sale | 3,508 | 25.6491 USD | ||||
USD 0.01 common | Sale | 5,090 | 25.7254 USD | ||||
USD 0.01 common | Sale | 5,600 | 25.7268 USD | ||||
USD 0.01 common | Sale | 6,317 | 25.6883 USD | ||||
USD 0.01 common | Sale | 10,361 | 25.6744 USD | ||||
USD 0.01 common | Sale | 10,813 | 25.6232 USD | ||||
USD 0.01 common | Sale | 11,641 | 25.6562 USD | ||||
USD 0.01 common | Sale | 12,238 | 25.6582 USD | ||||
USD 0.01 common | Sale | 15,751 | 25.5783 USD | ||||
USD 0.01 common | Sale | 51,718 | 25.7300 USD | ||||
USD 0.01 common | Sale | 55,256 | 25.6723 USD | ||||
USD 0.01 common | Sale | 63,220 | 25.6922 USD | ||||
USD 0.01 common | Sale | 106,218 | 25.7230 USD |
(b) Cash-settled derivative transactions
Class of | Product | Nature of dealing | Number of | Price per | |||
relevant | description | reference | unit | ||||
security | securities | ||||||
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 |
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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 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)
Class | Product | Writing, | Number | Exercise | Type | Expiry | |
of | description | purchasing, | of | price | date | ||
relevant | selling, | securities | per unit | ||||
security | varying etc | to which | |||||
option | |||||||
relates | |||||||
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
View source version on businesswire.com: https://www.businesswire.com/news/home/20211008005196/en/
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