Last checked at 8 Oct 2021 16:58
FORM 8.3 - Amendment to Sale and Purchase
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: | 01 October 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: | 1,421,234 | 0.24% | 448,780 | 0.08% | |
(2) | Cash-settled derivatives: | ||||
178,619 | 0.03% | 1,028,322 | 0.18% | ||
(3) | Stock-settled derivatives (including options) | ||||
| and agreements to purchase/sell: | 500 | 0.00% | 2,100 | 0.00% | |
| TOTAL: | 1,600,353 | 0.28% | 1,479,202 | 0.25% | |
| Class of relevant security: | Convertible Bond US668771AA66 | ||||
| Interests | Short Positions | ||||
| Number | (%) | Number | (%) | ||
(1) | Relevant securities owned | ||||
| and/or controlled: | 146,000 | 0.03% | 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: | 146,000 | 0.03% | 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 | 56 | 25.7400 USD |
USD 0.01 common | Purchase | 100 | 25.5550 USD |
USD 0.01 common | Purchase | 100 | 25.5350 USD |
USD 0.01 common | Purchase | 100 | 25.6850 USD |
USD 0.01 common | Purchase | 171 | 25.6250 USD |
USD 0.01 common | Purchase | 177 | 25.5575 USD |
USD 0.01 common | Purchase | 200 | 25.6100 USD |
USD 0.01 common | Purchase | 200 | 25.6450 USD |
USD 0.01 common | Purchase | 200 | 25.6650 USD |
USD 0.01 common | Purchase | 232 | 25.3347 USD |
USD 0.01 common | Purchase | 300 | 25.5750 USD |
USD 0.01 common | Purchase | 300 | 25.6500 USD |
USD 0.01 common | Purchase | 340 | 25.4671 USD |
USD 0.01 common | Purchase | 400 | 25.6050 USD |
USD 0.01 common | Purchase | 707 | 25.5593 USD |
USD 0.01 common | Purchase | 1,000 | 25.6510 USD |
USD 0.01 common | Purchase | 1,041 | 25.6215 USD |
USD 0.01 common | Purchase | 1,189 | 25.4625 USD |
USD 0.01 common | Purchase | 1,200 | 25.4812 USD |
USD 0.01 common | Purchase | 1,200 | 25.4991 USD |
USD 0.01 common | Purchase | 1,240 | 25.5013 USD |
USD 0.01 common | Purchase | 1,407 | 25.5463 USD |
USD 0.01 common | Purchase | 1,414 | 25.5193 USD |
USD 0.01 common | Purchase | 1,700 | 25.4911 USD |
USD 0.01 common | Purchase | 1,860 | 25.5130 USD |
USD 0.01 common | Purchase | 1,973 | 25.5216 USD |
USD 0.01 common | Purchase | 2,029 | 25.5179 USD |
USD 0.01 common | Purchase | 2,252 | 25.5198 USD |
USD 0.01 common | Purchase | 2,788 | 25.5701 USD |
USD 0.01 common | Purchase | 3,060 | 25.5537 USD |
USD 0.01 common | Purchase | 3,091 | 25.5239 USD |
USD 0.01 common | Purchase | 3,333 | 25.5110 USD |
USD 0.01 common | Purchase | 3,656 | 25.5446 USD |
USD 0.01 common | Purchase | 3,821 | 25.4831 USD |
USD 0.01 common | Purchase | 4,005 | 25.4292 USD |
USD 0.01 common | Purchase | 9,255 | 25.5402 USD |
USD 0.01 common | Purchase | 12,413 | 25.4478 USD |
USD 0.01 common | Purchase | 23,759 | 25.5302 USD |
USD 0.01 common | Purchase | 27,420 | 25.3779 USD |
USD 0.01 common | Purchase | 33,631 | 25.5559 USD |
USD 0.01 common | Purchase | 36,374 | 25.5077 USD |
USD 0.01 common | Purchase | 37,881 | 25.5612 USD |
USD 0.01 common | Purchase | 47,958 | 25.5019 USD |
USD 0.01 common | Purchase | 52,442 | 25.5620 USD |
USD 0.01 common | Purchase | 64,286 | 25.5600 USD |
USD 0.01 common | Sale | 16 | 25.7000 USD |
USD 0.01 common | Sale | 25 | 25.5750 USD |
USD 0.01 common | Sale | 100 | 25.4500 USD |
