Last checked at 15 Nov 2021 16:38
FORM 8.3 - Amendment to Sale
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: | 11 November 2021 | |||||
| (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
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 |
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| and/or controlled: | 1,743,634 | 0.30% | 981,897 | 0.17% | ||
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(2) | Cash-settled derivatives: |
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645,961 | 0.11% | 1,307,674 | 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: | 2,390,095 | 0.41% | 2,291,671 | 0.39% | ||
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| Class of relevant security: | Convertible Bond US668771AA66 | |||||
Interests | Short Positions | |||||
Number | (%) | Number | (%) | |||
(1) | Relevant securities owned |
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| 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 |
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| security |
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| securities |
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| USD 0.01 common | Purchase | 2 | 25.0750 USD | ||||
| USD 0.01 common | Purchase | 3 | 25.0400 USD | ||||
| USD 0.01 common | Purchase | 4 | 25.0550 USD | ||||
| USD 0.01 common | Purchase | 4 | 25.0200 USD | ||||
| USD 0.01 common | Purchase | 6 | 25.0450 USD | ||||
| USD 0.01 common | Purchase | 8 | 25.0375 USD | ||||
| USD 0.01 common | Purchase | 49 | 25.0971 USD | ||||
| USD 0.01 common | Purchase | 70 | 25.0962 USD | ||||
| USD 0.01 common | Purchase | 73 | 25.0711 USD | ||||
| USD 0.01 common | Purchase | 78 | 25.0561 USD | ||||
| USD 0.01 common | Purchase | 92 | 25.0465 USD | ||||
| USD 0.01 common | Purchase | 105 | 25.1475 USD | ||||
| USD 0.01 common | Purchase | 111 | 25.0893 USD | ||||
| USD 0.01 common | Purchase | 123 | 25.0698 USD | ||||
| USD 0.01 common | Purchase | 134 | 25.1002 USD | ||||
| USD 0.01 common | Purchase | 161 | 24.8718 USD | ||||
| USD 0.01 common | Purchase | 173 | 24.9993 USD | ||||
| USD 0.01 common | Purchase | 200 | 25.1600 USD | ||||
| USD 0.01 common | Purchase | 200 | 25.0950 USD | ||||
| USD 0.01 common | Purchase | 200 | 25.0700 USD | ||||
| USD 0.01 common | Purchase | 200 | 25.1300 USD | ||||
| USD 0.01 common | Purchase | 221 | 25.1407 USD | ||||
| USD 0.01 common | Purchase | 263 | 24.8550 USD | ||||
| USD 0.01 common | Purchase | 292 | 24.9631 USD | ||||
| USD 0.01 common | Purchase | 300 | 25.0833 USD | ||||
| USD 0.01 common | Purchase | 300 | 25.0800 USD | ||||
| USD 0.01 common | Purchase | 301 | 25.1332 USD | ||||
| USD 0.01 common | Purchase | 307 | 24.8660 USD | ||||
| USD 0.01 common | Purchase | 321 | 25.1000 USD | ||||
| USD 0.01 common | Purchase | 400 | 25.1350 USD | ||||
| USD 0.01 common | Purchase | 600 | 25.0850 USD | ||||
| USD 0.01 common | Purchase | 600 | 25.0975 USD | ||||
| USD 0.01 common | Purchase | 800 | 25.0981 USD | ||||
