Last checked at 9 Sep 2021 10:47
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: | 08 September 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 |
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| and/or controlled: | 1,449,628 | 0.25% | 634,287 | 0.11% | |||
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(2) | Cash-settled derivatives: |
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223,704 | 0.04% | 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: | 1,673,832 | 0.29% | 1,664,709 | 0.29% | |||
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| Class of relevant security: | Convertible Bond US668771AA66 | ||||||
| Interests | Short Positions | ||||||
| Number | (%) | Number | (%) | ||||
(1) | Relevant securities owned |
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| and/or controlled: | 139,000 | 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: | 139,000 | 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 | 7 | 27.4250 USD | ||||
USD 0.01 common | Purchase | 7 | 27.4800 USD | ||||
USD 0.01 common | Purchase | 14 | 27.4625 USD | ||||
USD 0.01 common | Purchase | 14 | 27.4725 USD | ||||
USD 0.01 common | Purchase | 14 | 27.4700 USD | ||||
USD 0.01 common | Purchase | 14 | 27.4650 USD | ||||
USD 0.01 common | Purchase | 21 | 27.4783 USD | ||||
USD 0.01 common | Purchase | 28 | 27.4600 USD | ||||
USD 0.01 common | Purchase | 40 | 27.1410 USD | ||||
USD 0.01 common | Purchase | 42 | 27.4833 USD | ||||
USD 0.01 common | Purchase | 75 | 27.4586 USD | ||||
USD 0.01 common | Purchase | 91 | 27.4715 USD | ||||
USD 0.01 common | Purchase | 100 | 26.9500 USD | ||||
USD 0.01 common | Purchase | 125 | 27.4300 USD | ||||
USD 0.01 common | Purchase | 200 | 27.4350 USD | ||||
USD 0.01 common | Purchase | 225 | 27.4490 USD | ||||
USD 0.01 common | Purchase | 286 | 27.2112 USD | ||||
USD 0.01 common | Purchase | 500 | 27.4500 USD | ||||
USD 0.01 common | Purchase | 647 | 27.2772 USD | ||||
USD 0.01 common | Purchase | 700 | 27.4450 USD | ||||
USD 0.01 common | Purchase | 999 | 27.4440 USD | ||||
USD 0.01 common | Purchase | 1,100 | 27.3527 USD | ||||
USD 0.01 common | Purchase | 1,162 | 27.3424 USD | ||||
USD 0.01 common | Purchase | 1,400 | 27.4414 USD | ||||
USD 0.01 common | Purchase | 1,441 | 27.4413 USD | ||||
USD 0.01 common | Purchase | 1,500 | 27.4493 USD | ||||
USD 0.01 common | Purchase | 2,000 | 27.2788 USD | ||||
USD 0.01 common | Purchase | 2,176 | 27.4453 USD | ||||
USD 0.01 common | Purchase | 2,183 | 27.1639 USD | ||||
USD 0.01 common | Purchase | 2,192 | 27.3916 USD | ||||
USD 0.01 common | Purchase | 3,100 | 27.3083 USD | ||||
USD 0.01 common | Purchase | 3,488 | 27.4467 USD | ||||
USD 0.01 common | Purchase | 4,600 | 27.4511 USD | ||||
USD 0.01 common | Purchase | 5,188 | 27.1200 USD | ||||
USD 0.01 common | Purchase | 5,388 | 27.1311 USD | ||||
USD 0.01 common | Purchase | 7,770 | 27.4203 USD | ||||
USD 0.01 common | Purchase | 7,996 | 27.4452 USD | ||||
USD 0.01 common | Purchase | 8,031 | 27.3223 USD | ||||
