Last checked at 16 Aug 2021 15:49
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: | 11 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: | 1,829,796 | 0.31% | 401,722 | 0.07% | |
|
|
|
| ||
(2) | Cash-settled derivatives: |
|
|
|
|
86,098 | 0.01% | 1,279,498 | 0.22% | ||
|
|
|
| ||
(3) | Stock-settled derivatives (including options) |
|
|
|
|
| and agreements to purchase/sell: | 261,900 | 0.05% | 13,500 | 0.00% | |
|
|
|
| ||
|
|
|
| ||
| TOTAL: | 2,177,794 | 0.37% | 1,694,720 | 0.29% | |
|
|
|
| ||
| 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% | |
|
|
|
| ||
(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% | |
|
|
|
| ||
|
|
|
| ||
| 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: |
|
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 relevant | Purchase/sale | Number of | Price per unit |
security |
| securities |
|
Convertible Bond | Purchase | 16,000 | 130.1250 USD |
Convertible Bond | Sale | 8,000 | 130.1250 USD |
USD 0.01 common | Purchase | 26 | 26.2550 USD |
USD 0.01 common | Purchase | 36 | 26.2650 USD |
USD 0.01 common | Purchase | 52 | 26.0475 USD |
USD 0.01 common | Purchase | 100 | 25.9950 USD |
USD 0.01 common | Purchase | 100 | 25.9800 USD |
USD 0.01 common | Purchase | 100 | 25.3300 USD |
USD 0.01 common | Purchase | 109 | 26.2549 USD |
USD 0.01 common | Purchase | 144 | 26.2600 USD |
USD 0.01 common | Purchase | 150 | 26.2815 USD |
USD 0.01 common | Purchase | 167 | 26.2687 USD |
USD 0.01 common | Purchase | 175 | 26.2155 USD |
USD 0.01 common | Purchase | 190 | 26.1681 USD |
USD 0.01 common | Purchase | 200 | 25.9650 USD |
USD 0.01 common | Purchase | 200 | 26.4300 USD |
USD 0.01 common | Purchase | 215 | 26.0932 USD |
USD 0.01 common | Purchase | 300 | 26.0600 USD |
USD 0.01 common | Purchase | 349 | 26.2245 USD |
USD 0.01 common | Purchase | 392 | 26.3400 USD |
USD 0.01 common | Purchase | 430 | 26.0676 USD |
USD 0.01 common | Purchase | 480 | 26.0959 USD |
USD 0.01 common | Purchase | 508 | 21.0993 EUR |
USD 0.01 common | Purchase | 600 | 25.3350 USD |
USD 0.01 common | Purchase | 620 | 26.2200 USD |
USD 0.01 common | Purchase | 656 | 26.1264 USD |
USD 0.01 common | Purchase | 695 | 26.0168 USD |
USD 0.01 common | Purchase | 760 | 26.2065 USD |
USD 0.01 common | Purchase | 800 | 25.9312 USD |
USD 0.01 common | Purchase | 1,000 | 25.9250 USD |
USD 0.01 common | Purchase | 1,200 | 25.8974 USD |
USD 0.01 common | Purchase | 1,331 | 25.5000 USD |
USD 0.01 common | Purchase | 1,440 | 26.2923 USD |
USD 0.01 common | Purchase | 1,537 | 26.4087 USD |
USD 0.01 common | Purchase | 1,900 | 26.4123 USD |
USD 0.01 common | Purchase | 1,944 | 25.9370 USD |
USD 0.01 common | Purchase | 2,532 | 26.3780 USD |
USD 0.01 common | Purchase | 2,540 | 25.9959 USD |
USD 0.01 common | Purchase | 3,092 | 25.9484 USD |
USD 0.01 common | Purchase | 3,445 | 26.1634 USD |
USD 0.01 common | Purchase | 3,741 | 25.7727 USD |
USD 0.01 common | Purchase | 4,100 | 26.1756 USD |
USD 0.01 common | Purchase | 4,145 | 25.0997 USD |
USD 0.01 common | Purchase | 4,300 | 25.1000 USD |
USD 0.01 common | Purchase | 4,500 | 25.9405 USD |
USD 0.01 common | Purchase | 5,000 | 26.3300 USD |
USD 0.01 common | Purchase | 5,051 | 26.4473 USD |