| USD 0.01 common | Purchase | 801 | 24.9092 USD | ||||
| USD 0.01 common | Purchase | 900 | 25.0688 USD | ||||
| USD 0.01 common | Purchase | 1,000 | 25.1430 USD | ||||
| USD 0.01 common | Purchase | 1,058 | 25.0900 USD | ||||
| USD 0.01 common | Purchase | 1,101 | 25.1454 USD | ||||
| USD 0.01 common | Purchase | 1,358 | 25.1367 USD | ||||
| USD 0.01 common | Purchase | 1,377 | 25.0299 USD | ||||
| USD 0.01 common | Purchase | 1,389 | 25.0300 USD | ||||
| USD 0.01 common | Purchase | 1,406 | 24.9749 USD | ||||
| USD 0.01 common | Purchase | 1,415 | 25.0787 USD | ||||
| USD 0.01 common | Purchase | 1,419 | 24.9841 USD | ||||
| USD 0.01 common | Purchase | 1,748 | 25.1500 USD | ||||
| USD 0.01 common | Purchase | 1,800 | 25.1466 USD | ||||
| USD 0.01 common | Purchase | 1,900 | 25.1352 USD | ||||
| USD 0.01 common | Purchase | 1,914 | 25.1358 USD | ||||
| USD 0.01 common | Purchase | 2,070 | 25.0713 USD | ||||
| USD 0.01 common | Purchase | 2,206 | 24.9500 USD | ||||
| USD 0.01 common | Purchase | 2,613 | 25.1308 USD | ||||
| USD 0.01 common | Purchase | 3,031 | 25.1427 USD | ||||
| USD 0.01 common | Purchase | 3,616 | 25.1377 USD | ||||
| USD 0.01 common | Purchase | 3,962 | 25.0004 USD | ||||
| USD 0.01 common | Purchase | 4,050 | 25.0808 USD | ||||
| USD 0.01 common | Purchase | 4,101 | 25.0707 USD | ||||
| USD 0.01 common | Purchase | 4,208 | 25.0824 USD | ||||
| USD 0.01 common | Purchase | 4,351 | 24.9495 USD | ||||
| USD 0.01 common | Purchase | 4,650 | 25.0714 USD | ||||
| USD 0.01 common | Purchase | 5,503 | 24.9988 USD | ||||
| USD 0.01 common | Purchase | 5,859 | 25.0470 USD | ||||
| USD 0.01 common | Purchase | 6,077 | 25.1495 USD | ||||
| USD 0.01 common | Purchase | 6,839 | 25.0429 USD | ||||
| USD 0.01 common | Purchase | 7,059 | 25.0177 USD | ||||
| USD 0.01 common | Purchase | 7,240 | 25.0602 USD | ||||
| USD 0.01 common | Purchase | 9,060 | 24.8685 USD | ||||
| USD 0.01 common | Purchase | 9,772 | 25.0670 USD | ||||
| USD 0.01 common | Purchase | 10,652 | 25.0301 USD | ||||
| USD 0.01 common | Purchase | 15,017 | 25.1406 USD | ||||
| USD 0.01 common | Purchase | 23,305 | 25.1120 USD | ||||
| USD 0.01 common | Purchase | 45,166 | 25.0474 USD | ||||
| USD 0.01 common | Purchase | 59,916 | 25.0290 USD | ||||
| USD 0.01 common | Purchase | 107,066 | 25.1017 USD | ||||
| USD 0.01 common | Purchase | 119,294 | 25.0995 USD | ||||
| USD 0.01 common | Purchase | 336,551 | 25.0634 USD | ||||
| USD 0.01 common | Sale | 1 | 25.0700 USD | ||||
| USD 0.01 common | Sale | 2 | 24.8500 USD | ||||
| USD 0.01 common | Sale | 24 | 25.1108 USD | ||||
| USD 0.01 common | Sale | 33 | 25.1600 USD | ||||
| USD 0.01 common | Sale | 33 | 25.1550 USD | ||||
| USD 0.01 common | Sale | 61 | 25.1150 USD | ||||
| USD 0.01 common | Sale | 99 | 25.1200 USD | ||||
| USD 0.01 common | Sale | 140 | 25.0656 USD | ||||
| USD 0.01 common | Sale | 158 | 25.0883 USD | ||||
| USD 0.01 common | Sale | 161 | 24.8719 USD | ||||
| USD 0.01 common | Sale | 200 | 24.9650 USD | ||||
