Last checked at 25 Jan 2022 15:31
FORM 8.3 - Amendment to Sale & 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: | 21 January 2022 | |||||
| (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: | 1,346,812 | 0.23% | 598,654 | 0.10% | ||
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(2) | Cash-settled derivatives: |
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335,807 | 0.06% | 1,513,170 | 0.26% | |||
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(3) | Stock-settled derivatives (including options) |
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| and agreements to purchase/sell: | 0 | 0.00% | 2,100 | 0.00% | ||
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| TOTAL: | 1,682,619 | 0.29% | 2,113,924 | 0.36% | ||
| Class of relevant security: | Convertible Bond US668771AA66 | |||||
| Interests | Short Positions | |||||
| Number | (%) | Number | (%) | |||
(1) | Relevant securities owned | |||||
| and/or controlled: | 390,000 | 0.07% | 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: | 390,000 | 0.07% | 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 | 6 | 26.1733 USD | ||||
USD 0.01 common | Purchase | 25 | 25.9900 USD | ||||
USD 0.01 common | Purchase | 45 | 26.1488 USD | ||||
USD 0.01 common | Purchase | 47 | 26.1000 USD | ||||
USD 0.01 common | Purchase | 75 | 26.0933 USD | ||||
USD 0.01 common | Purchase | 75 | 26.0666 USD | ||||
USD 0.01 common | Purchase | 75 | 26.0533 USD | ||||
USD 0.01 common | Purchase | 94 | 26.0950 USD | ||||
USD 0.01 common | Purchase | 94 | 26.1100 USD | ||||
USD 0.01 common | Purchase | 94 | 26.0800 USD | ||||
USD 0.01 common | Purchase | 100 | 26.0575 USD | ||||
USD 0.01 common | Purchase | 100 | 26.3800 USD | ||||
USD 0.01 common | Purchase | 109 | 26.4200 USD | ||||
USD 0.01 common | Purchase | 125 | 26.0700 USD | ||||
USD 0.01 common | Purchase | 141 | 26.0866 USD | ||||
USD 0.01 common | Purchase | 166 | 26.0972 USD | ||||
USD 0.01 common | Purchase | 200 | 26.4000 USD | ||||
USD 0.01 common | Purchase | 200 | 26.4050 USD | ||||
USD 0.01 common | Purchase | 200 | 26.1200 USD | ||||
USD 0.01 common | Purchase | 209 | 26.2000 USD | ||||
USD 0.01 common | Purchase | 431 | 26.0546 USD | ||||
USD 0.01 common | Purchase | 500 | 26.3870 USD | ||||
USD 0.01 common | Purchase | 589 | 26.1437 USD | ||||
USD 0.01 common | Purchase | 672 | 26.1659 USD | ||||
USD 0.01 common | Purchase | 756 | 26.3978 USD | ||||
USD 0.01 common | Purchase | 800 | 26.4062 USD | ||||
USD 0.01 common | Purchase | 989 | 26.1056 USD | ||||
USD 0.01 common | Purchase | 3,250 | 26.0900 USD | ||||
USD 0.01 common | Purchase | 4,885 | 26.4095 USD | ||||
USD 0.01 common | Purchase | 5,089 | 26.1902 USD | ||||
USD 0.01 common | Purchase | 5,248 | 26.2038 USD | ||||
USD 0.01 common | Purchase | 7,517 | 26.1262 USD | ||||
USD 0.01 common | Purchase | 8,047 | 26.1981 USD | ||||
USD 0.01 common | Purchase | 11,557 | 26.1476 USD | ||||
USD 0.01 common | Purchase | 12,494 | 26.1312 USD | ||||
USD 0.01 common | Purchase | 12,657 | 26.3722 USD | ||||
USD 0.01 common | Purchase | 42,342 | 26.0710 USD | ||||
USD 0.01 common | Purchase | 43,387 | 26.1507 USD | ||||
