Last checked at 23 Nov 2021 16:03
FORM 8.3 - Amendment to 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: | 19 November 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: | 1,667,817 | 0.29% | 817,110 | 0.14% | |
(2) | Cash-settled derivatives: | ||||
644,072 | 0.11% | 1,308,983 | 0.23% | ||
(3) | Stock-settled derivatives (including options) | ||||
| and agreements to purchase/sell: | 0 | 0.00% | 2,100 | 0.00% | |
| TOTAL: | 2,311,889 | 0.40% | 2,128,193 | 0.37% | |
| Class of relevant security: | Convertible Bond US668771AA66 | ||||
| Interests | Short Positions | ||||
| Number | (%) | Number | (%) | ||
(1) | Relevant securities owned | ||||
| and/or controlled: | 376,000 | 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% | |
| TOTAL: | 376,000 | 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: |
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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 | 1 | 24.6850 USD |
USD 0.01 common | Purchase | 1 | 24.8300 USD |
USD 0.01 common | Purchase | 2 | 24.8000 USD |
USD 0.01 common | Purchase | 20 | 24.6550 USD |
USD 0.01 common | Purchase | 54 | 24.9317 USD |
USD 0.01 common | Purchase | 72 | 24.9950 USD |
USD 0.01 common | Purchase | 84 | 21.8804 EUR |
USD 0.01 common | Purchase | 88 | 24.9700 USD |
USD 0.01 common | Purchase | 100 | 24.9500 USD |
USD 0.01 common | Purchase | 102 | 24.9730 USD |
USD 0.01 common | Purchase | 141 | 24.8024 USD |
USD 0.01 common | Purchase | 145 | 24.6824 USD |
USD 0.01 common | Purchase | 153 | 21.7327 EUR |
USD 0.01 common | Purchase | 200 | 24.7950 USD |
USD 0.01 common | Purchase | 200 | 24.7050 USD |
USD 0.01 common | Purchase | 490 | 24.6743 USD |
USD 0.01 common | Purchase | 544 | 24.7148 USD |
USD 0.01 common | Purchase | 700 | 25.0085 USD |
USD 0.01 common | Purchase | 2,056 | 24.8588 USD |
USD 0.01 common | Purchase | 2,576 | 24.9053 USD |
USD 0.01 common | Purchase | 2,752 | 24.7900 USD |
USD 0.01 common | Purchase | 3,258 | 24.6908 USD |
USD 0.01 common | Purchase | 4,060 | 24.8456 USD |
USD 0.01 common | Purchase | 5,637 | 24.6349 USD |
USD 0.01 common | Purchase | 7,366 | 24.8403 USD |
USD 0.01 common | Purchase | 7,504 | 24.8186 USD |
USD 0.01 common | Purchase | 9,313 | 24.6222 USD |
USD 0.01 common | Purchase | 9,318 | 24.7025 USD |
USD 0.01 common | Purchase | 13,391 | 24.8302 USD |
USD 0.01 common | Purchase | 14,020 | 24.8650 USD |
USD 0.01 common | Purchase | 31,819 | 25.0000 USD |
USD 0.01 common | Purchase | 57,661 | 24.7307 USD |
USD 0.01 common | Purchase | 83,486 | 24.9420 USD |
USD 0.01 common | Sale | 4 | 24.9625 USD |
USD 0.01 common | Sale | 17 | 24.6864 USD |
USD 0.01 common | Sale | 48 | 24.8091 USD |
USD 0.01 common | Sale | 49 | 24.7597 USD |
USD 0.01 common | Sale | 50 | 24.6040 USD |
USD 0.01 common | Sale | 84 | 21.8804 EUR |
USD 0.01 common | Sale | 84 | 24.9500 USD |
USD 0.01 common | Sale | 88 | 24.9700 USD |
USD 0.01 common | Sale | 100 | 24.9900 USD |
USD 0.01 common | Sale | 134 | 24.9431 USD |
USD 0.01 common | Sale | 135 | 24.8596 USD |
USD 0.01 common | Sale | 147 | 24.9641 USD |
USD 0.01 common | Sale | 153 | 21.7327 EUR |
USD 0.01 common | Sale | 161 | 24.9600 USD |
USD 0.01 common | Sale | 164 | 24.7150 USD |
USD 0.01 common | Sale | 199 | 24.6614 USD |
USD 0.01 common | Sale | 213 | 24.8731 USD |
USD 0.01 common | Sale | 254 | 24.9576 USD |
USD 0.01 common | Sale | 292 | 24.7334 USD |
USD 0.01 common | Sale | 327 | 24.9385 USD |
USD 0.01 common | Sale | 377 | 24.8940 USD |
USD 0.01 common | Sale | 500 | 24.7300 USD |
USD 0.01 common | Sale | 544 | 24.7148 USD |
USD 0.01 common | Sale | 554 | 24.6307 USD |
USD 0.01 common | Sale | 700 | 24.7357 USD |
USD 0.01 common | Sale | 715 | 24.5700 USD |
USD 0.01 common | Sale | 948 | 24.8915 USD |
USD 0.01 common | Sale | 952 | 24.6178 USD |
USD 0.01 common | Sale | 1,104 | 24.5664 USD |
USD 0.01 common | Sale | 1,302 | 24.7400 USD |
USD 0.01 common | Sale | 1,407 | 24.9702 USD |
USD 0.01 common | Sale | 3,051 | 24.9392 USD |
USD 0.01 common | Sale | 3,370 | 24.8789 USD |
USD 0.01 common | Sale | 4,734 | 24.5873 USD |
USD 0.01 common | Sale | 5,592 | 24.7518 USD |
USD 0.01 common | Sale | 7,635 | 24.8902 USD |
USD 0.01 common | Sale | 8,427 | 24.8083 USD |
USD 0.01 common | Sale | 8,530 | 24.9086 USD |
USD 0.01 common | Sale | 9,655 | 25.0000 USD |
USD 0.01 common | Sale | 16,805 | 24.9628 USD |
USD 0.01 common | Sale | 18,287 | 24.9356 USD |
USD 0.01 common | Sale | 31,480 | 24.9488 USD |
USD 0.01 common | Sale | 33,050 | 24.7417 USD |
USD 0.01 common | Sale | 43,095 | 24.9432 USD |
USD 0.01 common | Sale | 48,955 | 24.7183 USD |
(b) Cash-settled derivative transactions
Class of | Product | Nature of dealing | Number of | Price per |
relevant | description |
| reference | unit |
security |
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| securities |
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USD 0.01 common | SWAP | Long | 7,495 | 24.5288 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: | 23 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
| 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 |
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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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