9 Sep 2022 17:31
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 |
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(a) | Full name of discloser: | Barclays PLC. |
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(b) | Owner or controller of interest and short |
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positions disclosed, if different from 1(a): |
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(c) | Name of offeror/offeree in relation to whose | NORTONLIFELOCK INC |
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relevant securities this form relates: |
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(d) | If an exempt fund manager connected with an |
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offeror/offeree, state this and specify identity of |
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offeror/offeree: |
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(e) | Date position held/dealing undertaken: | 07 September 2022 |
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(f) | In addition to the company in 1(c) above, is the discloser making | YES: |
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disclosures in respect of any other party to the offer? | AVAST PLC |
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2. | POSITIONS OF THE PERSON MAKING THE DISCLOSURE |
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(a) | Interests and short positions in the relevant securities of the offeror or offeree |
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| to which the disclosure relates following the dealing (if any) |
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Class of relevant security: | USD 0.01 common |
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Interests | Short Positions |
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Number | (%) | Number | (%) |
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(1) | Relevant securities owned |
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and/or controlled: | 1,368,225 | 0.24% | 1,537,075 | 0.27% |
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(2) | Cash-settled derivatives: |
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1,666,873 | 0.29% | 3,954,724 | 0.69% |
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(3) | Stock-settled derivatives (including options) |
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and agreements to purchase/sell: | 17,100 | 0.00% | 48,410 | 0.01% |
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TOTAL: | 3,052,198 | 0.53% | 5,540,209 | 0.97% |
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(b) | Rights to subscribe for new securities (including directors and other executive |
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| options) |
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Class of relevant security in relation to |
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which subscription right exists |
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Details, including nature of the rights |
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concerned and relevant percentages: |
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3. | DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE | |||||
(a) | Purchases and sales | |||||
Class of relevant | Purchase/sale | Number of | Price per unit | |||
security | securities | |||||
USD 0.01 common | Purchase | 11 | 22.7800 USD | |||
USD 0.01 common | Purchase | 22 | 22.7750 USD | |||
USD 0.01 common | Purchase | 29 | 22.1600 EUR | |||
USD 0.01 common | Purchase | 31 | 22.8700 USD | |||
USD 0.01 common | Purchase | 54 | 22.7700 USD | |||
USD 0.01 common | Purchase | 100 | 22.3950 USD | |||
USD 0.01 common | Purchase | 200 | 22.1800 USD | |||
USD 0.01 common | Purchase | 306 | 22.8237 USD | |||
USD 0.01 common | Purchase | 475 | 22.7983 USD | |||
USD 0.01 common | Purchase | 600 | 22.7600 USD | |||
