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Pin to quick picksBarclays Regulatory News (BARC)

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Form 8.3 - NORTONLIFELOCK INC

3 Nov 2021 12:38

 

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.

 

(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:

 

(e) Date position held/dealing undertaken:

For an opening position disclosure, state the latest practicable date prior to the disclosure

2 Nov 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
InterestsShort Positions
Number(%)Number(%)

(1)

Relevant securities owned
and/or controlled:

1,720,806

0.30%

1,036,638

0.18%

 

(2)

Cash-settled derivatives:

645,961

0.11%

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:

2,367,267

0.41%

2,067,060

0.36%

 
Class of relevant security:Convertible Bond US668771AA66
InterestsShort Positions
Number(%)Number(%)

(1)

Relevant securities owned
and/or controlled:

361,000

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%

 

(4)

TOTAL:

361,000

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:

 

Details, including nature of the rights concerned and relevant percentages:

 

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 relevantPurchase/saleNumber ofPrice per unit
securitysecurities
USD 0.01 commonPurchase

58

25.2681 USD
USD 0.01 commonPurchase

65

25.2871 USD
USD 0.01 commonPurchase

70

25.2205 USD
USD 0.01 commonPurchase

71

25.2734 USD
USD 0.01 commonPurchase

87

25.2972 USD
USD 0.01 commonPurchase

100

25.2175 USD
USD 0.01 commonPurchase

100

25.1850 USD
USD 0.01 commonPurchase

100

25.2150 USD
USD 0.01 commonPurchase

100

25.1900 USD
USD 0.01 commonPurchase

101

25.3644 USD
USD 0.01 commonPurchase

109

25.2374 USD
USD 0.01 commonPurchase

116

25.2610 USD
USD 0.01 commonPurchase

129

25.2129 USD
USD 0.01 commonPurchase

164

25.2401 USD
USD 0.01 commonPurchase

187

25.2519 USD
USD 0.01 commonPurchase

244

25.5395 USD
USD 0.01 commonPurchase

244

25.2022 USD
USD 0.01 commonPurchase

245

25.2297 USD
USD 0.01 commonPurchase

283

25.2100 USD
USD 0.01 commonPurchase

300

25.2400 USD
USD 0.01 commonPurchase

300

25.2516 USD
USD 0.01 commonPurchase

300

25.1933 USD
USD 0.01 commonPurchase

300

25.2350 USD
USD 0.01 commonPurchase

448

25.1927 USD
USD 0.01 commonPurchase

568

25.2367 USD
USD 0.01 commonPurchase

600

25.2200 USD
USD 0.01 commonPurchase

709

25.2655 USD
USD 0.01 commonPurchase

963

25.2215 USD
USD 0.01 commonPurchase

1,500

25.3246 USD
USD 0.01 commonPurchase

1,800

25.3136 USD
USD 0.01 commonPurchase

2,000

25.2382 USD
USD 0.01 commonPurchase

2,074

25.2045 USD
USD 0.01 commonPurchase

3,314

25.3440 USD
USD 0.01 commonPurchase

3,612

25.2683 USD
USD 0.01 commonPurchase

3,756

25.2230 USD
USD 0.01 commonPurchase

4,489

25.3283 USD
USD 0.01 commonPurchase

4,879

25.2265 USD
USD 0.01 commonPurchase

6,840

25.2320 USD
USD 0.01 commonPurchase

9,060

25.3500 USD
USD 0.01 commonPurchase

15,107

25.4932 USD
USD 0.01 commonPurchase

22,847

25.2774 USD
USD 0.01 commonPurchase

26,104

25.2292 USD
USD 0.01 commonPurchase

28,324

25.2325 USD
USD 0.01 commonPurchase

70,778

25.2323 USD
USD 0.01 commonPurchase

102,778

25.2300 USD
USD 0.01 commonSale

1

25.1600 USD
USD 0.01 commonSale

2

25.6800 USD
USD 0.01 commonSale

51

25.6186 USD
USD 0.01 commonSale

300

25.3583 USD
USD 0.01 commonSale

1,077

25.4315 USD
USD 0.01 commonSale

1,166

25.3700 USD
USD 0.01 commonSale

1,178

25.5783 USD
USD 0.01 commonSale

1,190

25.2977 USD
USD 0.01 commonSale

1,352

25.4506 USD
USD 0.01 commonSale

1,500

25.3246 USD
USD 0.01 commonSale

2,666

25.2497 USD
USD 0.01 commonSale

2,700

25.2857 USD
USD 0.01 commonSale

3,137

25.2756 USD
USD 0.01 commonSale

3,292

25.3395 USD
USD 0.01 commonSale

4,215

25.5408 USD
USD 0.01 commonSale

7,021

25.2571 USD
USD 0.01 commonSale

7,983

25.2341 USD
USD 0.01 commonSale

8,720

25.4764 USD
USD 0.01 commonSale

13,786

25.2298 USD
USD 0.01 commonSale

17,387

25.2265 USD
USD 0.01 commonSale

18,120

25.3500 USD
USD 0.01 commonSale

27,941

25.2271 USD
USD 0.01 commonSale

31,859

25.2251 USD
USD 0.01 commonSale

95,053

25.2300 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

 

 

 

 

 

 

(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

 

 

 

 

 

 

 

 

(ii) Exercise

Class of relevant security

Product description

e.g. call option

Exercising/ exercised against

Number of securities

Exercise price per unit

 

 

 

 

 

 

(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)

 

 

 

 

 

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

 

(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

 

(c) Attachments

Is a Supplemental Form 8 (Open Positions) attached?

YES

Date of disclosure:

3 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

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)

ClassProductWriting,NumberExerciseTypeExpiry
ofdescriptionpurchasing,ofpricedate
relevantselling,securitiesper unit
securityvarying etcto which
option
relates
USD 0.01 commonCall OptionsPurchased

500

27.0000

American21 Jan 2022
USD 0.01 commonPut OptionsPurchased

-2,100

30.0000

American21 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:

 

 

 

 

 

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/20211103005705/en/

Copyright Business Wire 2021

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