23 Aug 2021 11:25
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 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. |
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(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: |
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(e) Date position held/dealing undertaken: For an opening position disclosure, state the latest practicable date prior to the disclosure | 19 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 | ||||
Interests | Short Positions | ||||
Number | (%) | Number | (%) | ||
(1) | Relevant securities owned | ||||
and/or controlled: | 1,614,414 | 0.28% | 586,232 | 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: | 1,986,950 | 0.34% | 1,879,230 | 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% | |
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 | |||
USD 0.01 common | Purchase | 1 | 25.5500 USD | |
USD 0.01 common | Purchase | 10 | 25.7800 USD | |
USD 0.01 common | Purchase | 10 | 25.8450 USD | |
USD 0.01 common | Purchase | 11 | 25.9700 USD | |
USD 0.01 common | Purchase | 13 | 25.9050 USD | |
USD 0.01 common | Purchase | 14 | 25.7450 USD | |
USD 0.01 common | Purchase | 15 | 25.7000 USD | |
USD 0.01 common | Purchase | 24 | 25.7233 USD | |
USD 0.01 common | Purchase | 31 | 25.7259 USD | |
USD 0.01 common | Purchase | 35 | 25.8165 USD | |
USD 0.01 common | Purchase | 77 | 25.7388 USD | |
USD 0.01 common | Purchase | 80 | 25.6700 USD | |
USD 0.01 common | Purchase | 100 | 25.7900 USD | |
USD 0.01 common | Purchase | 100 | 25.6650 USD | |
USD 0.01 common | Purchase | 100 | 25.6600 USD | |
USD 0.01 common | Purchase | 111 | 25.8312 USD | |
USD 0.01 common | Purchase | 168 | 25.8124 USD | |
USD 0.01 common | Purchase | 184 | 25.8331 USD | |
USD 0.01 common | Purchase | 200 | 25.7200 USD | |
USD 0.01 common | Purchase | 240 | 25.7216 USD | |
USD 0.01 common | Purchase | 264 | 25.8693 USD | |
USD 0.01 common | Purchase | 293 | 22.0150 EUR | |
USD 0.01 common | Purchase | 300 | 25.7300 USD | |
USD 0.01 common | Purchase | 300 | 25.6750 USD | |
USD 0.01 common | Purchase | 300 | 25.6766 USD | |
USD 0.01 common | Purchase | 314 | 25.8285 USD | |
USD 0.01 common | Purchase | 330 | 25.8265 USD | |
USD 0.01 common | Purchase | 381 | 25.8655 USD | |
USD 0.01 common | Purchase | 433 | 25.8596 USD | |
USD 0.01 common | Purchase | 466 | 21.5475 EUR | |
USD 0.01 common | Purchase | 500 | 25.7620 USD | |
USD 0.01 common | Purchase | 500 | 25.8200 USD | |
USD 0.01 common | Purchase | 500 | 25.8280 USD | |
USD 0.01 common | Purchase | 500 | 25.8040 USD | |
USD 0.01 common | Purchase | 506 | 25.8782 USD | |
USD 0.01 common | Purchase | 508 | 25.7400 USD | |
USD 0.01 common | Purchase | 528 | 25.8762 USD | |
USD 0.01 common | Purchase | 566 | 25.7789 USD | |
USD 0.01 common | Purchase | 569 | 25.7859 USD | |
USD 0.01 common | Purchase | 600 | 25.7500 USD | |
USD 0.01 common | Purchase | 603 | 25.7853 USD | |