USD 0.01 common | Sale | 100 | 25.3900 USD |
USD 0.01 common | Sale | 100 | 25.3400 USD |
USD 0.01 common | Sale | 100 | 25.6500 USD |
USD 0.01 common | Sale | 102 | 25.3882 USD |
USD 0.01 common | Sale | 112 | 25.5564 USD |
USD 0.01 common | Sale | 171 | 25.6250 USD |
USD 0.01 common | Sale | 200 | 25.7050 USD |
USD 0.01 common | Sale | 344 | 25.3891 USD |
USD 0.01 common | Sale | 580 | 25.5500 USD |
USD 0.01 common | Sale | 600 | 25.5208 USD |
USD 0.01 common | Sale | 600 | 25.3633 USD |
USD 0.01 common | Sale | 693 | 25.5537 USD |
USD 0.01 common | Sale | 707 | 25.5593 USD |
USD 0.01 common | Sale | 707 | 25.5594 USD |
USD 0.01 common | Sale | 762 | 25.5726 USD |
USD 0.01 common | Sale | 800 | 25.3262 USD |
USD 0.01 common | Sale | 900 | 25.4544 USD |
USD 0.01 common | Sale | 901 | 25.4018 USD |
USD 0.01 common | Sale | 985 | 25.5425 USD |
USD 0.01 common | Sale | 1,000 | 25.6510 USD |
USD 0.01 common | Sale | 1,045 | 25.4469 USD |
USD 0.01 common | Sale | 1,200 | 25.4070 USD |
USD 0.01 common | Sale | 1,257 | 25.5190 USD |
USD 0.01 common | Sale | 1,278 | 25.4979 USD |
USD 0.01 common | Sale | 1,425 | 25.5107 USD |
USD 0.01 common | Sale | 1,555 | 25.4277 USD |
USD 0.01 common | Sale | 1,770 | 25.4860 USD |
USD 0.01 common | Sale | 2,070 | 25.4980 USD |
USD 0.01 common | Sale | 2,326 | 25.4734 USD |
USD 0.01 common | Sale | 2,450 | 25.4015 USD |
USD 0.01 common | Sale | 2,560 | 25.4906 USD |
USD 0.01 common | Sale | 2,574 | 25.6006 USD |
USD 0.01 common | Sale | 2,641 | 25.4794 USD |
USD 0.01 common | Sale | 2,656 | 25.5629 USD |
USD 0.01 common | Sale | 2,826 | 25.4783 USD |
USD 0.01 common | Sale | 3,201 | 25.5452 USD |
USD 0.01 common | Sale | 3,456 | 25.5353 USD |
USD 0.01 common | Sale | 3,520 | 25.5072 USD |
USD 0.01 common | Sale | 3,701 | 25.4914 USD |
USD 0.01 common | Sale | 4,049 | 25.4913 USD |
USD 0.01 common | Sale | 4,319 | 25.5179 USD |
USD 0.01 common | Sale | 4,547 | 25.4942 USD |
USD 0.01 common | Sale | 5,105 | 25.3963 USD |
USD 0.01 common | Sale | 5,836 | 25.5598 USD |
USD 0.01 common | Sale | 5,952 | 25.4700 USD |
USD 0.01 common | Sale | 7,485 | 25.4610 USD |
USD 0.01 common | Sale | 10,909 | 25.4438 USD |
USD 0.01 common | Sale | 15,114 | 25.3554 USD |
USD 0.01 common | Sale | 16,913 | 25.4712 USD |
USD 0.01 common | Sale | 21,083 | 25.5865 USD |
USD 0.01 common | Sale | 25,033 | 25.5459 USD |
USD 0.01 common | Sale | 34,761 | 25.5427 USD |
USD 0.01 common | Sale | 38,881 | 25.5628 USD |
USD 0.01 common | Sale | 39,262 | 25.5506 USD |
USD 0.01 common | Sale | 44,632 | 25.5600 USD |
USD 0.01 common | Sale | 59,288 | 25.5405 USD |
| NB: The below transactions which were previously disclosed have been cancelled | |||
Class of relevant | Purchase/sale | Number of | Price per unit |
security |
| securities |
|
USD 0.01 common | Sale | 1,170 | 25.5600 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 | 219 | 25.2200 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: | 8 Oct 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 | ||||||
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: |
|
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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