Last checked at 11 Nov 2021 15:51
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: | 09 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: | 1,846,143 | 0.32% | 991,167 | 0.17% | ||
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(2) | Cash-settled derivatives: |
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645,961 | 0.11% | 2,615,348 | 0.45% | |||
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(3) | Stock-settled derivatives (including options) |
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| and agreements to purchase/sell: | 500 | 0.00% | 2,100 | 0.00% | ||
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| TOTAL: | 2,492,604 | 0.43% | 3,608,615 | 0.62% | ||
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| 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% | ||
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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: | 376,000 | 0.06% | 0 | 0.00% | ||
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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 | 25.0500 USD | ||||
USD 0.01 common | Purchase | 9 | 26.0966 USD | ||||
USD 0.01 common | Purchase | 31 | 25.0300 USD | ||||
USD 0.01 common | Purchase | 32 | 25.1550 USD | ||||
USD 0.01 common | Purchase | 41 | 25.0700 USD | ||||
USD 0.01 common | Purchase | 41 | 25.0550 USD | ||||
USD 0.01 common | Purchase | 41 | 25.1000 USD | ||||
USD 0.01 common | Purchase | 41 | 25.1150 USD | ||||
USD 0.01 common | Purchase | 63 | 25.2000 USD | ||||
USD 0.01 common | Purchase | 82 | 25.1075 USD | ||||
USD 0.01 common | Purchase | 82 | 25.0825 USD | ||||
USD 0.01 common | Purchase | 82 | 25.0875 USD | ||||
USD 0.01 common | Purchase | 164 | 25.1137 USD | ||||
USD 0.01 common | Purchase | 243 | 25.0850 USD | ||||
USD 0.01 common | Purchase | 308 | 25.1200 USD | ||||
USD 0.01 common | Purchase | 362 | 25.5200 USD | ||||
USD 0.01 common | Purchase | 400 | 25.3500 USD | ||||
USD 0.01 common | Purchase | 961 | 25.9800 USD | ||||
USD 0.01 common | Purchase | 1,073 | 25.0964 USD | ||||
USD 0.01 common | Purchase | 1,200 | 25.1212 USD | ||||
USD 0.01 common | Purchase | 2,000 | 25.1107 USD | ||||
USD 0.01 common | Purchase | 2,100 | 25.1169 USD | ||||
USD 0.01 common | Purchase | 2,100 | 25.0495 USD | ||||
USD 0.01 common | Purchase | 2,209 | 25.1160 USD | ||||
USD 0.01 common | Purchase | 2,588 | 25.0886 USD | ||||
USD 0.01 common | Purchase | 2,600 | 25.2188 USD | ||||
USD 0.01 common | Purchase | 2,803 | 25.0745 USD | ||||
USD 0.01 common | Purchase | 2,822 | 25.1568 USD | ||||
USD 0.01 common | Purchase | 2,882 | 25.1156 USD | ||||
USD 0.01 common | Purchase | 2,963 | 25.4598 USD | ||||
USD 0.01 common | Purchase | 2,982 | 25.2417 USD | ||||
USD 0.01 common | Purchase | 3,020 | 25.7640 USD | ||||
USD 0.01 common | Purchase | 3,382 | 25.7379 USD | ||||
USD 0.01 common | Purchase | 3,739 | 25.1101 USD | ||||
USD 0.01 common | Purchase | 4,065 | 25.2966 USD | ||||
USD 0.01 common | Purchase | 5,534 | 25.2219 USD | ||||
USD 0.01 common | Purchase | 5,944 | 25.1005 USD | ||||