USD 0.01 common | Purchase | 10,659 | 27.3896 USD | ||||
USD 0.01 common | Purchase | 12,047 | 27.2958 USD | ||||
USD 0.01 common | Purchase | 14,583 | 27.3540 USD | ||||
USD 0.01 common | Purchase | 15,259 | 27.4292 USD | ||||
USD 0.01 common | Purchase | 34,396 | 27.3257 USD | ||||
USD 0.01 common | Purchase | 35,914 | 27.3410 USD | ||||
USD 0.01 common | Purchase | 41,285 | 27.3172 USD | ||||
USD 0.01 common | Purchase | 88,019 | 27.3807 USD | ||||
USD 0.01 common | Purchase | 131,000 | 27.4200 USD | ||||
USD 0.01 common | Sale | 10 | 27.4700 USD | ||||
USD 0.01 common | Sale | 40 | 27.1410 USD | ||||
USD 0.01 common | Sale | 100 | 27.4300 USD | ||||
USD 0.01 common | Sale | 100 | 27.5200 USD | ||||
USD 0.01 common | Sale | 101 | 27.2675 USD | ||||
USD 0.01 common | Sale | 187 | 27.3114 USD | ||||
USD 0.01 common | Sale | 190 | 27.1453 USD | ||||
USD 0.01 common | Sale | 200 | 27.4225 USD | ||||
USD 0.01 common | Sale | 200 | 27.3500 USD | ||||
USD 0.01 common | Sale | 284 | 27.3192 USD | ||||
USD 0.01 common | Sale | 300 | 27.4366 USD | ||||
USD 0.01 common | Sale | 300 | 27.4450 USD | ||||
USD 0.01 common | Sale | 300 | 27.2100 USD | ||||
USD 0.01 common | Sale | 314 | 27.4322 USD | ||||
USD 0.01 common | Sale | 320 | 27.3224 USD | ||||
USD 0.01 common | Sale | 321 | 27.4664 USD | ||||
USD 0.01 common | Sale | 339 | 27.4317 USD | ||||
USD 0.01 common | Sale | 363 | 27.3215 USD | ||||
USD 0.01 common | Sale | 366 | 27.3434 USD | ||||
USD 0.01 common | Sale | 381 | 27.2582 USD | ||||
USD 0.01 common | Sale | 556 | 27.4470 USD | ||||
USD 0.01 common | Sale | 564 | 27.3396 USD | ||||
USD 0.01 common | Sale | 600 | 27.4333 USD | ||||
USD 0.01 common | Sale | 629 | 27.2973 USD | ||||
USD 0.01 common | Sale | 743 | 27.0400 USD | ||||
USD 0.01 common | Sale | 880 | 27.3099 USD | ||||
USD 0.01 common | Sale | 1,000 | 27.1000 USD | ||||
USD 0.01 common | Sale | 1,000 | 27.3820 USD | ||||
USD 0.01 common | Sale | 1,003 | 27.4542 USD | ||||
USD 0.01 common | Sale | 1,162 | 27.3424 USD | ||||
USD 0.01 common | Sale | 1,183 | 27.2179 USD | ||||
USD 0.01 common | Sale | 2,640 | 27.1995 USD | ||||
USD 0.01 common | Sale | 3,018 | 27.3917 USD | ||||
USD 0.01 common | Sale | 3,375 | 27.3949 USD | ||||
USD 0.01 common | Sale | 4,600 | 27.4511 USD | ||||
USD 0.01 common | Sale | 4,976 | 27.3614 USD | ||||
USD 0.01 common | Sale | 5,188 | 27.1200 USD | ||||
USD 0.01 common | Sale | 10,947 | 27.4260 USD | ||||
USD 0.01 common | Sale | 13,534 | 27.3054 USD | ||||
USD 0.01 common | Sale | 15,969 | 27.3513 USD | ||||
USD 0.01 common | Sale | 18,941 | 27.3608 USD | ||||
USD 0.01 common | Sale | 21,988 | 27.2772 USD | ||||
USD 0.01 common | Sale | 24,741 | 27.4200 USD | ||||
USD 0.01 common | Sale | 29,711 | 27.3171 USD | ||||
USD 0.01 common | Sale | 41,233 | 27.3129 USD | ||||
USD 0.01 common | Sale | 101,977 | 27.3837 USD | ||||
USD 0.01 common | Sale | 102,721 | 27.4199 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: | 9 Sep 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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