Last checked at 11 Oct 2021 11:10
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
| Class of relevant security: | 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: | 08 October 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 |
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Interests | Short Positions | |||||
Number | (%) | Number | (%) | |||
(1) | Relevant securities owned |
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| and/or controlled: | 1,479,327 | 0.25% | 713,164 | 0.12% | ||
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(2) | Cash-settled derivatives: |
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354,367 | 0.06% | 1,028,322 | 0.18% | |||
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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: | 1,834,194 | 0.32% | 1,743,586 | 0.30% | ||
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| Class of relevant security: | Convertible Bond US668771AA66 |
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Interests | Short Positions | |||||
Number | (%) | Number | (%) | |||
(1) | Relevant securities owned |
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| and/or controlled: | 146,000 | 0.03% | 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: | 146,000 | 0.03% | 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 |
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| securities |
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USD 0.01 common | Purchase | 8 | 25.6925 USD | ||||
USD 0.01 common | Purchase | 39 | 25.7800 USD | ||||
USD 0.01 common | Purchase | 57 | 25.8201 USD | ||||
USD 0.01 common | Purchase | 78 | 25.6200 USD | ||||
USD 0.01 common | Purchase | 100 | 25.8500 USD | ||||
USD 0.01 common | Purchase | 100 | 22.2650 EUR | ||||
USD 0.01 common | Purchase | 100 | 25.8186 USD | ||||
USD 0.01 common | Purchase | 101 | 25.8125 USD | ||||
USD 0.01 common | Purchase | 120 | 25.7940 USD | ||||
USD 0.01 common | Purchase | 128 | 25.8140 USD | ||||
USD 0.01 common | Purchase | 136 | 25.7652 USD | ||||
USD 0.01 common | Purchase | 167 | 25.8190 USD | ||||
USD 0.01 common | Purchase | 196 | 25.8177 USD | ||||
USD 0.01 common | Purchase | 233 | 25.8074 USD | ||||
USD 0.01 common | Purchase | 269 | 25.7994 USD | ||||
USD 0.01 common | Purchase | 300 | 25.6333 USD | ||||
USD 0.01 common | Purchase | 394 | 25.7675 USD | ||||
USD 0.01 common | Purchase | 437 | 25.6734 USD | ||||
USD 0.01 common | Purchase | 1,003 | 25.7369 USD | ||||
USD 0.01 common | Purchase | 2,552 | 25.7137 USD | ||||
USD 0.01 common | Purchase | 2,835 | 25.7472 USD | ||||
USD 0.01 common | Purchase | 3,609 | 25.7632 USD | ||||
USD 0.01 common | Purchase | 4,404 | 25.7214 USD | ||||
USD 0.01 common | Purchase | 4,519 | 25.7392 USD | ||||
USD 0.01 common | Purchase | 8,649 | 25.7162 USD | ||||
USD 0.01 common | Purchase | 9,553 | 25.7375 USD | ||||
USD 0.01 common | Purchase | 20,736 | 25.7180 USD | ||||
USD 0.01 common | Purchase | 25,296 | 25.6700 USD | ||||
USD 0.01 common | Purchase | 32,953 | 25.6791 USD | ||||
USD 0.01 common | Purchase | 36,100 | 25.8015 USD | ||||
USD 0.01 common | Purchase | 46,300 | 25.8299 USD | ||||
USD 0.01 common | Purchase | 49,741 | 25.6712 USD | ||||
USD 0.01 common | Purchase | 79,337 | 25.7338 USD | ||||
USD 0.01 common | Sale | 9 | 25.7100 USD | ||||
USD 0.01 common | Sale | 21 | 25.6800 USD | ||||
USD 0.01 common | Sale | 21 | 25.7200 USD | ||||