USD 0.01 common | Purchase | 6,262 | 25.1098 USD | ||||
USD 0.01 common | Purchase | 8,074 | 25.0661 USD | ||||
USD 0.01 common | Purchase | 8,883 | 25.1100 USD | ||||
USD 0.01 common | Purchase | 14,191 | 25.3730 USD | ||||
USD 0.01 common | Purchase | 16,213 | 25.1449 USD | ||||
USD 0.01 common | Purchase | 16,491 | 25.1099 USD | ||||
USD 0.01 common | Purchase | 19,086 | 25.3352 USD | ||||
USD 0.01 common | Purchase | 23,261 | 25.2963 USD | ||||
USD 0.01 common | Purchase | 38,958 | 25.4238 USD | ||||
USD 0.01 common | Purchase | 43,191 | 25.1429 USD | ||||
USD 0.01 common | Purchase | 60,963 | 25.3131 USD | ||||
USD 0.01 common | Purchase | 86,136 | 25.1104 USD | ||||
USD 0.01 common | Purchase | 94,046 | 25.0575 USD | ||||
USD 0.01 common | Sale | 18 | 25.5883 USD | ||||
USD 0.01 common | Sale | 58 | 25.4625 USD | ||||
USD 0.01 common | Sale | 84 | 25.4063 USD | ||||
USD 0.01 common | Sale | 100 | 25.0700 USD | ||||
USD 0.01 common | Sale | 100 | 25.1250 USD | ||||
USD 0.01 common | Sale | 100 | 25.7550 USD | ||||
USD 0.01 common | Sale | 102 | 25.0856 USD | ||||
USD 0.01 common | Sale | 131 | 25.1497 USD | ||||
USD 0.01 common | Sale | 157 | 25.5448 USD | ||||
USD 0.01 common | Sale | 158 | 25.2067 USD | ||||
USD 0.01 common | Sale | 186 | 25.0681 USD | ||||
USD 0.01 common | Sale | 202 | 25.0703 USD | ||||
USD 0.01 common | Sale | 224 | 25.6154 USD | ||||
USD 0.01 common | Sale | 243 | 25.0850 USD | ||||
USD 0.01 common | Sale | 300 | 25.1216 USD | ||||
USD 0.01 common | Sale | 320 | 25.1200 USD | ||||
USD 0.01 common | Sale | 329 | 25.0881 USD | ||||
USD 0.01 common | Sale | 333 | 25.1108 USD | ||||
USD 0.01 common | Sale | 400 | 25.0662 USD | ||||
USD 0.01 common | Sale | 714 | 25.7789 USD | ||||
USD 0.01 common | Sale | 842 | 25.1222 USD | ||||
USD 0.01 common | Sale | 899 | 25.1025 USD | ||||
USD 0.01 common | Sale | 961 | 25.9800 USD | ||||
USD 0.01 common | Sale | 1,057 | 25.1047 USD | ||||
USD 0.01 common | Sale | 1,136 | 25.7604 USD | ||||
USD 0.01 common | Sale | 1,989 | 25.7393 USD | ||||
USD 0.01 common | Sale | 2,000 | 25.1160 USD | ||||
USD 0.01 common | Sale | 2,055 | 25.1387 USD | ||||
USD 0.01 common | Sale | 3,615 | 25.2208 USD | ||||
USD 0.01 common | Sale | 4,043 | 25.1488 USD | ||||
USD 0.01 common | Sale | 7,995 | 25.4233 USD | ||||
USD 0.01 common | Sale | 10,858 | 25.2753 USD | ||||
USD 0.01 common | Sale | 11,615 | 25.4265 USD | ||||
USD 0.01 common | Sale | 16,193 | 25.1477 USD | ||||
USD 0.01 common | Sale | 20,909 | 25.2535 USD | ||||
USD 0.01 common | Sale | 29,083 | 25.2766 USD | ||||
USD 0.01 common | Sale | 29,357 | 25.1100 USD | ||||
USD 0.01 common | Sale | 33,093 | 25.4755 USD | ||||
USD 0.01 common | Sale | 42,642 | 25.1321 USD | ||||
USD 0.01 common | Sale | 51,200 | 25.3358 USD | ||||
USD 0.01 common | Sale | 209,300 | 25.0835 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: | 11 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 | ||||
| security | varying etc | to which | |||||
| option | |||||||
| 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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