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Form 8.3 - NORTONLIFELOCK INC - Amendment

20 Oct 2021 12:31

 

FORM 8.3 Amendment to Sale

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

15 Oct 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:

1,576,501

0.27%

886,125

0.15%

 

(2)

Cash-settled derivatives:

641,167

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:

2,218,168

0.38%

1,916,547

0.33%

 
Class of relevant security:Convertible Bond US668771AA66
InterestsShort 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%

 

(4)

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:

 

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

2

25.3250 USD
USD 0.01 commonPurchase

4

25.4150 USD
USD 0.01 commonPurchase

7

25.2500 USD
USD 0.01 commonPurchase

7

25.2950 USD
USD 0.01 commonPurchase

14

25.2875 USD
USD 0.01 commonPurchase

14

25.2200 USD
USD 0.01 commonPurchase

14

25.2671 USD
USD 0.01 commonPurchase

14

25.2925 USD
USD 0.01 commonPurchase

21

25.2266 USD
USD 0.01 commonPurchase

21

25.2516 USD
USD 0.01 commonPurchase

26

25.2630 USD
USD 0.01 commonPurchase

28

25.2575 USD
USD 0.01 commonPurchase

35

25.2750 USD
USD 0.01 commonPurchase

41

25.3047 USD
USD 0.01 commonPurchase

45

25.4031 USD
USD 0.01 commonPurchase

53

25.4200 USD
USD 0.01 commonPurchase

71

25.3301 USD
USD 0.01 commonPurchase

76

25.3394 USD
USD 0.01 commonPurchase

76

25.3018 USD
USD 0.01 commonPurchase

85

25.2369 USD
USD 0.01 commonPurchase

100

25.2150 USD
USD 0.01 commonPurchase

100

25.3196 USD
USD 0.01 commonPurchase

112

25.3114 USD
USD 0.01 commonPurchase

116

25.3129 USD
USD 0.01 commonPurchase

124

25.3535 USD
USD 0.01 commonPurchase

140

25.3172 USD
USD 0.01 commonPurchase

144

25.3327 USD
USD 0.01 commonPurchase

148

25.3448 USD
USD 0.01 commonPurchase

160

25.3385 USD
USD 0.01 commonPurchase

230

25.2563 USD
USD 0.01 commonPurchase

234

21.8447 EUR
USD 0.01 commonPurchase

249

25.2650 USD
USD 0.01 commonPurchase

669

25.3733 USD
USD 0.01 commonPurchase

900

25.2400 USD
USD 0.01 commonPurchase

979

25.2840 USD
USD 0.01 commonPurchase

1,126

25.3555 USD
USD 0.01 commonPurchase

1,200

25.3950 USD
USD 0.01 commonPurchase

1,316

25.2732 USD
USD 0.01 commonPurchase

1,427

25.2999 USD
USD 0.01 commonPurchase

1,805

25.3900 USD
USD 0.01 commonPurchase

2,200

25.2877 USD
USD 0.01 commonPurchase

2,528

25.3211 USD
USD 0.01 commonPurchase

2,684

25.3748 USD
USD 0.01 commonPurchase

2,691

25.3061 USD
USD 0.01 commonPurchase

2,718

25.2762 USD
USD 0.01 commonPurchase

3,748

25.2960 USD
USD 0.01 commonPurchase

4,918

25.3346 USD
USD 0.01 commonPurchase

6,112

25.4051 USD
USD 0.01 commonPurchase

10,059

25.3739 USD
USD 0.01 commonPurchase

13,970

25.3471 USD
USD 0.01 commonPurchase

16,096

25.3317 USD
USD 0.01 commonPurchase

28,050

25.3017 USD
USD 0.01 commonPurchase

37,389

25.3880 USD
USD 0.01 commonPurchase

44,129

25.3119 USD
USD 0.01 commonPurchase

64,139

25.3000 USD
USD 0.01 commonSale

1

25.2550 USD
USD 0.01 commonSale

1

25.3400 USD
USD 0.01 commonSale

24

25.3470 USD
USD 0.01 commonSale

25

25.4772 USD
USD 0.01 commonSale

34

25.2857 USD
USD 0.01 commonSale

34

25.2755 USD
USD 0.01 commonSale

35

25.3008 USD
USD 0.01 commonSale

44

25.3756 USD
USD 0.01 commonSale

53

25.4200 USD
USD 0.01 commonSale

55

25.3600 USD
USD 0.01 commonSale

59

25.3918 USD
USD 0.01 commonSale

73

25.3261 USD
USD 0.01 commonSale

85

25.2369 USD
USD 0.01 commonSale

100

25.2700 USD
USD 0.01 commonSale

100

25.2400 USD
USD 0.01 commonSale

107

25.2200 USD
USD 0.01 commonSale

200

25.2800 USD
USD 0.01 commonSale

234

21.8447 EUR
USD 0.01 commonSale

236

25.3760 USD
USD 0.01 commonSale

301

25.2697 USD
USD 0.01 commonSale

364

25.2842 USD
USD 0.01 commonSale

400

25.3087 USD
USD 0.01 commonSale

578

25.3900 USD
USD 0.01 commonSale

616

25.3476 USD
USD 0.01 commonSale

651

25.3495 USD
USD 0.01 commonSale

950

25.3724 USD
USD 0.01 commonSale

1,015

25.3913 USD
USD 0.01 commonSale

2,468

25.3808 USD
USD 0.01 commonSale

2,564

25.3211 USD
USD 0.01 commonSale

3,052

25.4074 USD
USD 0.01 commonSale

3,999

25.3133 USD
USD 0.01 commonSale

7,174

25.3571 USD
USD 0.01 commonSale

10,060

25.3691 USD
USD 0.01 commonSale

11,003

25.3016 USD
USD 0.01 commonSale

16,187

25.3230 USD
USD 0.01 commonSale

17,286

25.3398 USD
USD 0.01 commonSale

25,207

25.3000 USD
USD 0.01 commonSale

27,463

25.3017 USD
USD 0.01 commonSale

37,523

25.3876 USD
USD 0.01 commonSale

40,030

25.3113 USD
USD 0.01 commonSale

40,788

25.3005 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:

20 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

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/20211020005574/en/

Copyright Business Wire 2021

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