USD 0.01 common | Sale | 28 | 25.6750 USD | ||||
USD 0.01 common | Sale | 30 | 25.6825 USD | ||||
USD 0.01 common | Sale | 39 | 25.7800 USD | ||||
USD 0.01 common | Sale | 45 | 25.6650 USD | ||||
USD 0.01 common | Sale | 55 | 25.6769 USD | ||||
USD 0.01 common | Sale | 55 | 25.6781 USD | ||||
USD 0.01 common | Sale | 100 | 22.2650 EUR | ||||
USD 0.01 common | Sale | 100 | 25.7900 USD | ||||
USD 0.01 common | Sale | 105 | 25.6542 USD | ||||
USD 0.01 common | Sale | 105 | 25.6850 USD | ||||
USD 0.01 common | Sale | 115 | 25.6950 USD | ||||
USD 0.01 common | Sale | 144 | 25.7019 USD | ||||
USD 0.01 common | Sale | 200 | 25.8300 USD | ||||
USD 0.01 common | Sale | 221 | 25.6930 USD | ||||
USD 0.01 common | Sale | 530 | 25.7066 USD | ||||
USD 0.01 common | Sale | 533 | 25.6756 USD | ||||
USD 0.01 common | Sale | 600 | 25.7558 USD | ||||
USD 0.01 common | Sale | 621 | 25.6600 USD | ||||
USD 0.01 common | Sale | 690 | 25.6993 USD | ||||
USD 0.01 common | Sale | 700 | 25.7685 USD | ||||
USD 0.01 common | Sale | 700 | 25.6821 USD | ||||
USD 0.01 common | Sale | 714 | 25.7165 USD | ||||
USD 0.01 common | Sale | 778 | 25.7016 USD | ||||
USD 0.01 common | Sale | 800 | 25.7775 USD | ||||
USD 0.01 common | Sale | 850 | 25.6664 USD | ||||
USD 0.01 common | Sale | 864 | 25.7913 USD | ||||
USD 0.01 common | Sale | 878 | 25.7430 USD | ||||
USD 0.01 common | Sale | 899 | 25.7643 USD | ||||
USD 0.01 common | Sale | 937 | 25.7134 USD | ||||
USD 0.01 common | Sale | 944 | 25.7532 USD | ||||
USD 0.01 common | Sale | 1,016 | 25.7018 USD | ||||
USD 0.01 common | Sale | 1,128 | 25.7223 USD | ||||
USD 0.01 common | Sale | 1,306 | 25.7597 USD | ||||
USD 0.01 common | Sale | 1,351 | 25.7045 USD | ||||
USD 0.01 common | Sale | 1,497 | 25.7320 USD | ||||
USD 0.01 common | Sale | 1,588 | 25.7292 USD | ||||
USD 0.01 common | Sale | 1,763 | 25.7313 USD | ||||
USD 0.01 common | Sale | 1,965 | 25.6996 USD | ||||
USD 0.01 common | Sale | 2,400 | 25.7241 USD | ||||
USD 0.01 common | Sale | 2,435 | 25.7348 USD | ||||
USD 0.01 common | Sale | 2,767 | 25.7179 USD | ||||
USD 0.01 common | Sale | 2,904 | 25.7244 USD | ||||
USD 0.01 common | Sale | 3,411 | 25.7521 USD | ||||
USD 0.01 common | Sale | 3,682 | 25.7189 USD | ||||
USD 0.01 common | Sale | 4,288 | 25.7749 USD | ||||
USD 0.01 common | Sale | 4,466 | 25.7150 USD | ||||
USD 0.01 common | Sale | 4,803 | 25.7752 USD | ||||
USD 0.01 common | Sale | 4,899 | 25.7664 USD | ||||
USD 0.01 common | Sale | 4,915 | 25.7593 USD | ||||
USD 0.01 common | Sale | 4,949 | 25.8031 USD | ||||
USD 0.01 common | Sale | 6,005 | 25.7628 USD | ||||
USD 0.01 common | Sale | 6,634 | 25.7437 USD | ||||
USD 0.01 common | Sale | 7,455 | 25.6784 USD | ||||
USD 0.01 common | Sale | 8,803 | 25.7169 USD | ||||
USD 0.01 common | Sale | 21,401 | 25.6700 USD | ||||
USD 0.01 common | Sale | 21,476 | 25.8146 USD | ||||
USD 0.01 common | Sale | 31,458 | 25.6773 USD | ||||
USD 0.01 common | Sale | 46,623 | 25.8291 USD | ||||
USD 0.01 common | Sale | 49,693 | 25.6777 USD | ||||
USD 0.01 common | Sale | 54,844 | 25.7311 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 Oct 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 |
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| selling, | securities | per unit |
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security |
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| 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.
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