Last checked at 31 Aug 2021 14:33
FORM 8.3 - Amendment to Sales 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 |
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| offeror/offeree, state this and specify identity of | ||
| offeror/offeree: | ||
| (e) | Date position held/dealing undertaken: | 26 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: | 1,446,493 | 0.25% | 409,668 | 0.07% | |
(2) | Cash-settled derivatives: | ||||
168,836 | 0.03% | 2,056,644 | 0.35% | ||
(3) | Stock-settled derivatives (including options) | ||||
| and agreements to purchase/sell: | 500 | 0.00% | 2,100 | 0.00% | |
| TOTAL: | 1,615,829 | 0.28% | 2,468,412 | 0.42% | |
| 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% | |
(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: | 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 | 24 | 26.8970 USD |
USD 0.01 common | Purchase | 26 | 26.8738 USD |
USD 0.01 common | Purchase | 30 | 26.8573 USD |
USD 0.01 common | Purchase | 38 | 26.8182 USD |
USD 0.01 common | Purchase | 64 | 26.8887 USD |
USD 0.01 common | Purchase | 77 | 26.8680 USD |
USD 0.01 common | Purchase | 98 | 26.7000 USD |
USD 0.01 common | Purchase | 134 | 26.8746 USD |
USD 0.01 common | Purchase | 197 | 26.7421 USD |
USD 0.01 common | Purchase | 200 | 26.9300 USD |
USD 0.01 common | Purchase | 213 | 26.9118 USD |
USD 0.01 common | Purchase | 243 | 26.9505 USD |
USD 0.01 common | Purchase | 300 | 26.7433 USD |
USD 0.01 common | Purchase | 300 | 26.9400 USD |
USD 0.01 common | Purchase | 305 | 26.9098 USD |
USD 0.01 common | Purchase | 358 | 26.7313 USD |
USD 0.01 common | Purchase | 407 | 26.6196 USD |
USD 0.01 common | Purchase | 500 | 26.8480 USD |
USD 0.01 common | Purchase | 500 | 26.5980 USD |
USD 0.01 common | Purchase | 501 | 26.7350 USD |
USD 0.01 common | Purchase | 534 | 26.6400 USD |
USD 0.01 common | Purchase | 614 | 26.8842 USD |
USD 0.01 common | Purchase | 659 | 26.7691 USD |
USD 0.01 common | Purchase | 698 | 26.9170 USD |
USD 0.01 common | Purchase | 700 | 26.7614 USD |
USD 0.01 common | Purchase | 812 | 26.5996 USD |
USD 0.01 common | Purchase | 1,056 | 26.7506 USD |
USD 0.01 common | Purchase | 1,145 | 26.6425 USD |
USD 0.01 common | Purchase | 1,205 | 26.8592 USD |
USD 0.01 common | Purchase | 1,398 | 26.7393 USD |
USD 0.01 common | Purchase | 1,481 | 26.7094 USD |
USD 0.01 common | Purchase | 1,534 | 26.7910 USD |
USD 0.01 common | Purchase | 1,583 | 26.7192 USD |
USD 0.01 common | Purchase | 1,600 | 26.8471 USD |
USD 0.01 common | Purchase | 1,657 | 26.9344 USD |
USD 0.01 common | Purchase | 1,839 | 26.9329 USD |
USD 0.01 common | Purchase | 1,900 | 26.8242 USD |
USD 0.01 common | Purchase | 1,905 | 26.6671 USD |
USD 0.01 common | Purchase | 2,517 | 26.7528 USD |
USD 0.01 common | Purchase | 2,903 | 26.9367 USD |
USD 0.01 common | Purchase | 3,031 | 26.9141 USD |
USD 0.01 common | Purchase | 3,350 | 26.9447 USD |
USD 0.01 common | Purchase | 3,365 | 26.9372 USD |
USD 0.01 common | Purchase | 3,686 | 26.7100 USD |