USD 0.01 common | Purchase | 675 | 22.6669 USD | |||
USD 0.01 common | Purchase | 967 | 22.6158 USD | |||
USD 0.01 common | Purchase | 1,029 | 22.8489 USD | |||
USD 0.01 common | Purchase | 1,060 | 22.5076 USD | |||
USD 0.01 common | Purchase | 1,200 | 22.4008 USD | |||
USD 0.01 common | Purchase | 1,402 | 22.1958 USD | |||
USD 0.01 common | Purchase | 1,483 | 22.4029 USD | |||
USD 0.01 common | Purchase | 3,033 | 22.4093 USD | |||
USD 0.01 common | Purchase | 3,089 | 22.8416 USD | |||
USD 0.01 common | Purchase | 3,484 | 22.7516 USD | |||
USD 0.01 common | Purchase | 3,750 | 22.3799 USD | |||
USD 0.01 common | Purchase | 5,121 | 22.6305 USD | |||
USD 0.01 common | Purchase | 5,441 | 22.1500 USD | |||
USD 0.01 common | Purchase | 5,927 | 22.7637 USD | |||
USD 0.01 common | Purchase | 6,622 | 22.3954 USD | |||
USD 0.01 common | Purchase | 8,445 | 22.4919 USD | |||
USD 0.01 common | Purchase | 8,751 | 22.8584 USD | |||
USD 0.01 common | Purchase | 12,928 | 22.5857 USD | |||
USD 0.01 common | Purchase | 21,861 | 22.6148 USD | |||
USD 0.01 common | Purchase | 22,688 | 22.7489 USD | |||
USD 0.01 common | Purchase | 55,098 | 22.8600 USD | |||
USD 0.01 common | Purchase | 94,204 | 22.5740 USD | |||
USD 0.01 common | Purchase | 146,450 | 22.3797 USD | |||
USD 0.01 common | Purchase | 150,000 | 22.3800 USD | |||
USD 0.01 common | Purchase | 229,789 | 22.6325 USD | |||
USD 0.01 common | Sale | 1 | 22.8000 USD | |||
USD 0.01 common | Sale | 3 | 22.7366 USD | |||
USD 0.01 common | Sale | 29 | 22.1600 EUR | |||
USD 0.01 common | Sale | 40 | 22.8100 USD | |||
USD 0.01 common | Sale | 41 | 22.7990 USD | |||
USD 0.01 common | Sale | 42 | 22.8007 USD | |||
USD 0.01 common | Sale | 60 | 22.7900 USD | |||
USD 0.01 common | Sale | 71 | 22.5826 USD | |||
USD 0.01 common | Sale | 81 | 22.7946 USD | |||
USD 0.01 common | Sale | 84 | 22.7803 USD | |||
USD 0.01 common | Sale | 100 | 22.3950 USD | |||
USD 0.01 common | Sale | 121 | 22.7760 USD | |||
USD 0.01 common | Sale | 150 | 22.2906 USD | |||
USD 0.01 common | Sale | 200 | 22.1800 USD | |||
USD 0.01 common | Sale | 200 | 22.4825 USD | |||
USD 0.01 common | Sale | 200 | 22.4875 USD | |||
USD 0.01 common | Sale | 209 | 22.5355 USD | |||
USD 0.01 common | Sale | 214 | 22.5703 USD | |||
USD 0.01 common | Sale | 224 | 22.8250 USD | |||
USD 0.01 common | Sale | 242 | 22.7750 USD | |||
USD 0.01 common | Sale | 296 | 22.7831 USD | |||
USD 0.01 common | Sale | 300 | 22.4950 USD | |||
USD 0.01 common | Sale | 302 | 22.6324 USD | |||
USD 0.01 common | Sale | 309 | 22.5337 USD | |||
USD 0.01 common | Sale | 366 | 22.6798 USD | |||
USD 0.01 common | Sale | 387 | 22.7689 USD | |||
USD 0.01 common | Sale | 400 | 22.5200 USD | |||
USD 0.01 common | Sale | 400 | 22.4850 USD | |||
USD 0.01 common | Sale | 413 | 22.7673 USD | |||
USD 0.01 common | Sale | 452 | 22.4887 USD | |||
USD 0.01 common | Sale | 498 | 22.6957 USD | |||
USD 0.01 common | Sale | 499 | 22.7694 USD | |||
USD 0.01 common | Sale | 500 | 22.7040 USD | |||
USD 0.01 common | Sale | 585 | 22.7583 USD | |||
USD 0.01 common | Sale | 618 | 22.7564 USD | |||
USD 0.01 common | Sale | 689 | 22.7523 USD | |||
USD 0.01 common | Sale | 800 | 22.3462 USD | |||
USD 0.01 common | Sale | 800 | 22.4862 USD | |||
USD 0.01 common | Sale | 877 | 22.7605 USD | |||
USD 0.01 common | Sale | 900 | 22.3555 USD | |||
USD 0.01 common | Sale | 924 | 22.3043 USD | |||
USD 0.01 common | Sale | 988 | 22.3000 USD | |||
USD 0.01 common | Sale | 994 | 22.7685 USD | |||
USD 0.01 common | Sale | 999 | 22.7649 USD | |||
USD 0.01 common | Sale | 1,088 | 22.3823 USD | |||
USD 0.01 common | Sale | 1,160 | 22.4000 USD | |||
USD 0.01 common | Sale | 1,187 | 22.8537 USD | |||
USD 0.01 common | Sale | 1,200 | 22.7600 USD | |||
USD 0.01 common | Sale | 1,315 | 22.8581 USD | |||
USD 0.01 common | Sale | 1,604 | 22.5623 USD | |||
USD 0.01 common | Sale | 1,687 | 22.7664 USD | |||
USD 0.01 common | Sale | 2,647 | 22.4103 USD | |||
USD 0.01 common | Sale | 2,869 | 22.6146 USD | |||
