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Pin to quick picksBarclays Regulatory News (BARC)

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Form 8.3 - NORTONLIFELOCK INC - AMENDMENT

3 Nov 2021 14:48

 

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 interests and short positions disclosed, if different from 1(a):

The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.

 

(c) Name of offeror/offeree in relation to whose relevant securities this form relates:

Use a separate form for each offeror/offeree

NORTONLIFELOCK INC

(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:

For an opening position disclosure, state the latest practicable date prior to the disclosure

1 Nov 2021

(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer?

If it is a cash offer or possible cash offer, state “N/A”

YES : 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
InterestsShort Positions
Number(%)Number(%)

(1)

Relevant securities owned
and/or controlled:

1,670,187

0.29%

1,054,306

0.18%

 

(2)

Cash-settled derivatives:

665,053

0.11%

1,028,322

0.18%

 

(3)

Stock-settled derivatives (including options)
and agreements to purchase/sell:

500

0.00%

2,100

0.00%

 

(4)

TOTAL:

2,335,740

0.40%

2,084,728

0.36%

 
Class of relevant security:Convertible Bond US668771AA66
InterestsShort Positions
Number(%)Number(%)

(1)

Relevant securities owned
and/or controlled:

361,000

0.06%

0

0.00%

 

(2)

Cash-settled derivatives:

0

0.00%

0

0.00%

 

(3)

Stock-settled derivatives (including options)
and agreements to purchase/sell:

0

0.00%

0

0.00%

 

(4)

TOTAL:

361,000

0.06%

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:

 

Details, including nature of the rights concerned and relevant percentages:

 

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 relevantPurchase/saleNumber ofPrice per unit
securitysecurities
USD 0.01 commonPurchase

48

25.5600 USD
USD 0.01 commonPurchase

68

25.2900 USD
USD 0.01 commonPurchase

68

25.6500 USD
USD 0.01 commonPurchase

70

25.3050 USD
USD 0.01 commonPurchase

120

25.3100 USD
USD 0.01 commonPurchase

124

25.3746 USD
USD 0.01 commonPurchase

140

25.3000 USD
USD 0.01 commonPurchase

163

25.4566 USD
USD 0.01 commonPurchase

200

25.3200 USD
USD 0.01 commonPurchase

253

25.3783 USD
USD 0.01 commonPurchase

300

25.3400 USD
USD 0.01 commonPurchase

422

25.4200 USD
USD 0.01 commonPurchase

475

25.3989 USD
USD 0.01 commonPurchase

540

25.3911 USD
USD 0.01 commonPurchase

541

25.4900 USD
USD 0.01 commonPurchase

578

25.4199 USD
USD 0.01 commonPurchase

685

25.3823 USD
USD 0.01 commonPurchase

1,045

25.2896 USD
USD 0.01 commonPurchase

1,097

25.3389 USD
USD 0.01 commonPurchase

1,400

25.3964 USD
USD 0.01 commonPurchase

2,187

25.4382 USD
USD 0.01 commonPurchase

2,502

25.4114 USD
USD 0.01 commonPurchase

2,926

25.3815 USD
USD 0.01 commonPurchase

3,616

25.3818 USD
USD 0.01 commonPurchase

4,401

25.3898 USD
USD 0.01 commonPurchase

5,381

25.3913 USD
USD 0.01 commonPurchase

5,907

25.3759 USD
USD 0.01 commonPurchase

6,417

25.4157 USD
USD 0.01 commonPurchase

10,520

25.3848 USD
USD 0.01 commonPurchase

10,520

25.3847 USD
USD 0.01 commonPurchase

15,707

25.3674 USD
USD 0.01 commonPurchase

26,442

25.3819 USD
USD 0.01 commonPurchase

39,770

25.3655 USD
USD 0.01 commonPurchase

77,957

25.3500 USD
USD 0.01 commonSale

2

25.3250 USD
USD 0.01 commonSale

7

25.5771 USD
USD 0.01 commonSale

12

25.3150 USD
USD 0.01 commonSale

68

25.2900 USD
USD 0.01 commonSale

94

25.6150 USD
USD 0.01 commonSale

100

25.6000 USD
USD 0.01 commonSale

100

25.5650 USD
USD 0.01 commonSale

100

25.5200 USD
USD 0.01 commonSale

100

25.3600 USD
USD 0.01 commonSale

113

25.3241 USD
USD 0.01 commonSale

200

25.2800 USD
USD 0.01 commonSale

200

25.3000 USD
USD 0.01 commonSale

200

25.4400 USD
USD 0.01 commonSale

200

25.4250 USD
USD 0.01 commonSale

200

25.3525 USD
USD 0.01 commonSale

300

25.3183 USD
USD 0.01 commonSale

400

25.3125 USD
USD 0.01 commonSale

414

25.4620 USD
USD 0.01 commonSale

431

25.3383 USD
USD 0.01 commonSale

500

25.3160 USD
USD 0.01 commonSale

512

25.4525 USD
USD 0.01 commonSale

631

25.5255 USD
USD 0.01 commonSale

641

25.4603 USD
USD 0.01 commonSale

701

25.3157 USD
USD 0.01 commonSale

786

25.3159 USD
USD 0.01 commonSale

1,285

25.4140 USD
USD 0.01 commonSale

1,900

25.4664 USD
USD 0.01 commonSale

2,187

25.4382 USD
USD 0.01 commonSale

2,699

25.3135 USD
USD 0.01 commonSale

3,379

25.3487 USD
USD 0.01 commonSale

3,597

25.3517 USD
USD 0.01 commonSale

3,975

25.4089 USD
USD 0.01 commonSale

4,587

25.3852 USD
USD 0.01 commonSale

4,976

25.4592 USD
USD 0.01 commonSale

8,419

25.4150 USD
USD 0.01 commonSale

10,520

25.3847 USD
USD 0.01 commonSale

14,322

25.3571 USD
USD 0.01 commonSale

31,733

25.3811 USD
USD 0.01 commonSale

43,642

25.3643 USD
USD 0.01 commonSale

78,079

25.3500 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

 

 

 

 

 

 

(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

 

 

 

 

 

 

 

 

(ii) Exercise

Class of relevant security

Product description

e.g. call option

Exercising/ exercised against

Number of securities

Exercise price per unit

 

 

 

 

 

 

(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)

 

 

 

 

 

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

 

(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

 

(c) Attachments

Is a Supplemental Form 8 (Open Positions) attached?

YES

Date of disclosure:

3 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

Full name of person making disclosure:

Barclays PLC.

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

NORTONLIFELOCK INC

2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

ClassProductWriting,NumberExerciseTypeExpiry
ofdescriptionpurchasing,ofpricedate
relevantselling,securitiesper unit
securityvarying etcto which
option
relates
USD 0.01 commonCall OptionsPurchased

500

27.0000

American21 Jan 2022
USD 0.01 commonPut OptionsPurchased

-2,100

30.0000

American21 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:

 

 

 

 

 

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

View source version on businesswire.com: https://www.businesswire.com/news/home/20211103005853/en/

Copyright Business Wire 2021

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