Last checked at 16 Nov 2021 12:50
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: | 15 November 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 | ||||
| and/or controlled: | 2,002,166 | 0.34% | 953,460 | 0.16% | |
(2) | Cash-settled derivatives: | ||||
657,477 | 0.11% | 1,307,674 | 0.22% | ||
(3) | Stock-settled derivatives (including options) | ||||
| and agreements to purchase/sell: | 500 | 0.00% | 2,100 | 0.00% | |
| TOTAL: | 2,660,143 | 0.46% | 2,263,234 | 0.39% | |
| Class of relevant security: | Convertible Bond US668771AA66 | ||||
| Interests | Short Positions | ||||
| Number | (%) | Number | (%) | ||
(1) | Relevant securities owned | ||||
| and/or controlled: | 376,000 | 0.06% | 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% | |
| TOTAL: | 376,000 | 0.06% | 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 | 10 | 22.1550 EUR |
USD 0.01 common | Purchase | 22 | 25.1900 USD |
USD 0.01 common | Purchase | 38 | 25.1100 USD |
USD 0.01 common | Purchase | 44 | 25.0900 USD |
USD 0.01 common | Purchase | 65 | 25.2200 USD |
USD 0.01 common | Purchase | 66 | 25.0066 USD |
USD 0.01 common | Purchase | 66 | 25.0933 USD |
USD 0.01 common | Purchase | 82 | 24.6792 USD |
USD 0.01 common | Purchase | 88 | 25.0575 USD |
USD 0.01 common | Purchase | 88 | 25.0850 USD |
USD 0.01 common | Purchase | 100 | 25.2400 USD |
USD 0.01 common | Purchase | 100 | 25.1750 USD |
USD 0.01 common | Purchase | 100 | 25.1350 USD |
USD 0.01 common | Purchase | 100 | 25.2100 USD |
USD 0.01 common | Purchase | 122 | 24.8304 USD |
USD 0.01 common | Purchase | 140 | 25.0442 USD |
USD 0.01 common | Purchase | 191 | 25.0250 USD |
USD 0.01 common | Purchase | 200 | 25.0950 USD |
USD 0.01 common | Purchase | 200 | 25.0750 USD |
USD 0.01 common | Purchase | 300 | 24.9400 USD |
USD 0.01 common | Purchase | 300 | 24.9783 USD |
USD 0.01 common | Purchase | 310 | 24.6683 USD |
USD 0.01 common | Purchase | 349 | 25.1471 USD |
USD 0.01 common | Purchase | 366 | 25.0583 USD |
USD 0.01 common | Purchase | 378 | 24.9521 USD |
USD 0.01 common | Purchase | 388 | 22.2655 EUR |
USD 0.01 common | Purchase | 400 | 24.7000 USD |
USD 0.01 common | Purchase | 400 | 24.8975 USD |
USD 0.01 common | Purchase | 412 | 24.8749 USD |
USD 0.01 common | Purchase | 534 | 25.0842 USD |
USD 0.01 common | Purchase | 600 | 24.8716 USD |
USD 0.01 common | Purchase | 689 | 24.6417 USD |
USD 0.01 common | Purchase | 700 | 25.0221 USD |
USD 0.01 common | Purchase | 800 | 24.9175 USD |
USD 0.01 common | Purchase | 800 | 25.0400 USD |
USD 0.01 common | Purchase | 1,018 | 24.7454 USD |
USD 0.01 common | Purchase | 1,175 | 24.6542 USD |
USD 0.01 common | Purchase | 1,280 | 24.9983 USD |
USD 0.01 common | Purchase | 1,300 | 25.0111 USD |
USD 0.01 common | Purchase | 1,341 | 24.9137 USD |
USD 0.01 common | Purchase | 1,516 | 24.6941 USD |
USD 0.01 common | Purchase | 1,800 | 24.6530 USD |
