Last checked at 25 Aug 2021 10:12
FORM 8.3 Amendment to Sales and Purchases
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 |
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| 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 |
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| offeror/offeree, state this and specify identity of | ||
| offeror/offeree: | ||
| (e) | Date position held/dealing undertaken: | 20 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 |
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Interests | Short Positions | ||||
Number | (%) | Number | (%) | ||
(1) | Relevant securities owned |
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| and/or controlled: | 1,879,895 | 0.32% | 578,675 | 0.10% | |
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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: | 261,900 | 0.05% | 13,500 | 0.00% | |
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| TOTAL: | 2,252,431 | 0.39% | 1,871,673 | 0.32% | |
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| Class of relevant security: | Convertible Bond US668771AA66 |
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Interests | Short Positions | ||||
Number | (%) | Number | (%) | ||
(1) | Relevant securities owned |
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| 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% | |
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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 |
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USD 0.01 common | Purchase | 1 | 25.6300 USD |
USD 0.01 common | Purchase | 13 | 25.5953 USD |
USD 0.01 common | Purchase | 15 | 25.6900 USD |
USD 0.01 common | Purchase | 22 | 25.6550 USD |
USD 0.01 common | Purchase | 25 | 25.5800 USD |
USD 0.01 common | Purchase | 50 | 25.6050 USD |
USD 0.01 common | Purchase | 86 | 25.7350 USD |
USD 0.01 common | Purchase | 100 | 25.6500 USD |
USD 0.01 common | Purchase | 100 | 25.5775 USD |
USD 0.01 common | Purchase | 100 | 25.7400 USD |
USD 0.01 common | Purchase | 124 | 25.6650 USD |
USD 0.01 common | Purchase | 188 | 25.6878 USD |
USD 0.01 common | Purchase | 198 | 25.7292 USD |
USD 0.01 common | Purchase | 200 | 25.7650 USD |
USD 0.01 common | Purchase | 200 | 25.7200 USD |
USD 0.01 common | Purchase | 264 | 25.6545 USD |
USD 0.01 common | Purchase | 448 | 25.6700 USD |
USD 0.01 common | Purchase | 457 | 25.6705 USD |
USD 0.01 common | Purchase | 500 | 25.6640 USD |
USD 0.01 common | Purchase | 500 | 25.6540 USD |
USD 0.01 common | Purchase | 506 | 25.6408 USD |
USD 0.01 common | Purchase | 558 | 25.6529 USD |
USD 0.01 common | Purchase | 558 | 25.6484 USD |
USD 0.01 common | Purchase | 600 | 25.6441 USD |
USD 0.01 common | Purchase | 970 | 25.6509 USD |
USD 0.01 common | Purchase | 1,000 | 25.6320 USD |
USD 0.01 common | Purchase | 1,066 | 25.6016 USD |
USD 0.01 common | Purchase | 1,154 | 25.6000 USD |
USD 0.01 common | Purchase | 1,400 | 25.5721 USD |
USD 0.01 common | Purchase | 1,800 | 25.6255 USD |
USD 0.01 common | Purchase | 2,115 | 25.6240 USD |
USD 0.01 common | Purchase | 2,355 | 25.6065 USD |
USD 0.01 common | Purchase | 2,519 | 25.6157 USD |
USD 0.01 common | Purchase | 4,767 | 25.7120 USD |
USD 0.01 common | Purchase | 6,101 | 25.6447 USD |
USD 0.01 common | Purchase | 7,200 | 25.5700 USD |
USD 0.01 common | Purchase | 7,289 | 25.6814 USD |
USD 0.01 common | Purchase | 7,346 | 25.6343 USD |
USD 0.01 common | Purchase | 7,841 | 25.6260 USD |
USD 0.01 common | Purchase | 9,312 | 25.6528 USD |
USD 0.01 common | Purchase | 9,393 | 25.6196 USD |
USD 0.01 common | Purchase | 10,549 | 25.6679 USD |
USD 0.01 common | Purchase | 10,969 | 25.7493 USD |
USD 0.01 common | Purchase | 19,737 | 25.6245 USD |
USD 0.01 common | Purchase | 25,872 | 25.6423 USD |
