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Pin to quick picksBarclays Regulatory News (BARC)

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Form 8.3 - NORTONLIFELOCK INC - AMENDMENT

20 Aug 2021 14:16

 

FORM 8.3 - Amendment to Purchase and 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

18 August 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:

1,589,768

0.27%

579,408

0.10%

 

(2)

Cash-settled derivatives:

105,094

0.02%

1,279,498

0.22%

 

(3)

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

261,900

0.05%

13,500

0.00%

 

(4)

TOTAL:

1,956,762

0.34%

1,872,406

0.32%

 
Class of relevant security:Convertible Bond US668771AA66
InterestsShort 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%

 

(4)

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 relevantPurchase/saleNumber ofPrice per unit
securitysecurities
USD 0.01 commonPurchase

1

25.7200 USD
USD 0.01 commonPurchase

1

25.7300 USD
USD 0.01 commonPurchase

3

25.7666 USD
USD 0.01 commonPurchase

12

25.8600 USD
USD 0.01 commonPurchase

23

25.7882 USD
USD 0.01 commonPurchase

30

25.7400 USD
USD 0.01 commonPurchase

30

25.7050 USD
USD 0.01 commonPurchase

40

25.7800 USD
USD 0.01 commonPurchase

50

22.0750 EUR
USD 0.01 commonPurchase

60

25.7500 USD
USD 0.01 commonPurchase

69

25.7922 USD
USD 0.01 commonPurchase

90

25.7333 USD
USD 0.01 commonPurchase

100

25.8700 USD
USD 0.01 commonPurchase

126

25.7404 USD
USD 0.01 commonPurchase

130

25.7842 USD
USD 0.01 commonPurchase

180

25.7739 USD
USD 0.01 commonPurchase

211

25.8016 USD
USD 0.01 commonPurchase

226

25.8179 USD
USD 0.01 commonPurchase

285

25.7463 USD
USD 0.01 commonPurchase

286

25.7650 USD
USD 0.01 commonPurchase

291

25.7245 USD
USD 0.01 commonPurchase

294

25.7954 USD
USD 0.01 commonPurchase

343

25.8032 USD
USD 0.01 commonPurchase

400

25.6600 USD
USD 0.01 commonPurchase

541

25.7892 USD
USD 0.01 commonPurchase

805

25.8263 USD
USD 0.01 commonPurchase

1,305

25.7893 USD
USD 0.01 commonPurchase

1,465

25.7968 USD
USD 0.01 commonPurchase

1,500

25.8216 USD
USD 0.01 commonPurchase

1,560

25.8139 USD
USD 0.01 commonPurchase

5,000

25.7700 USD
USD 0.01 commonPurchase

9,008

25.7417 USD
USD 0.01 commonPurchase

14,295

25.7100 USD
USD 0.01 commonPurchase

18,704

25.7217 USD
USD 0.01 commonPurchase

21,895

25.7721 USD
USD 0.01 commonPurchase

22,290

25.7350 USD
USD 0.01 commonPurchase

25,853

25.7789 USD
USD 0.01 commonPurchase

30,834

25.7367 USD
USD 0.01 commonPurchase

37,918

25.7298 USD
USD 0.01 commonPurchase

52,327

25.7151 USD
USD 0.01 commonPurchase

87,791

25.7469 USD
USD 0.01 commonSale

5

25.7150 USD
USD 0.01 commonSale

15

25.7283 USD
USD 0.01 commonSale

15

25.7200 USD
USD 0.01 commonSale

15

25.7233 USD
USD 0.01 commonSale

21

25.8300 USD
USD 0.01 commonSale

25

25.7320 USD
USD 0.01 commonSale

45

25.7333 USD
USD 0.01 commonSale

50

22.0750 EUR
USD 0.01 commonSale

100

25.7850 USD
USD 0.01 commonSale

100

25.7900 USD
USD 0.01 commonSale

100

25.8200 USD
USD 0.01 commonSale

105

25.7195 USD
USD 0.01 commonSale

106

25.7800 USD
USD 0.01 commonSale

187

25.8077 USD
USD 0.01 commonSale

300

25.7366 USD
USD 0.01 commonSale

300

25.7116 USD
USD 0.01 commonSale

300

25.8266 USD
USD 0.01 commonSale

300

25.7266 USD
USD 0.01 commonSale

320

25.7500 USD
USD 0.01 commonSale

330

25.7789 USD
USD 0.01 commonSale

400

25.7300 USD
USD 0.01 commonSale

530

25.7029 USD
USD 0.01 commonSale

635

25.7611 USD
USD 0.01 commonSale

700

25.7771 USD
USD 0.01 commonSale

800

25.7650 USD
USD 0.01 commonSale

900

25.7933 USD
USD 0.01 commonSale

993

25.7607 USD
USD 0.01 commonSale

1,140

25.7750 USD
USD 0.01 commonSale

1,271

25.8047 USD
USD 0.01 commonSale

1,500

25.8216 USD
USD 0.01 commonSale

1,725

25.7885 USD
USD 0.01 commonSale

2,065

25.7675 USD
USD 0.01 commonSale

2,200

25.7936 USD
USD 0.01 commonSale

2,608

25.7171 USD
USD 0.01 commonSale

2,989

25.8000 USD
USD 0.01 commonSale

3,619

25.7947 USD
USD 0.01 commonSale

3,777

25.7744 USD
USD 0.01 commonSale

5,140

25.7700 USD
USD 0.01 commonSale

6,489

25.7323 USD
USD 0.01 commonSale

8,047

25.7729 USD
USD 0.01 commonSale

8,246

25.7872 USD
USD 0.01 commonSale

12,475

25.7475 USD
USD 0.01 commonSale

15,174

25.7145 USD
USD 0.01 commonSale

17,955

25.7303 USD
USD 0.01 commonSale

21,895

25.7721 USD
USD 0.01 commonSale

26,512

25.7701 USD
USD 0.01 commonSale

29,230

25.7377 USD
USD 0.01 commonSale

41,137

25.7349 USD
USD 0.01 commonSale

51,694

25.7353 USD
USD 0.01 commonSale

62,455

25.7100 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:

20 August 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 commonCall OptionsPurchased

11,400

26.0000

American20 Aug 2021
USD 0.01 commonCall OptionsPurchased

50,000

25.0000

American20 Aug 2021
USD 0.01 commonCall OptionsPurchased

200,000

24.0000

American20 Aug 2021
USD 0.01 commonPut OptionsPurchased

-11,400

26.0000

American20 Aug 2021
USD 0.01 commonPut OptionsPurchased

-2,100

30.0000

American0 Jan 1900

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/20210820005222/en/

Copyright Business Wire 2021

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