Last checked at 26 Aug 2021 14:15
FORM 8.3 - Amendment to Sales
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: | 24 August 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: | 1,591,579 | 0.27% | 342,199 | 0.06% | |
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(2) | Cash-settled derivatives: |
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110,636 | 0.02% | 1,279,498 | 0.22% | ||
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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: | 1,702,715 | 0.29% | 1,623,797 | 0.28% | |
| Class of relevant security: | Convertible Bond US668771AA66 | ||||
| Interests | Short Positions | ||||
| Number | (%) | Number | (%) | ||
(1) | Relevant securities owned | ||||
| and/or controlled: | 136,000 | 0.02% | 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: | 136,000 | 0.02% | 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 | 10 | 26.4450 USD |
USD 0.01 common | Purchase | 20 | 26.4800 USD |
USD 0.01 common | Purchase | 20 | 22.3750 EUR |
USD 0.01 common | Purchase | 40 | 26.4487 USD |
USD 0.01 common | Purchase | 50 | 26.4490 USD |
USD 0.01 common | Purchase | 50 | 26.4660 USD |
USD 0.01 common | Purchase | 57 | 26.4650 USD |
USD 0.01 common | Purchase | 74 | 26.2878 USD |
USD 0.01 common | Purchase | 100 | 26.2850 USD |
USD 0.01 common | Purchase | 130 | 26.4469 USD |
USD 0.01 common | Purchase | 166 | 26.3458 USD |
USD 0.01 common | Purchase | 200 | 26.4350 USD |
USD 0.01 common | Purchase | 215 | 26.1234 USD |
USD 0.01 common | Purchase | 299 | 26.2510 USD |
USD 0.01 common | Purchase | 300 | 26.3883 USD |
USD 0.01 common | Purchase | 309 | 26.1955 USD |
USD 0.01 common | Purchase | 352 | 26.2250 USD |
USD 0.01 common | Purchase | 400 | 26.3750 USD |
USD 0.01 common | Purchase | 400 | 26.2350 USD |
USD 0.01 common | Purchase | 500 | 26.2290 USD |
USD 0.01 common | Purchase | 600 | 26.3808 USD |
USD 0.01 common | Purchase | 682 | 26.3730 USD |
USD 0.01 common | Purchase | 707 | 26.1050 USD |
USD 0.01 common | Purchase | 800 | 26.2800 USD |
USD 0.01 common | Purchase | 879 | 26.3646 USD |
USD 0.01 common | Purchase | 900 | 26.3833 USD |
USD 0.01 common | Purchase | 1,000 | 26.3035 USD |
USD 0.01 common | Purchase | 1,091 | 26.3636 USD |
USD 0.01 common | Purchase | 1,200 | 26.3350 USD |
USD 0.01 common | Purchase | 1,522 | 26.4230 USD |
USD 0.01 common | Purchase | 2,471 | 26.2564 USD |
USD 0.01 common | Purchase | 4,111 | 26.4517 USD |
USD 0.01 common | Purchase | 4,429 | 26.4050 USD |
USD 0.01 common | Purchase | 7,024 | 26.1661 USD |
USD 0.01 common | Purchase | 8,190 | 26.3251 USD |
USD 0.01 common | Purchase | 10,994 | 26.3589 USD |
USD 0.01 common | Purchase | 13,921 | 26.2529 USD |
USD 0.01 common | Purchase | 22,794 | 26.2353 USD |
USD 0.01 common | Purchase | 27,421 | 26.3373 USD |
USD 0.01 common | Purchase | 32,690 | 26.2614 USD |
USD 0.01 common | Purchase | 37,034 | 26.4494 USD |
USD 0.01 common | Purchase | 102,962 | 26.4500 USD |
USD 0.01 common | Purchase | 143,160 | 26.3586 USD |
USD 0.01 common | Sale | 1 | 26.0300 USD |
USD 0.01 common | Sale | 11 | 26.4800 USD |
USD 0.01 common | Sale | 20 | 22.3750 EUR |
USD 0.01 common | Sale | 54 | 26.2250 USD |
USD 0.01 common | Sale | 58 | 26.4650 USD |
USD 0.01 common | Sale | 100 | 26.4605 USD |
USD 0.01 common | Sale | 100 | 26.4600 USD |
USD 0.01 common | Sale | 100 | 26.2400 USD |
USD 0.01 common | Sale | 100 | 26.4550 USD |
USD 0.01 common | Sale | 110 | 26.2200 USD |
USD 0.01 common | Sale | 111 | 26.4534 USD |
USD 0.01 common | Sale | 200 | 26.4400 USD |
USD 0.01 common | Sale | 200 | 26.4350 USD |
USD 0.01 common | Sale | 300 | 26.4450 USD |
USD 0.01 common | Sale | 300 | 26.4201 USD |
USD 0.01 common | Sale | 300 | 26.4599 USD |
USD 0.01 common | Sale | 400 | 26.0900 USD |
USD 0.01 common | Sale | 460 | 26.2432 USD |
USD 0.01 common | Sale | 639 | 26.4190 USD |
USD 0.01 common | Sale | 900 | 26.3900 USD |
USD 0.01 common | Sale | 1,079 | 26.4452 USD |
USD 0.01 common | Sale | 1,400 | 26.4360 USD |
USD 0.01 common | Sale | 1,522 | 26.4230 USD |
USD 0.01 common | Sale | 2,400 | 26.3845 USD |
USD 0.01 common | Sale | 3,144 | 26.3333 USD |
USD 0.01 common | Sale | 3,178 | 26.4515 USD |
USD 0.01 common | Sale | 4,429 | 26.4050 USD |
USD 0.01 common | Sale | 4,700 | 26.3967 USD |
USD 0.01 common | Sale | 6,964 | 26.2857 USD |
USD 0.01 common | Sale | 7,440 | 26.3638 USD |
USD 0.01 common | Sale | 9,519 | 26.3186 USD |
USD 0.01 common | Sale | 13,581 | 26.2903 USD |
USD 0.01 common | Sale | 16,275 | 26.3445 USD |
USD 0.01 common | Sale | 19,696 | 26.2613 USD |
USD 0.01 common | Sale | 21,818 | 26.3599 USD |
USD 0.01 common | Sale | 25,881 | 26.2553 USD |
USD 0.01 common | Sale | 31,878 | 26.2737 USD |
USD 0.01 common | Sale | 32,344 | 26.2572 USD |
USD 0.01 common | Sale | 78,042 | 26.3811 USD |
USD 0.01 common | Sale | 141,834 | 26.4500 USD |
| NB: The below transactions which were previously disclosed have been cancelled | |||
| Class of relevant | Purchase/sale | Number of | Price per unit |
| security | securities | ||
USD 0.01 common | Sale | 348 | 26.4500 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: | 26 Aug 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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