USD 0.01 common | Purchase | 627 | 25.7383 USD | |
USD 0.01 common | Purchase | 668 | 25.8194 USD | |
USD 0.01 common | Purchase | 700 | 25.7485 USD | |
USD 0.01 common | Purchase | 700 | 25.7314 USD | |
USD 0.01 common | Purchase | 716 | 25.6127 USD | |
USD 0.01 common | Purchase | 738 | 25.7496 USD | |
USD 0.01 common | Purchase | 913 | 25.7023 USD | |
USD 0.01 common | Purchase | 916 | 25.6810 USD | |
USD 0.01 common | Purchase | 1,010 | 25.7643 USD | |
USD 0.01 common | Purchase | 1,400 | 25.8628 USD | |
USD 0.01 common | Purchase | 1,490 | 25.7745 USD | |
USD 0.01 common | Purchase | 1,498 | 25.8593 USD | |
USD 0.01 common | Purchase | 1,700 | 25.8461 USD | |
USD 0.01 common | Purchase | 1,800 | 25.8311 USD | |
USD 0.01 common | Purchase | 1,847 | 25.8274 USD | |
USD 0.01 common | Purchase | 1,874 | 25.8359 USD | |
USD 0.01 common | Purchase | 2,014 | 25.8603 USD | |
USD 0.01 common | Purchase | 2,461 | 25.6010 USD | |
USD 0.01 common | Purchase | 2,461 | 25.6809 USD | |
USD 0.01 common | Purchase | 2,500 | 25.8916 USD | |
USD 0.01 common | Purchase | 2,620 | 25.8723 USD | |
USD 0.01 common | Purchase | 2,736 | 25.7351 USD | |
USD 0.01 common | Purchase | 3,000 | 25.6880 USD | |
USD 0.01 common | Purchase | 3,272 | 25.8036 USD | |
USD 0.01 common | Purchase | 4,116 | 25.7895 USD | |
USD 0.01 common | Purchase | 5,210 | 25.7282 USD | |
USD 0.01 common | Purchase | 5,450 | 25.8659 USD | |
USD 0.01 common | Purchase | 5,800 | 25.8245 USD | |
USD 0.01 common | Purchase | 6,150 | 25.6103 USD | |
USD 0.01 common | Purchase | 6,656 | 25.8059 USD | |
USD 0.01 common | Purchase | 7,215 | 25.8294 USD | |
USD 0.01 common | Purchase | 7,312 | 25.6954 USD | |
USD 0.01 common | Purchase | 8,047 | 25.7138 USD | |
USD 0.01 common | Purchase | 9,373 | 25.7097 USD | |
USD 0.01 common | Purchase | 13,011 | 25.7038 USD | |
USD 0.01 common | Purchase | 13,900 | 25.7779 USD | |
USD 0.01 common | Purchase | 14,014 | 25.7116 USD | |
USD 0.01 common | Purchase | 14,247 | 25.8299 USD | |
USD 0.01 common | Purchase | 15,042 | 25.7774 USD | |
USD 0.01 common | Purchase | 17,585 | 25.8146 USD | |
USD 0.01 common | Purchase | 22,017 | 25.8300 USD | |
USD 0.01 common | Purchase | 22,875 | 25.6237 USD | |
USD 0.01 common | Purchase | 29,977 | 25.7410 USD | |
USD 0.01 common | Purchase | 35,253 | 25.8284 USD | |
USD 0.01 common | Purchase | 36,363 | 25.7071 USD | |
USD 0.01 common | Purchase | 38,360 | 25.6719 USD | |
USD 0.01 common | Purchase | 123,819 | 25.8534 USD | |
USD 0.01 common | Purchase | 134,848 | 25.5825 USD | |
USD 0.01 common | Sale | 10 | 25.9000 USD | |
USD 0.01 common | Sale | 15 | 25.5823 USD | |
USD 0.01 common | Sale | 28 | 25.8450 USD | |
USD 0.01 common | Sale | 28 | 25.8425 USD | |
USD 0.01 common | Sale | 28 | 25.8650 USD | |
USD 0.01 common | Sale | 42 | 25.8050 USD | |
USD 0.01 common | Sale | 56 | 25.8412 USD | |
USD 0.01 common | Sale | 70 | 25.8240 USD | |
USD 0.01 common | Sale | 98 | 25.8307 USD | |