USD 0.01 common | Purchase | 26,462 | 25.7376 USD |
USD 0.01 common | Purchase | 32,435 | 25.6501 USD |
USD 0.01 common | Purchase | 50,000 | 25.0000 USD |
USD 0.01 common | Purchase | 76,351 | 25.7500 USD |
USD 0.01 common | Purchase | 91,080 | 25.6703 USD |
USD 0.01 common | Purchase | 114,017 | 25.7437 USD |
USD 0.01 common | Purchase | 200,000 | 24.0000 USD |
USD 0.01 common | Purchase | 650,000 | 25.6623 USD |
USD 0.01 common | Sale | 1 | 25.6300 USD |
USD 0.01 common | Sale | 13 | 25.5953 USD |
USD 0.01 common | Sale | 21 | 25.6683 USD |
USD 0.01 common | Sale | 21 | 25.6550 USD |
USD 0.01 common | Sale | 25 | 25.6324 USD |
USD 0.01 common | Sale | 28 | 25.5925 USD |
USD 0.01 common | Sale | 35 | 25.6711 USD |
USD 0.01 common | Sale | 49 | 25.6185 USD |
USD 0.01 common | Sale | 65 | 25.6303 USD |
USD 0.01 common | Sale | 90 | 25.6750 USD |
USD 0.01 common | Sale | 100 | 25.5950 USD |
USD 0.01 common | Sale | 100 | 25.7300 USD |
USD 0.01 common | Sale | 122 | 25.6000 USD |
USD 0.01 common | Sale | 200 | 25.6800 USD |
USD 0.01 common | Sale | 277 | 25.7022 USD |
USD 0.01 common | Sale | 353 | 25.6261 USD |
USD 0.01 common | Sale | 500 | 25.6920 USD |
USD 0.01 common | Sale | 600 | 25.7200 USD |
USD 0.01 common | Sale | 642 | 25.6700 USD |
USD 0.01 common | Sale | 659 | 25.5897 USD |
USD 0.01 common | Sale | 1,100 | 25.7354 USD |
USD 0.01 common | Sale | 1,402 | 25.5939 USD |
USD 0.01 common | Sale | 1,707 | 25.7197 USD |
USD 0.01 common | Sale | 2,001 | 25.5970 USD |
USD 0.01 common | Sale | 2,728 | 25.7157 USD |
USD 0.01 common | Sale | 2,793 | 25.6079 USD |
USD 0.01 common | Sale | 3,410 | 25.7180 USD |
USD 0.01 common | Sale | 3,608 | 25.6173 USD |
USD 0.01 common | Sale | 3,956 | 25.6125 USD |
USD 0.01 common | Sale | 6,513 | 25.6279 USD |
USD 0.01 common | Sale | 7,105 | 25.6525 USD |
USD 0.01 common | Sale | 7,200 | 25.5700 USD |
USD 0.01 common | Sale | 8,462 | 25.6385 USD |
USD 0.01 common | Sale | 9,142 | 25.6529 USD |
USD 0.01 common | Sale | 10,549 | 25.6679 USD |
USD 0.01 common | Sale | 11,400 | 26.0000 USD |
USD 0.01 common | Sale | 12,016 | 25.7457 USD |
USD 0.01 common | Sale | 14,202 | 25.6500 USD |
USD 0.01 common | Sale | 14,980 | 25.6278 USD |
USD 0.01 common | Sale | 16,842 | 25.6316 USD |
USD 0.01 common | Sale | 16,917 | 25.6386 USD |
USD 0.01 common | Sale | 17,653 | 25.6699 USD |
USD 0.01 common | Sale | 17,935 | 25.6394 USD |
USD 0.01 common | Sale | 21,437 | 25.6253 USD |
USD 0.01 common | Sale | 23,185 | 25.7072 USD |
USD 0.01 common | Sale | 23,585 | 25.7404 USD |
USD 0.01 common | Sale | 25,090 | 25.6466 USD |
USD 0.01 common | Sale | 34,000 | 25.7025 USD |
USD 0.01 common | Sale | 35,238 | 25.6554 USD |
USD 0.01 common | Sale | 87,213 | 25.6880 USD |
USD 0.01 common | Sale | 106,012 | 25.6633 USD |
USD 0.01 common | Sale | 122,678 | 25.6343 USD |
USD 0.01 common | Sale | 153,750 | 25.7500 USD |
USD 0.01 common | Sale | 325,000 | 25.6623 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 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 |
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security |
| varying etc | to which |
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| option |
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USD 0.01 common | Call Options | Purchased | 500 | 27.0000 | American | 21 Jan 2022 |
USD 0.01 common | Call Options | Purchased | 11,400 | 26.0000 | American | 20 Aug 2021 |
USD 0.01 common | Call Options | Purchased | 50,000 | 25.0000 | American | 20 Aug 2021 |
USD 0.01 common | Call Options | Purchased | 200,000 | 24.0000 | American | 20 Aug 2021 |
USD 0.01 common | Put Options | Purchased | -11,400 | 26.0000 | American | 20 Aug 2021 |
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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