USD 0.01 common | Purchase | 5,263 | 26.2276 USD |
USD 0.01 common | Purchase | 5,609 | 25.9486 USD |
USD 0.01 common | Purchase | 6,720 | 25.9616 USD |
USD 0.01 common | Purchase | 7,127 | 26.1312 USD |
USD 0.01 common | Purchase | 7,199 | 25.3607 USD |
USD 0.01 common | Purchase | 8,500 | 26.1860 USD |
USD 0.01 common | Purchase | 8,806 | 25.6260 USD |
USD 0.01 common | Purchase | 9,685 | 26.1382 USD |
USD 0.01 common | Purchase | 9,798 | 26.1965 USD |
USD 0.01 common | Purchase | 9,808 | 25.2325 USD |
USD 0.01 common | Purchase | 10,118 | 25.9590 USD |
USD 0.01 common | Purchase | 12,389 | 25.5678 USD |
USD 0.01 common | Purchase | 12,682 | 26.1840 USD |
USD 0.01 common | Purchase | 14,392 | 25.5498 USD |
USD 0.01 common | Purchase | 15,000 | 26.0912 USD |
USD 0.01 common | Purchase | 15,196 | 25.4526 USD |
USD 0.01 common | Purchase | 16,927 | 25.0834 USD |
USD 0.01 common | Purchase | 17,000 | 26.1859 USD |
USD 0.01 common | Purchase | 17,341 | 26.0000 USD |
USD 0.01 common | Purchase | 18,307 | 25.8924 USD |
USD 0.01 common | Purchase | 20,161 | 25.9608 USD |
USD 0.01 common | Purchase | 28,890 | 26.2186 USD |
USD 0.01 common | Purchase | 37,390 | 26.2112 USD |
USD 0.01 common | Purchase | 39,381 | 26.1388 USD |
USD 0.01 common | Purchase | 44,809 | 25.9831 USD |
USD 0.01 common | Purchase | 46,472 | 25.7933 USD |
USD 0.01 common | Purchase | 47,019 | 26.2031 USD |
USD 0.01 common | Purchase | 50,000 | 25.9700 USD |
USD 0.01 common | Purchase | 50,200 | 25.3500 USD |
USD 0.01 common | Purchase | 60,900 | 26.0872 USD |
USD 0.01 common | Purchase | 62,794 | 26.1707 USD |
USD 0.01 common | Purchase | 65,125 | 26.1758 USD |
USD 0.01 common | Purchase | 69,301 | 26.2500 USD |
USD 0.01 common | Purchase | 101,695 | 26.2315 USD |
USD 0.01 common | Purchase | 181,595 | 26.1861 USD |
USD 0.01 common | Purchase | 197,803 | 25.8971 USD |
USD 0.01 common | Purchase | 614,319 | 26.1650 USD |
USD 0.01 common | Sale | 66 | 26.5100 USD |
USD 0.01 common | Sale | 67 | 26.0400 USD |
USD 0.01 common | Sale | 81 | 26.1261 USD |
USD 0.01 common | Sale | 100 | 26.1700 USD |
USD 0.01 common | Sale | 100 | 25.9500 USD |
USD 0.01 common | Sale | 100 | 26.3400 USD |
USD 0.01 common | Sale | 100 | 26.3000 USD |
USD 0.01 common | Sale | 100 | 26.2900 USD |
USD 0.01 common | Sale | 100 | 26.0500 USD |
USD 0.01 common | Sale | 100 | 26.1800 USD |
USD 0.01 common | Sale | 123 | 26.4769 USD |
USD 0.01 common | Sale | 144 | 26.2284 USD |
USD 0.01 common | Sale | 165 | 26.2124 USD |
USD 0.01 common | Sale | 167 | 26.1600 USD |
USD 0.01 common | Sale | 194 | 26.2162 USD |
USD 0.01 common | Sale | 200 | 26.3050 USD |
USD 0.01 common | Sale | 200 | 26.3900 USD |
USD 0.01 common | Sale | 200 | 26.3600 USD |
USD 0.01 common | Sale | 200 | 25.9650 USD |
USD 0.01 common | Sale | 200 | 26.0300 USD |
USD 0.01 common | Sale | 202 | 26.0454 USD |
USD 0.01 common | Sale | 203 | 26.1786 USD |
USD 0.01 common | Sale | 223 | 26.3348 USD |
USD 0.01 common | Sale | 229 | 25.9956 USD |
USD 0.01 common | Sale | 230 | 26.1389 USD |
USD 0.01 common | Sale | 248 | 26.1764 USD |
USD 0.01 common | Sale | 268 | 26.1425 USD |
USD 0.01 common | Sale | 300 | 26.2600 USD |
USD 0.01 common | Sale | 300 | 25.9166 USD |
USD 0.01 common | Sale | 301 | 26.1667 USD |