USD 0.01 common | Sale | 2,981 | 22.4908 USD | |||
USD 0.01 common | Sale | 3,038 | 22.3238 USD | |||
USD 0.01 common | Sale | 3,049 | 22.6327 USD | |||
USD 0.01 common | Sale | 3,112 | 22.4962 USD | |||
USD 0.01 common | Sale | 3,200 | 22.1500 USD | |||
USD 0.01 common | Sale | 3,241 | 22.7270 USD | |||
USD 0.01 common | Sale | 3,540 | 22.3672 USD | |||
USD 0.01 common | Sale | 3,900 | 22.8520 USD | |||
USD 0.01 common | Sale | 4,940 | 22.4649 USD | |||
USD 0.01 common | Sale | 5,754 | 22.3504 USD | |||
USD 0.01 common | Sale | 6,501 | 22.3883 USD | |||
USD 0.01 common | Sale | 6,637 | 22.3719 USD | |||
USD 0.01 common | Sale | 7,917 | 22.6611 USD | |||
USD 0.01 common | Sale | 8,453 | 22.8425 USD | |||
USD 0.01 common | Sale | 8,487 | 22.3861 USD | |||
USD 0.01 common | Sale | 8,751 | 22.8584 USD | |||
USD 0.01 common | Sale | 8,852 | 22.3771 USD | |||
USD 0.01 common | Sale | 9,657 | 22.5451 USD | |||
USD 0.01 common | Sale | 9,757 | 22.5109 USD | |||
USD 0.01 common | Sale | 9,789 | 22.3818 USD | |||
USD 0.01 common | Sale | 13,447 | 22.7602 USD | |||
USD 0.01 common | Sale | 13,836 | 22.4978 USD | |||
USD 0.01 common | Sale | 14,566 | 22.5313 USD | |||
USD 0.01 common | Sale | 28,900 | 22.4123 USD | |||
USD 0.01 common | Sale | 34,385 | 22.8600 USD | |||
USD 0.01 common | Sale | 45,507 | 22.3646 USD | |||
USD 0.01 common | Sale | 46,035 | 22.3922 USD | |||
USD 0.01 common | Sale | 46,222 | 22.6886 USD | |||
USD 0.01 common | Sale | 52,446 | 22.6150 USD | |||
USD 0.01 common | Sale | 79,910 | 22.6543 USD | |||
USD 0.01 common | Sale | 93,373 | 22.6120 USD | |||
USD 0.01 common | Sale | 150,000 | 22.3800 USD |
(b) | Cash-settled derivative transactions |
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Class of relevant | Product | Nature of dealing | Number of | Price per unit | ||||
security | description | reference | ||||||
securities | ||||||||
(c) | Stock-settled derivative transactions (including options) | |||||||
(i) | Writing, selling, purchasing or varying |
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Class | Product | Writing, | Number | Exercise | Type | Expiry | Option | |
of | description | purchasing, | of | price | date | money | ||
relevant | selling, | securities | per unit | paid/ | ||||
security | varying etc | to which | received | |||||
option | per unit | |||||||
relates | ||||||||
(ii) | Exercising |
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Class of relevant | Product description | Exercising/ exercised against | Number of | Exercise price per | ||||
security | securities | unit | ||||||
(d) | Other dealings (including subscribing for new securities) | |||||||
Class of relevant | Nature of Dealings | Details | Price per unit (if | |||||
security | applicable) | |||||||
4. | OTHER INFORMATION | |||||||
(a) | Indemnity and other dealings arrangements |
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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: | ||||||||
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 of future acquisition or disposal of any relevant securities to which | ||||||||
any derivative is referenced: | ||||||||
NONE | ||||||||
(c) | Attachments |
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Is a Supplemental Form 8 (Open Positions) attached? | YES | |||||||
Date of disclosure: | 9 Sep 2022 | |||||||
Contact name: | Large Holdings Regulatory Operations | |||||||
Telephone number: | 020 3134 7213 | |||||||
SUPPLEMENTAL FORM 8 (OPEN POSITIONS) | ||||||||
DETAILS OF OPEN OPTION AND DERIVATIVE 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. | OPTIONS AND DERIVATIVES | |||||||
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 | Call Options | Written | -17,100 | 27.0000 | American | 16 Sep 2022 | ||
USD 0.01 common | Put Options | Purchased | -31,310 | 23.0000 | American | 18 Nov 2022 | ||
USD 0.01 common | Put Options | Written | 17,100 | 25.0000 | American | 16 Sep 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: | ||||||||