| USD 0.01 common | Sale | 221 | 25.1407 USD | ||||
| USD 0.01 common | Sale | 263 | 24.8550 USD | ||||
| USD 0.01 common | Sale | 300 | 25.1133 USD | ||||
| USD 0.01 common | Sale | 500 | 25.0200 USD | ||||
| USD 0.01 common | Sale | 600 | 25.0975 USD | ||||
| USD 0.01 common | Sale | 640 | 24.8800 USD | ||||
| USD 0.01 common | Sale | 915 | 25.1363 USD | ||||
| USD 0.01 common | Sale | 931 | 25.0884 USD | ||||
| USD 0.01 common | Sale | 978 | 25.0632 USD | ||||
| USD 0.01 common | Sale | 1,005 | 25.0354 USD | ||||
| USD 0.01 common | Sale | 1,049 | 25.0695 USD | ||||
| USD 0.01 common | Sale | 1,200 | 24.9333 USD | ||||
| USD 0.01 common | Sale | 1,290 | 25.0516 USD | ||||
| USD 0.01 common | Sale | 1,404 | 25.0302 USD | ||||
| USD 0.01 common | Sale | 1,500 | 25.1440 USD | ||||
| USD 0.01 common | Sale | 1,517 | 25.0822 USD | ||||
| USD 0.01 common | Sale | 1,695 | 25.0362 USD | ||||
| USD 0.01 common | Sale | 1,789 | 25.0277 USD | ||||
| USD 0.01 common | Sale | 1,807 | 25.0429 USD | ||||
| USD 0.01 common | Sale | 1,808 | 25.0219 USD | ||||
| USD 0.01 common | Sale | 1,812 | 25.1225 USD | ||||
| USD 0.01 common | Sale | 1,845 | 25.0684 USD | ||||
| USD 0.01 common | Sale | 1,904 | 25.1313 USD | ||||
| USD 0.01 common | Sale | 1,914 | 25.1500 USD | ||||
| USD 0.01 common | Sale | 1,970 | 24.8762 USD | ||||
| USD 0.01 common | Sale | 2,051 | 25.0283 USD | ||||
| USD 0.01 common | Sale | 2,334 | 25.0589 USD | ||||
| USD 0.01 common | Sale | 2,632 | 25.0712 USD | ||||
| USD 0.01 common | Sale | 2,808 | 25.0449 USD | ||||
| USD 0.01 common | Sale | 2,890 | 25.1069 USD | ||||
| USD 0.01 common | Sale | 2,950 | 25.0725 USD | ||||
| USD 0.01 common | Sale | 3,104 | 25.1280 USD | ||||
| USD 0.01 common | Sale | 3,373 | 25.1386 USD | ||||
| USD 0.01 common | Sale | 3,532 | 25.1216 USD | ||||
| USD 0.01 common | Sale | 3,708 | 25.0909 USD | ||||
| USD 0.01 common | Sale | 3,788 | 25.0763 USD | ||||
| USD 0.01 common | Sale | 4,732 | 25.1352 USD | ||||
| USD 0.01 common | Sale | 4,804 | 25.1434 USD | ||||
| USD 0.01 common | Sale | 7,000 | 25.0655 USD | ||||
| USD 0.01 common | Sale | 7,769 | 25.0461 USD | ||||
| USD 0.01 common | Sale | 11,157 | 25.0731 USD | ||||
| USD 0.01 common | Sale | 11,455 | 25.1246 USD | ||||
| USD 0.01 common | Sale | 11,495 | 25.0300 USD | ||||
| USD 0.01 common | Sale | 12,190 | 25.0487 USD | ||||
| USD 0.01 common | Sale | 13,371 | 25.0775 USD | ||||
| USD 0.01 common | Sale | 20,045 | 25.0444 USD | ||||
| USD 0.01 common | Sale | 25,012 | 25.1177 USD | ||||
| USD 0.01 common | Sale | 54,704 | 25.0051 USD | ||||
| USD 0.01 common | Sale | 238,588 | 25.0995 USD | ||||
| USD 0.01 common | Sale | 343,400 | 25.0612 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: | 15 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 |
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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 | 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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