USD 0.01 common | Sale | 308 | 26.1650 USD |
USD 0.01 common | Sale | 328 | 26.1621 USD |
USD 0.01 common | Sale | 328 | 26.2125 USD |
USD 0.01 common | Sale | 334 | 26.1384 USD |
USD 0.01 common | Sale | 349 | 26.1659 USD |
USD 0.01 common | Sale | 368 | 26.2019 USD |
USD 0.01 common | Sale | 400 | 26.2100 USD |
USD 0.01 common | Sale | 400 | 26.2400 USD |
USD 0.01 common | Sale | 400 | 26.2300 USD |
USD 0.01 common | Sale | 479 | 26.2800 USD |
USD 0.01 common | Sale | 500 | 26.0480 USD |
USD 0.01 common | Sale | 501 | 26.2150 USD |
USD 0.01 common | Sale | 508 | 21.0993 EUR |
USD 0.01 common | Sale | 509 | 26.0330 USD |
USD 0.01 common | Sale | 511 | 26.1593 USD |
USD 0.01 common | Sale | 600 | 25.9600 USD |
USD 0.01 common | Sale | 603 | 26.0599 USD |
USD 0.01 common | Sale | 694 | 26.2087 USD |
USD 0.01 common | Sale | 700 | 26.1842 USD |
USD 0.01 common | Sale | 700 | 26.2700 USD |
USD 0.01 common | Sale | 780 | 26.1924 USD |
USD 0.01 common | Sale | 781 | 26.2550 USD |
USD 0.01 common | Sale | 785 | 26.0568 USD |
USD 0.01 common | Sale | 791 | 26.2135 USD |
USD 0.01 common | Sale | 800 | 26.4800 USD |
USD 0.01 common | Sale | 853 | 26.2639 USD |
USD 0.01 common | Sale | 884 | 26.0227 USD |
USD 0.01 common | Sale | 900 | 26.1522 USD |
USD 0.01 common | Sale | 904 | 26.2151 USD |
USD 0.01 common | Sale | 1,000 | 26.1770 USD |
USD 0.01 common | Sale | 1,081 | 26.2007 USD |
USD 0.01 common | Sale | 1,149 | 26.1568 USD |
USD 0.01 common | Sale | 1,200 | 25.8974 USD |
USD 0.01 common | Sale | 1,341 | 26.2037 USD |
USD 0.01 common | Sale | 1,368 | 26.1725 USD |
USD 0.01 common | Sale | 1,400 | 25.9560 USD |
USD 0.01 common | Sale | 1,409 | 25.9628 USD |
USD 0.01 common | Sale | 1,499 | 26.2573 USD |
USD 0.01 common | Sale | 1,576 | 25.9728 USD |
USD 0.01 common | Sale | 1,598 | 26.1908 USD |
USD 0.01 common | Sale | 1,600 | 25.9993 USD |
USD 0.01 common | Sale | 1,667 | 26.2903 USD |
USD 0.01 common | Sale | 1,690 | 25.9577 USD |
USD 0.01 common | Sale | 1,839 | 25.7169 USD |
USD 0.01 common | Sale | 1,897 | 26.1833 USD |
USD 0.01 common | Sale | 1,917 | 25.9591 USD |
USD 0.01 common | Sale | 2,052 | 25.9911 USD |
USD 0.01 common | Sale | 2,078 | 26.2002 USD |
USD 0.01 common | Sale | 2,133 | 26.2285 USD |
USD 0.01 common | Sale | 2,157 | 26.0917 USD |
USD 0.01 common | Sale | 2,196 | 26.2646 USD |
USD 0.01 common | Sale | 2,236 | 25.9631 USD |
USD 0.01 common | Sale | 2,292 | 26.1478 USD |
USD 0.01 common | Sale | 2,387 | 26.2200 USD |
USD 0.01 common | Sale | 2,400 | 25.9902 USD |
USD 0.01 common | Sale | 2,413 | 25.9804 USD |
USD 0.01 common | Sale | 2,505 | 26.1032 USD |
USD 0.01 common | Sale | 2,727 | 26.1476 USD |
USD 0.01 common | Sale | 2,952 | 26.1566 USD |
USD 0.01 common | Sale | 3,296 | 26.2438 USD |
USD 0.01 common | Sale | 3,505 | 25.9674 USD |
USD 0.01 common | Sale | 4,160 | 25.9848 USD |
USD 0.01 common | Sale | 4,241 | 26.2072 USD |
USD 0.01 common | Sale | 4,652 | 26.1787 USD |
USD 0.01 common | Sale | 4,794 | 25.9988 USD |
USD 0.01 common | Sale | 5,000 | 26.3300 USD |
USD 0.01 common | Sale | 5,809 | 26.1127 USD |
USD 0.01 common | Sale | 5,991 | 25.9400 USD |
USD 0.01 common | Sale | 7,789 | 26.1412 USD |
USD 0.01 common | Sale | 9,301 | 26.0910 USD |