USD 0.01 common | Purchase | 43,961 | 26.2106 USD | ||||
USD 0.01 common | Purchase | 84,319 | 26.0600 USD | ||||
USD 0.01 common | Sale | 18 | 26.3000 USD | ||||
USD 0.01 common | Sale | 22 | 26.1800 USD | ||||
USD 0.01 common | Sale | 23 | 26.0400 USD | ||||
USD 0.01 common | Sale | 46 | 26.0300 USD | ||||
USD 0.01 common | Sale | 69 | 26.0500 USD | ||||
USD 0.01 common | Sale | 100 | 26.1100 USD | ||||
USD 0.01 common | Sale | 100 | 26.1000 USD | ||||
USD 0.01 common | Sale | 100 | 26.1300 USD | ||||
USD 0.01 common | Sale | 100 | 26.1450 USD | ||||
USD 0.01 common | Sale | 100 | 26.2100 USD | ||||
USD 0.01 common | Sale | 100 | 26.2250 USD | ||||
USD 0.01 common | Sale | 156 | 26.3500 USD | ||||
USD 0.01 common | Sale | 200 | 26.2225 USD | ||||
USD 0.01 common | Sale | 225 | 26.2858 USD | ||||
USD 0.01 common | Sale | 259 | 26.0650 USD | ||||
USD 0.01 common | Sale | 339 | 26.0586 USD | ||||
USD 0.01 common | Sale | 459 | 26.2764 USD | ||||
USD 0.01 common | Sale | 466 | 26.2231 USD | ||||
USD 0.01 common | Sale | 500 | 26.1280 USD | ||||
USD 0.01 common | Sale | 500 | 26.3640 USD | ||||
USD 0.01 common | Sale | 656 | 26.0609 USD | ||||
USD 0.01 common | Sale | 800 | 26.2887 USD | ||||
USD 0.01 common | Sale | 998 | 26.2492 USD | ||||
USD 0.01 common | Sale | 1,291 | 26.0766 USD | ||||
USD 0.01 common | Sale | 1,384 | 26.0736 USD | ||||
USD 0.01 common | Sale | 1,526 | 26.0688 USD | ||||
USD 0.01 common | Sale | 1,753 | 26.0716 USD | ||||
USD 0.01 common | Sale | 1,778 | 26.0674 USD | ||||
USD 0.01 common | Sale | 2,054 | 26.0533 USD | ||||
USD 0.01 common | Sale | 2,083 | 26.0620 USD | ||||
USD 0.01 common | Sale | 2,096 | 26.0671 USD | ||||
USD 0.01 common | Sale | 2,406 | 26.3070 USD | ||||
USD 0.01 common | Sale | 2,718 | 26.0517 USD | ||||
USD 0.01 common | Sale | 3,200 | 26.0900 USD | ||||
USD 0.01 common | Sale | 3,478 | 26.2103 USD | ||||
USD 0.01 common | Sale | 4,034 | 26.2364 USD | ||||
USD 0.01 common | Sale | 4,109 | 26.1738 USD | ||||
USD 0.01 common | Sale | 4,313 | 26.0998 USD | ||||
USD 0.01 common | Sale | 4,729 | 26.1993 USD | ||||
USD 0.01 common | Sale | 6,750 | 26.4000 USD | ||||
USD 0.01 common | Sale | 6,984 | 26.0824 USD | ||||
USD 0.01 common | Sale | 7,042 | 26.1356 USD | ||||
USD 0.01 common | Sale | 7,550 | 26.4059 USD | ||||
USD 0.01 common | Sale | 7,550 | 26.4500 USD | ||||
USD 0.01 common | Sale | 7,866 | 26.3800 USD | ||||
USD 0.01 common | Sale | 8,385 | 26.1102 USD | ||||
USD 0.01 common | Sale | 13,303 | 26.1677 USD | ||||
USD 0.01 common | Sale | 14,688 | 26.0741 USD | ||||
USD 0.01 common | Sale | 21,957 | 26.0926 USD | ||||
USD 0.01 common | Sale | 25,365 | 26.2075 USD | ||||
USD 0.01 common | Sale | 27,140 | 26.0600 USD | ||||
USD 0.01 common | Sale | 40,093 | 26.1806 USD | ||||
USD 0.01 common | Sale | 64,472 | 26.1216 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: | 25 Jan 2022 | ||||||
| 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 | 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
View source version on businesswire.com: https://www.businesswire.com/news/home/20220125005840/en/
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