USD 0.01 common | Purchase | 3,771 | 26.9321 USD |
USD 0.01 common | Purchase | 4,200 | 26.8535 USD |
USD 0.01 common | Purchase | 4,247 | 26.7278 USD |
USD 0.01 common | Purchase | 4,346 | 26.8670 USD |
USD 0.01 common | Purchase | 4,470 | 26.8587 USD |
USD 0.01 common | Purchase | 5,139 | 26.9520 USD |
USD 0.01 common | Purchase | 5,560 | 26.9241 USD |
USD 0.01 common | Purchase | 5,589 | 26.8784 USD |
USD 0.01 common | Purchase | 6,355 | 26.7162 USD |
USD 0.01 common | Purchase | 6,413 | 26.7996 USD |
USD 0.01 common | Purchase | 6,608 | 26.8485 USD |
USD 0.01 common | Purchase | 6,702 | 26.8791 USD |
USD 0.01 common | Purchase | 6,908 | 26.7566 USD |
USD 0.01 common | Purchase | 6,938 | 26.8959 USD |
USD 0.01 common | Purchase | 8,078 | 26.9442 USD |
USD 0.01 common | Purchase | 8,158 | 26.8389 USD |
USD 0.01 common | Purchase | 8,758 | 26.8752 USD |
USD 0.01 common | Purchase | 14,221 | 26.6630 USD |
USD 0.01 common | Purchase | 16,420 | 26.8501 USD |
USD 0.01 common | Purchase | 17,066 | 26.8518 USD |
USD 0.01 common | Purchase | 18,120 | 26.6753 USD |
USD 0.01 common | Purchase | 18,490 | 26.6700 USD |
USD 0.01 common | Purchase | 22,991 | 26.6373 USD |
USD 0.01 common | Purchase | 23,084 | 26.7290 USD |
USD 0.01 common | Purchase | 28,099 | 26.9186 USD |
USD 0.01 common | Purchase | 30,590 | 26.8118 USD |
USD 0.01 common | Purchase | 34,214 | 26.8693 USD |
USD 0.01 common | Purchase | 35,023 | 26.9399 USD |
USD 0.01 common | Purchase | 35,244 | 26.8392 USD |
USD 0.01 common | Purchase | 40,845 | 26.7078 USD |
USD 0.01 common | Purchase | 43,902 | 26.8454 USD |
USD 0.01 common | Purchase | 76,860 | 26.8666 USD |
USD 0.01 common | Purchase | 81,806 | 26.7856 USD |
USD 0.01 common | Purchase | 127,387 | 26.8160 USD |
USD 0.01 common | Purchase | 203,440 | 26.8311 USD |
USD 0.01 common | Sale | 4 | 26.8575 USD |
USD 0.01 common | Sale | 56 | 26.8667 USD |
USD 0.01 common | Sale | 100 | 26.5400 USD |
USD 0.01 common | Sale | 100 | 26.6050 USD |
USD 0.01 common | Sale | 100 | 26.6100 USD |
USD 0.01 common | Sale | 100 | 26.6900 USD |
USD 0.01 common | Sale | 100 | 26.8650 USD |
USD 0.01 common | Sale | 138 | 26.7739 USD |
USD 0.01 common | Sale | 200 | 26.8625 USD |
USD 0.01 common | Sale | 200 | 26.8550 USD |
USD 0.01 common | Sale | 400 | 26.8275 USD |
USD 0.01 common | Sale | 400 | 26.6537 USD |
USD 0.01 common | Sale | 424 | 26.8216 USD |
USD 0.01 common | Sale | 501 | 26.7350 USD |
USD 0.01 common | Sale | 558 | 26.8610 USD |
USD 0.01 common | Sale | 590 | 26.6577 USD |
USD 0.01 common | Sale | 659 | 26.7691 USD |
USD 0.01 common | Sale | 700 | 26.8700 USD |
USD 0.01 common | Sale | 700 | 26.6557 USD |
USD 0.01 common | Sale | 700 | 26.7550 USD |
USD 0.01 common | Sale | 743 | 26.9000 USD |
USD 0.01 common | Sale | 800 | 26.7500 USD |
USD 0.01 common | Sale | 908 | 26.7475 USD |
USD 0.01 common | Sale | 943 | 26.9793 USD |
USD 0.01 common | Sale | 1,008 | 26.7819 USD |
USD 0.01 common | Sale | 1,084 | 26.7383 USD |