USD 0.01 common | Sale | 9,700 | 26.0373 USD |
USD 0.01 common | Sale | 10,642 | 26.1052 USD |
USD 0.01 common | Sale | 10,935 | 25.7856 USD |
USD 0.01 common | Sale | 14,076 | 26.3083 USD |
USD 0.01 common | Sale | 15,525 | 26.1821 USD |
USD 0.01 common | Sale | 16,928 | 26.2829 USD |
USD 0.01 common | Sale | 17,341 | 26.0000 USD |
USD 0.01 common | Sale | 17,787 | 26.1845 USD |
USD 0.01 common | Sale | 25,500 | 26.1859 USD |
USD 0.01 common | Sale | 26,258 | 26.1438 USD |
USD 0.01 common | Sale | 28,890 | 26.2186 USD |
USD 0.01 common | Sale | 31,476 | 25.9715 USD |
USD 0.01 common | Sale | 32,446 | 26.2142 USD |
USD 0.01 common | Sale | 37,464 | 26.1289 USD |
USD 0.01 common | Sale | 38,153 | 25.9900 USD |
USD 0.01 common | Sale | 39,085 | 26.1781 USD |
USD 0.01 common | Sale | 44,009 | 25.9740 USD |
USD 0.01 common | Sale | 46,779 | 26.1728 USD |
USD 0.01 common | Sale | 50,940 | 25.3618 USD |
USD 0.01 common | Sale | 53,605 | 26.1704 USD |
USD 0.01 common | Sale | 60,900 | 26.0872 USD |
USD 0.01 common | Sale | 67,521 | 26.1846 USD |
USD 0.01 common | Sale | 73,091 | 26.2500 USD |
USD 0.01 common | Sale | 103,531 | 26.1803 USD |
USD 0.01 common | Sale | 106,602 | 26.2301 USD |
USD 0.01 common | Sale | 121,651 | 26.1335 USD |
USD 0.01 common | Sale | 165,073 | 26.1643 USD |
USD 0.01 common | Sale | 281,249 | 26.1747 USD |
USD 0.01 common | Sale | 349,742 | 25.7940 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 | Purchase | 8,500 | 26.1859 USD |
USD 0.01 common | Purchase | 37,390 | 26.2112 USD |
USD 0.01 common | Sale | 200 | 26.2400 USD |
USD 0.01 common | Sale | 223 | 26.3348 USD |
USD 0.01 common | Sale | 500 | 26.1770 USD |
USD 0.01 common | Sale | 549 | 26.2002 USD |
USD 0.01 common | Sale | 781 | 26.2550 USD |
USD 0.01 common | Sale | 1,766 | 26.2285 USD |
USD 0.01 common | Sale | 2,505 | 26.1032 USD |
USD 0.01 common | Sale | 3,296 | 26.2438 USD |
USD 0.01 common | Sale | 4,652 | 26.1787 USD |
USD 0.01 common | Sale | 8,500 | 26.1859 USD |
USD 0.01 common | Sale | 10,642 | 26.1052 USD |
USD 0.01 common | Sale | 16,928 | 26.2829 USD |
USD 0.01 common | Sale | 28,890 | 26.2186 USD |
(b) Cash-settled derivative transactions
Class of | Product | Nature of dealing | Number of | Price per |
relevant | description |
| reference | unit |
security |
|
| securities |
|
USD 0.01 common | SWAP | Long | 2,763 | 25.9700 USD |
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class | Product | Writing, | Number | Exercise | Type | Expiry | Option |
of | description | purchasing, | of | price |
| date | money |
relevant |
| selling, | securities | per unit |
|
| paid/ |
security |
| varying etc | to which |
|
|
| received |
|
|
| option |
|
|
| per unit |
|
|
| relates |
|
|
|
|
USD 0.01 common | Call Options | Purchasing | 11,400 | 26 USD | American | 20 Aug 2021 | 0.4881 USD |
USD 0.01 common | Put Options | Purchasing | 11,400 | 26 USD | American | 20 Aug 2021 | 0.7039 USD |
(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: | 16 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 | 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: |
|
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/20210816005469/en/
Copyright Business Wire 2021