USD 0.01 common | Sale | 100 | 25.8500 USD | |
USD 0.01 common | Sale | 100 | 25.6050 USD | |
USD 0.01 common | Sale | 100 | 25.8850 USD | |
USD 0.01 common | Sale | 100 | 25.8800 USD | |
USD 0.01 common | Sale | 126 | 25.8022 USD | |
USD 0.01 common | Sale | 142 | 25.5770 USD | |
USD 0.01 common | Sale | 184 | 25.8331 USD | |
USD 0.01 common | Sale | 186 | 25.8857 USD | |
USD 0.01 common | Sale | 200 | 25.5800 USD | |
USD 0.01 common | Sale | 200 | 25.8600 USD | |
USD 0.01 common | Sale | 200 | 25.6275 USD | |
USD 0.01 common | Sale | 214 | 25.8886 USD | |
USD 0.01 common | Sale | 220 | 25.8950 USD | |
USD 0.01 common | Sale | 255 | 25.8100 USD | |
USD 0.01 common | Sale | 293 | 22.0150 EUR | |
USD 0.01 common | Sale | 400 | 25.8700 USD | |
USD 0.01 common | Sale | 466 | 21.5475 EUR | |
USD 0.01 common | Sale | 500 | 25.6210 USD | |
USD 0.01 common | Sale | 522 | 25.6026 USD | |
USD 0.01 common | Sale | 689 | 25.8387 USD | |
USD 0.01 common | Sale | 700 | 25.6092 USD | |
USD 0.01 common | Sale | 856 | 25.6814 USD | |
USD 0.01 common | Sale | 880 | 25.6723 USD | |
USD 0.01 common | Sale | 978 | 25.6229 USD | |
USD 0.01 common | Sale | 1,016 | 25.5982 USD | |
USD 0.01 common | Sale | 1,046 | 25.7702 USD | |
USD 0.01 common | Sale | 1,208 | 25.7083 USD | |
USD 0.01 common | Sale | 1,300 | 25.8807 USD | |
USD 0.01 common | Sale | 1,725 | 25.6834 USD | |
USD 0.01 common | Sale | 1,849 | 25.7000 USD | |
USD 0.01 common | Sale | 1,900 | 25.6318 USD | |
USD 0.01 common | Sale | 2,165 | 25.7673 USD | |
USD 0.01 common | Sale | 2,325 | 25.7700 USD | |
USD 0.01 common | Sale | 2,500 | 25.9214 USD | |
USD 0.01 common | Sale | 3,051 | 25.6100 USD | |
USD 0.01 common | Sale | 4,523 | 25.8656 USD | |
USD 0.01 common | Sale | 4,700 | 25.5868 USD | |
USD 0.01 common | Sale | 5,450 | 25.8659 USD | |
USD 0.01 common | Sale | 5,921 | 25.8424 USD | |
USD 0.01 common | Sale | 9,051 | 25.8185 USD | |
USD 0.01 common | Sale | 9,580 | 25.7381 USD | |
USD 0.01 common | Sale | 10,561 | 25.7726 USD | |
USD 0.01 common | Sale | 12,813 | 25.8352 USD | |
USD 0.01 common | Sale | 13,808 | 25.6295 USD | |
USD 0.01 common | Sale | 14,014 | 25.7116 USD | |
USD 0.01 common | Sale | 14,731 | 25.8288 USD | |
USD 0.01 common | Sale | 16,652 | 25.8042 USD | |
USD 0.01 common | Sale | 16,971 | 25.8300 USD | |
USD 0.01 common | Sale | 17,927 | 25.8106 USD | |
USD 0.01 common | Sale | 22,205 | 25.8272 USD | |
USD 0.01 common | Sale | 28,492 | 25.7329 USD | |
USD 0.01 common | Sale | 134,848 | 25.5825 USD | |
USD 0.01 common | Sale | 275,000 | 25.7204 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 | 5,542 | 25.5562 USD |
(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: | 23 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)
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: |
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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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