USD 0.01 common | Sale | 1,162 | 26.7477 USD |
USD 0.01 common | Sale | 1,200 | 26.8083 USD |
USD 0.01 common | Sale | 1,250 | 26.8844 USD |
USD 0.01 common | Sale | 1,416 | 26.8429 USD |
USD 0.01 common | Sale | 1,465 | 26.6402 USD |
USD 0.01 common | Sale | 1,600 | 26.8393 USD |
USD 0.01 common | Sale | 1,608 | 26.8954 USD |
USD 0.01 common | Sale | 1,745 | 26.8370 USD |
USD 0.01 common | Sale | 1,832 | 26.8233 USD |
USD 0.01 common | Sale | 1,909 | 26.8400 USD |
USD 0.01 common | Sale | 2,040 | 26.7917 USD |
USD 0.01 common | Sale | 2,108 | 26.8090 USD |
USD 0.01 common | Sale | 2,128 | 26.7598 USD |
USD 0.01 common | Sale | 2,232 | 26.9199 USD |
USD 0.01 common | Sale | 2,303 | 26.7933 USD |
USD 0.01 common | Sale | 2,316 | 26.8154 USD |
USD 0.01 common | Sale | 2,405 | 26.7243 USD |
USD 0.01 common | Sale | 2,416 | 26.7663 USD |
USD 0.01 common | Sale | 2,463 | 26.7625 USD |
USD 0.01 common | Sale | 2,484 | 26.8611 USD |
USD 0.01 common | Sale | 2,502 | 26.8021 USD |
USD 0.01 common | Sale | 2,775 | 26.7799 USD |
USD 0.01 common | Sale | 2,975 | 26.9150 USD |
USD 0.01 common | Sale | 3,000 | 26.7980 USD |
USD 0.01 common | Sale | 3,100 | 26.8353 USD |
USD 0.01 common | Sale | 3,387 | 26.7055 USD |
USD 0.01 common | Sale | 3,895 | 26.7950 USD |
USD 0.01 common | Sale | 3,969 | 26.7969 USD |
USD 0.01 common | Sale | 4,200 | 26.8640 USD |
USD 0.01 common | Sale | 4,300 | 26.8594 USD |
USD 0.01 common | Sale | 4,449 | 26.8222 USD |
USD 0.01 common | Sale | 4,470 | 26.8587 USD |
USD 0.01 common | Sale | 4,800 | 26.7756 USD |
USD 0.01 common | Sale | 5,200 | 26.7656 USD |
USD 0.01 common | Sale | 5,672 | 26.7859 USD |
USD 0.01 common | Sale | 5,723 | 26.8477 USD |
USD 0.01 common | Sale | 6,370 | 26.7396 USD |
USD 0.01 common | Sale | 6,702 | 26.8791 USD |
USD 0.01 common | Sale | 7,681 | 26.8134 USD |
USD 0.01 common | Sale | 7,975 | 26.7721 USD |
USD 0.01 common | Sale | 8,510 | 26.8780 USD |
USD 0.01 common | Sale | 8,975 | 26.8144 USD |
USD 0.01 common | Sale | 10,564 | 26.7100 USD |
USD 0.01 common | Sale | 11,098 | 26.6658 USD |
USD 0.01 common | Sale | 15,724 | 26.7850 USD |
USD 0.01 common | Sale | 18,490 | 26.6700 USD |
USD 0.01 common | Sale | 18,555 | 26.8114 USD |
USD 0.01 common | Sale | 22,991 | 26.6373 USD |
USD 0.01 common | Sale | 28,568 | 26.7239 USD |
USD 0.01 common | Sale | 31,044 | 26.8390 USD |
USD 0.01 common | Sale | 34,409 | 26.8038 USD |
USD 0.01 common | Sale | 40,845 | 26.7078 USD |
USD 0.01 common | Sale | 123,337 | 26.8201 USD |
USD 0.01 common | Sale | 203,440 | 26.8311 USD |
USD 0.01 common | Sale | 303,440 | 26.8648 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: | 31 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 |
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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: |
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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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