USD 0.01 common | Purchase | 1,900 | 24.8744 USD |
USD 0.01 common | Purchase | 2,258 | 24.8842 USD |
USD 0.01 common | Purchase | 2,400 | 25.1995 USD |
USD 0.01 common | Purchase | 2,787 | 25.0904 USD |
USD 0.01 common | Purchase | 3,037 | 24.7007 USD |
USD 0.01 common | Purchase | 3,067 | 25.1105 USD |
USD 0.01 common | Purchase | 3,261 | 24.7341 USD |
USD 0.01 common | Purchase | 3,417 | 24.6957 USD |
USD 0.01 common | Purchase | 3,449 | 24.6704 USD |
USD 0.01 common | Purchase | 3,613 | 24.5667 USD |
USD 0.01 common | Purchase | 3,776 | 24.6776 USD |
USD 0.01 common | Purchase | 4,007 | 24.6228 USD |
USD 0.01 common | Purchase | 4,400 | 24.7252 USD |
USD 0.01 common | Purchase | 5,218 | 25.1492 USD |
USD 0.01 common | Purchase | 6,639 | 25.0271 USD |
USD 0.01 common | Purchase | 6,685 | 25.1500 USD |
USD 0.01 common | Purchase | 6,946 | 25.1812 USD |
USD 0.01 common | Purchase | 7,600 | 25.1519 USD |
USD 0.01 common | Purchase | 10,569 | 25.1000 USD |
USD 0.01 common | Purchase | 11,446 | 24.7862 USD |
USD 0.01 common | Purchase | 13,370 | 24.9876 USD |
USD 0.01 common | Purchase | 16,462 | 25.0677 USD |
USD 0.01 common | Purchase | 17,952 | 24.6789 USD |
USD 0.01 common | Purchase | 18,526 | 24.7141 USD |
USD 0.01 common | Purchase | 19,320 | 25.4000 USD |
USD 0.01 common | Purchase | 28,756 | 24.6816 USD |
USD 0.01 common | Purchase | 28,756 | 24.6567 USD |
USD 0.01 common | Purchase | 30,000 | 24.8082 USD |
USD 0.01 common | Purchase | 30,499 | 25.0815 USD |
USD 0.01 common | Purchase | 32,692 | 24.9402 USD |
USD 0.01 common | Purchase | 34,522 | 24.9518 USD |
USD 0.01 common | Purchase | 39,344 | 24.8941 USD |
USD 0.01 common | Purchase | 42,080 | 24.9532 USD |
USD 0.01 common | Purchase | 44,714 | 24.6699 USD |
USD 0.01 common | Purchase | 51,406 | 25.1515 USD |
USD 0.01 common | Purchase | 89,717 | 24.9388 USD |
USD 0.01 common | Purchase | 118,712 | 24.8416 USD |
USD 0.01 common | Purchase | 143,223 | 24.9988 USD |
USD 0.01 common | Purchase | 478,587 | 24.5738 USD |
USD 0.01 common | Sale | 10 | 22.1550 EUR |
USD 0.01 common | Sale | 27 | 24.7100 USD |
USD 0.01 common | Sale | 28 | 25.0800 USD |
USD 0.01 common | Sale | 41 | 24.6792 USD |
USD 0.01 common | Sale | 80 | 25.1426 USD |
USD 0.01 common | Sale | 93 | 24.5550 USD |
USD 0.01 common | Sale | 94 | 24.8672 USD |
USD 0.01 common | Sale | 100 | 24.7050 USD |
USD 0.01 common | Sale | 100 | 24.5600 USD |
USD 0.01 common | Sale | 100 | 24.5500 USD |
USD 0.01 common | Sale | 102 | 24.7237 USD |
USD 0.01 common | Sale | 114 | 24.6573 USD |
USD 0.01 common | Sale | 129 | 25.1244 USD |
USD 0.01 common | Sale | 133 | 24.7830 USD |
USD 0.01 common | Sale | 156 | 24.7375 USD |
USD 0.01 common | Sale | 196 | 24.8503 USD |
USD 0.01 common | Sale | 200 | 24.6050 USD |
USD 0.01 common | Sale | 200 | 24.5200 USD |
USD 0.01 common | Sale | 200 | 24.6450 USD |
USD 0.01 common | Sale | 200 | 25.0660 USD |
