Last checked at 4 Aug 2021 13:22
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: | 03 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 |
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Interests | Short Positions | ||||
Number | (%) | Number | (%) | ||
(1) | Relevant securities owned |
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| and/or controlled: | 2,001,587 | 0.34% | 298,540 | 0.05% | |
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(2) | Cash-settled derivatives: |
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83,335 | 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: | 500 | 0.00% | 2,100 | 0.00% | |
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| TOTAL: | 2,085,422 | 0.36% | 1,580,138 | 0.27% | |
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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: | 128,000 | 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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| TOTAL: | 128,000 | 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 | 1 | 24.5500 USD |
| USD 0.01 common | Purchase | 50 | 24.8800 USD |
| USD 0.01 common | Purchase | 100 | 24.7400 USD |
| USD 0.01 common | Purchase | 100 | 24.5800 USD |
| USD 0.01 common | Purchase | 150 | 24.9000 USD |
| USD 0.01 common | Purchase | 205 | 24.5860 USD |
| USD 0.01 common | Purchase | 300 | 24.7600 USD |
| USD 0.01 common | Purchase | 558 | 24.7417 USD |
| USD 0.01 common | Purchase | 620 | 24.7381 USD |
| USD 0.01 common | Purchase | 650 | 24.6811 USD |
| USD 0.01 common | Purchase | 817 | 24.5424 USD |
| USD 0.01 common | Purchase | 925 | 24.7279 USD |
| USD 0.01 common | Purchase | 1,295 | 24.5037 USD |
| USD 0.01 common | Purchase | 1,328 | 24.7611 USD |
| USD 0.01 common | Purchase | 1,510 | 24.6349 USD |
| USD 0.01 common | Purchase | 1,519 | 24.7394 USD |
| USD 0.01 common | Purchase | 4,021 | 24.5040 USD |
| USD 0.01 common | Purchase | 5,942 | 24.5886 USD |
| USD 0.01 common | Purchase | 5,984 | 24.6205 USD |
| USD 0.01 common | Purchase | 6,316 | 24.5043 USD |
| USD 0.01 common | Purchase | 7,784 | 24.7059 USD |
| USD 0.01 common | Purchase | 10,978 | 24.4823 USD |
| USD 0.01 common | Purchase | 27,924 | 24.5000 USD |
| USD 0.01 common | Purchase | 31,771 | 24.6052 USD |
| USD 0.01 common | Purchase | 56,522 | 24.6904 USD |
| USD 0.01 common | Purchase | 62,686 | 24.5097 USD |
| USD 0.01 common | Purchase | 66,568 | 24.4943 USD |
| USD 0.01 common | Sale | 31 | 24.5416 USD |
| USD 0.01 common | Sale | 33 | 24.4342 USD |
| USD 0.01 common | Sale | 37 | 24.4629 USD |
| USD 0.01 common | Sale | 40 | 24.4462 USD |
| USD 0.01 common | Sale | 70 | 24.4500 USD |
| USD 0.01 common | Sale | 85 | 24.5029 USD |
| USD 0.01 common | Sale | 100 | 24.7600 USD |
| USD 0.01 common | Sale | 100 | 24.5150 USD |
| USD 0.01 common | Sale | 100 | 24.7400 USD |
| USD 0.01 common | Sale | 100 | 24.4950 USD |
| USD 0.01 common | Sale | 200 | 24.5800 USD |
| USD 0.01 common | Sale | 300 | 24.6466 USD |
| USD 0.01 common | Sale | 517 | 24.6354 USD |
| USD 0.01 common | Sale | 800 | 24.7062 USD |
| USD 0.01 common | Sale | 805 | 24.7250 USD |
| USD 0.01 common | Sale | 805 | 24.7500 USD |
| USD 0.01 common | Sale | 847 | 24.6443 USD |
| USD 0.01 common | Sale | 912 | 24.7376 USD |
| USD 0.01 common | Sale | 1,038 | 24.8521 USD |
| USD 0.01 common | Sale | 1,070 | 24.7625 USD |
| USD 0.01 common | Sale | 1,136 | 24.5898 USD |
| USD 0.01 common | Sale | 1,274 | 24.6810 USD |
| USD 0.01 common | Sale | 1,328 | 24.6295 USD |
| USD 0.01 common | Sale | 1,334 | 24.6523 USD |
| USD 0.01 common | Sale | 1,495 | 24.7245 USD |
| USD 0.01 common | Sale | 2,037 | 24.6000 USD |
| USD 0.01 common | Sale | 2,259 | 24.6413 USD |
| USD 0.01 common | Sale | 2,779 | 24.6182 USD |
| USD 0.01 common | Sale | 3,079 | 24.5247 USD |
| USD 0.01 common | Sale | 3,947 | 24.6310 USD |
| USD 0.01 common | Sale | 3,950 | 24.6515 USD |
| USD 0.01 common | Sale | 5,787 | 24.7813 USD |
| USD 0.01 common | Sale | 6,216 | 24.5045 USD |
| USD 0.01 common | Sale | 6,686 | 24.6785 USD |
| USD 0.01 common | Sale | 6,746 | 24.6835 USD |
| USD 0.01 common | Sale | 9,739 | 24.7116 USD |
| USD 0.01 common | Sale | 11,182 | 24.5037 USD |
| USD 0.01 common | Sale | 46,371 | 24.6770 USD |
| USD 0.01 common | Sale | 84,279 | 24.4955 USD |
| USD 0.01 common | Sale | 89,056 | 24.5000 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: | 4 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 | |||
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.
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