Last checked at 25 Aug 2021 10:19
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: | 23 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 | ||||
| Interests | Short Positions | ||||
| Number | (%) | Number | (%) | ||
(1) | Relevant securities owned | ||||
| and/or controlled: | 1,607,162 | 0.28% | 341,359 | 0.06% | |
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(2) | Cash-settled derivatives: |
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110,636 | 0.02% | 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: | 1,718,298 | 0.30% | 1,622,957 | 0.28% | |
| Class of relevant security: | Convertible Bond US668771AA66 | ||||
| Interests | Short Positions | ||||
| Number | (%) | Number | (%) | ||
(1) | Relevant securities owned | ||||
| and/or controlled: | 136,000 | 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: | 136,000 | 0.02% | 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 | 3 | 26.0900 USD |
USD 0.01 common | Purchase | 3 | 26.1000 USD |
USD 0.01 common | Purchase | 5 | 22.1950 EUR |
USD 0.01 common | Purchase | 6 | 26.1050 USD |
USD 0.01 common | Purchase | 6 | 26.0950 USD |
USD 0.01 common | Purchase | 9 | 26.0283 USD |
USD 0.01 common | Purchase | 9 | 25.9783 USD |
USD 0.01 common | Purchase | 10 | 25.9860 USD |
USD 0.01 common | Purchase | 21 | 25.9800 USD |
USD 0.01 common | Purchase | 40 | 25.9792 USD |
USD 0.01 common | Purchase | 100 | 26.0000 USD |
USD 0.01 common | Purchase | 148 | 26.0772 USD |
USD 0.01 common | Purchase | 200 | 26.0800 USD |
USD 0.01 common | Purchase | 700 | 25.9328 USD |
USD 0.01 common | Purchase | 950 | 25.9106 USD |
USD 0.01 common | Purchase | 976 | 25.9771 USD |
USD 0.01 common | Purchase | 1,233 | 25.9650 USD |
USD 0.01 common | Purchase | 2,578 | 25.8664 USD |
USD 0.01 common | Purchase | 5,078 | 25.9900 USD |
USD 0.01 common | Purchase | 7,110 | 25.9813 USD |
USD 0.01 common | Purchase | 14,847 | 26.0034 USD |
USD 0.01 common | Purchase | 17,261 | 25.9885 USD |
USD 0.01 common | Purchase | 18,612 | 25.9700 USD |
USD 0.01 common | Purchase | 22,000 | 26.1500 USD |
USD 0.01 common | Purchase | 23,120 | 25.9562 USD |
USD 0.01 common | Purchase | 31,902 | 25.9953 USD |
USD 0.01 common | Purchase | 36,878 | 26.0248 USD |
USD 0.01 common | Purchase | 36,974 | 25.9436 USD |
USD 0.01 common | Purchase | 105,268 | 26.0352 USD |
USD 0.01 common | Sale | 5 | 22.1950 EUR |
USD 0.01 common | Sale | 5 | 25.9600 USD |
USD 0.01 common | Sale | 25 | 26.0500 USD |
USD 0.01 common | Sale | 29 | 26.0268 USD |
USD 0.01 common | Sale | 40 | 25.9475 USD |
USD 0.01 common | Sale | 68 | 25.9571 USD |
USD 0.01 common | Sale | 68 | 26.0308 USD |
USD 0.01 common | Sale | 85 | 26.0188 USD |
USD 0.01 common | Sale | 100 | 26.0000 USD |
USD 0.01 common | Sale | 100 | 25.9900 USD |
USD 0.01 common | Sale | 171 | 25.6400 USD |
USD 0.01 common | Sale | 189 | 26.0515 USD |
USD 0.01 common | Sale | 199 | 26.0200 USD |
USD 0.01 common | Sale | 200 | 26.0950 USD |
USD 0.01 common | Sale | 206 | 25.9937 USD |
USD 0.01 common | Sale | 283 | 26.0037 USD |
USD 0.01 common | Sale | 298 | 25.9800 USD |
USD 0.01 common | Sale | 438 | 25.9981 USD |
USD 0.01 common | Sale | 500 | 26.0640 USD |
USD 0.01 common | Sale | 1,037 | 25.9874 USD |
USD 0.01 common | Sale | 1,500 | 26.0726 USD |
USD 0.01 common | Sale | 1,600 | 25.9775 USD |
USD 0.01 common | Sale | 2,193 | 25.9795 USD |
USD 0.01 common | Sale | 2,784 | 26.0983 USD |
USD 0.01 common | Sale | 3,268 | 26.0483 USD |
USD 0.01 common | Sale | 7,650 | 26.0468 USD |
USD 0.01 common | Sale | 8,465 | 25.9845 USD |
USD 0.01 common | Sale | 8,780 | 25.9700 USD |
USD 0.01 common | Sale | 12,330 | 26.0209 USD |
USD 0.01 common | Sale | 16,470 | 25.9701 USD |
USD 0.01 common | Sale | 19,280 | 25.9792 USD |
USD 0.01 common | Sale | 21,537 | 25.9552 USD |
USD 0.01 common | Sale | 27,228 | 26.0153 USD |
USD 0.01 common | Sale | 28,046 | 25.9991 USD |
USD 0.01 common | Sale | 33,000 | 26.1500 USD |
USD 0.01 common | Sale | 37,115 | 26.0232 USD |
USD 0.01 common | Sale | 42,661 | 25.9408 USD |
USD 0.01 common | Sale | 58,946 | 26.0413 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 | Product | Writing, | Number | Exercise | Type | Expiry | Option |
| of | description | purchasing, | of | price | date | money | |
relevant | selling, | securities | per unit | paid/ | |||
security | varying etc | to which | received | ||||
| option | per unit | ||||||
| relates | |||||||
USD 0.01 common | Call Options | Selling | 114 | USD |
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| 0.0300 USD |
USD 0.01 common | Call Options | Selling | 114 | USD |
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| 0.3500 USD |
USD 0.01 common | Call Options | Selling | 500 | USD |
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| 0.6500 USD |
USD 0.01 common | Call Options | Selling | 2,000 | USD |
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| 1.6000 USD |
(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: | 25 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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