USD 0.01 common | Sale | 259 | 25.0696 USD |
USD 0.01 common | Sale | 300 | 24.5133 USD |
USD 0.01 common | Sale | 300 | 24.7166 USD |
USD 0.01 common | Sale | 300 | 25.0100 USD |
USD 0.01 common | Sale | 343 | 24.7526 USD |
USD 0.01 common | Sale | 388 | 22.2655 EUR |
USD 0.01 common | Sale | 400 | 24.8150 USD |
USD 0.01 common | Sale | 400 | 24.5825 USD |
USD 0.01 common | Sale | 457 | 24.6224 USD |
USD 0.01 common | Sale | 500 | 24.7350 USD |
USD 0.01 common | Sale | 500 | 24.7630 USD |
USD 0.01 common | Sale | 500 | 24.6320 USD |
USD 0.01 common | Sale | 500 | 24.8160 USD |
USD 0.01 common | Sale | 528 | 24.5767 USD |
USD 0.01 common | Sale | 535 | 25.3000 USD |
USD 0.01 common | Sale | 600 | 25.2333 USD |
USD 0.01 common | Sale | 700 | 24.5110 USD |
USD 0.01 common | Sale | 849 | 25.0701 USD |
USD 0.01 common | Sale | 900 | 24.4833 USD |
USD 0.01 common | Sale | 1,000 | 24.5370 USD |
USD 0.01 common | Sale | 1,298 | 25.1202 USD |
USD 0.01 common | Sale | 1,324 | 24.5536 USD |
USD 0.01 common | Sale | 1,381 | 24.5036 USD |
USD 0.01 common | Sale | 2,000 | 24.7700 USD |
USD 0.01 common | Sale | 2,100 | 25.3190 USD |
USD 0.01 common | Sale | 2,129 | 24.5103 USD |
USD 0.01 common | Sale | 2,305 | 24.7569 USD |
USD 0.01 common | Sale | 2,730 | 24.8438 USD |
USD 0.01 common | Sale | 2,787 | 25.0904 USD |
USD 0.01 common | Sale | 3,433 | 24.5388 USD |
USD 0.01 common | Sale | 3,601 | 24.7274 USD |
USD 0.01 common | Sale | 4,087 | 25.3384 USD |
USD 0.01 common | Sale | 4,601 | 25.0967 USD |
USD 0.01 common | Sale | 6,412 | 25.0378 USD |
USD 0.01 common | Sale | 7,000 | 25.1449 USD |
USD 0.01 common | Sale | 8,085 | 24.6053 USD |
USD 0.01 common | Sale | 8,385 | 25.0740 USD |
USD 0.01 common | Sale | 9,155 | 24.5009 USD |
USD 0.01 common | Sale | 9,499 | 24.5150 USD |
USD 0.01 common | Sale | 10,265 | 24.7190 USD |
USD 0.01 common | Sale | 11,646 | 24.7889 USD |
USD 0.01 common | Sale | 11,757 | 24.8352 USD |
USD 0.01 common | Sale | 13,620 | 24.9959 USD |
USD 0.01 common | Sale | 15,000 | 24.8082 USD |
USD 0.01 common | Sale | 16,334 | 25.0103 USD |
USD 0.01 common | Sale | 17,176 | 24.5025 USD |
USD 0.01 common | Sale | 20,962 | 24.9067 USD |
USD 0.01 common | Sale | 22,849 | 25.0424 USD |
USD 0.01 common | Sale | 32,371 | 25.0682 USD |
USD 0.01 common | Sale | 42,080 | 24.9532 USD |
USD 0.01 common | Sale | 44,665 | 24.6707 USD |
USD 0.01 common | Sale | 56,960 | 25.1500 USD |
USD 0.01 common | Sale | 60,130 | 24.8545 USD |
USD 0.01 common | Sale | 75,000 | 24.8959 USD |
USD 0.01 common | Sale | 79,922 | 24.9320 USD |
USD 0.01 common | Sale | 142,149 | 25.0032 USD |
USD 0.01 common | Sale | 481,956 | 24.5817 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 | 11,516 | 24.9404 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: | 16 Nov 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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