Last checked at 8 Nov 2021 12:02
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: | 04 November 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: | 1,700,901 | 0.29% | 1,013,445 | 0.17% | |
(2) | Cash-settled derivatives: | ||||
896,361 | 0.15% | 1,028,322 | 0.18% | ||
(3) | Stock-settled derivatives (including options) | ||||
| and agreements to purchase/sell: | 500 | 0.00% | 2,100 | 0.00% | |
| TOTAL: | 2,597,762 | 0.45% | 2,043,867 | 0.35% | |
| Class of relevant security: | Convertible Bond US668771AA66 | ||||
| Interests | Short Positions | ||||
| Number | (%) | Number | (%) | ||
(1) | Relevant securities owned | ||||
| and/or controlled: | 376,000 | 0.06% | 2,000 | 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: | 376,000 | 0.06% | 2,000 | 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 | ||
Convertible Bond | Purchase | 28,000 | 124.8750 USD |
Convertible Bond | Sale | 15,000 | 124.8750 USD |
USD 0.01 common | Purchase | 2 | 25.0000 USD |
USD 0.01 common | Purchase | 5 | 24.9050 USD |
USD 0.01 common | Purchase | 30 | 24.9450 USD |
USD 0.01 common | Purchase | 43 | 24.9800 USD |
USD 0.01 common | Purchase | 74 | 25.0500 USD |
USD 0.01 common | Purchase | 100 | 24.8800 USD |
USD 0.01 common | Purchase | 100 | 24.9100 USD |
USD 0.01 common | Purchase | 100 | 24.9350 USD |
USD 0.01 common | Purchase | 100 | 24.9850 USD |
USD 0.01 common | Purchase | 107 | 24.9586 USD |
USD 0.01 common | Purchase | 160 | 24.9131 USD |
USD 0.01 common | Purchase | 182 | 24.9400 USD |
USD 0.01 common | Purchase | 200 | 24.9250 USD |
USD 0.01 common | Purchase | 200 | 24.9362 USD |
USD 0.01 common | Purchase | 300 | 25.0483 USD |
USD 0.01 common | Purchase | 300 | 24.9200 USD |
USD 0.01 common | Purchase | 300 | 25.2233 USD |
USD 0.01 common | Purchase | 365 | 24.9965 USD |
USD 0.01 common | Purchase | 398 | 25.1000 USD |
USD 0.01 common | Purchase | 700 | 24.9471 USD |
USD 0.01 common | Purchase | 845 | 25.0718 USD |
USD 0.01 common | Purchase | 893 | 24.9502 USD |
USD 0.01 common | Purchase | 1,541 | 24.9484 USD |
USD 0.01 common | Purchase | 2,303 | 24.9405 USD |
USD 0.01 common | Purchase | 2,678 | 25.0458 USD |
USD 0.01 common | Purchase | 2,801 | 24.9448 USD |
USD 0.01 common | Purchase | 3,299 | 25.0246 USD |
USD 0.01 common | Purchase | 3,601 | 25.0071 USD |
USD 0.01 common | Purchase | 4,502 | 25.0030 USD |
USD 0.01 common | Purchase | 4,682 | 24.9737 USD |
USD 0.01 common | Purchase | 4,999 | 24.9313 USD |
USD 0.01 common | Purchase | 7,185 | 25.0002 USD |
USD 0.01 common | Purchase | 7,251 | 25.0097 USD |
USD 0.01 common | Purchase | 7,318 | 25.0166 USD |
USD 0.01 common | Purchase | 8,786 | 25.1730 USD |
USD 0.01 common | Purchase | 9,084 | 25.0079 USD |
USD 0.01 common | Purchase | 9,278 | 25.0416 USD |
USD 0.01 common | Purchase | 10,288 | 25.0317 USD |
USD 0.01 common | Purchase | 10,462 | 25.0501 USD |
USD 0.01 common | Purchase | 10,639 | 25.0159 USD |
USD 0.01 common | Purchase | 10,767 | 25.1088 USD |
USD 0.01 common | Purchase | 11,021 | 25.0912 USD |
USD 0.01 common | Purchase | 11,620 | 25.0775 USD |
USD 0.01 common | Purchase | 12,522 | 25.0162 USD |
USD 0.01 common | Purchase | 16,644 | 24.9529 USD |
USD 0.01 common | Purchase | 38,527 | 24.9500 USD |
USD 0.01 common | Purchase | 59,784 | 25.1641 USD |
USD 0.01 common | Purchase | 74,676 | 25.0172 USD |
USD 0.01 common | Purchase | 84,725 | 25.0437 USD |
USD 0.01 common | Sale | 5 | 24.9200 USD |
USD 0.01 common | Sale | 6 | 24.9083 USD |
USD 0.01 common | Sale | 7 | 24.9400 USD |
USD 0.01 common | Sale | 8 | 24.9137 USD |
USD 0.01 common | Sale | 8 | 24.9337 USD |
USD 0.01 common | Sale | 11 | 24.9177 USD |
USD 0.01 common | Sale | 15 | 24.8850 USD |
USD 0.01 common | Sale | 15 | 24.8900 USD |
USD 0.01 common | Sale | 15 | 24.9250 USD |
USD 0.01 common | Sale | 15 | 24.9300 USD |
USD 0.01 common | Sale | 16 | 24.9287 USD |
USD 0.01 common | Sale | 20 | 24.9275 USD |
USD 0.01 common | Sale | 30 | 24.9233 USD |
USD 0.01 common | Sale | 30 | 24.9450 USD |
USD 0.01 common | Sale | 37 | 24.9178 USD |
USD 0.01 common | Sale | 43 | 24.9800 USD |
USD 0.01 common | Sale | 45 | 24.9150 USD |
USD 0.01 common | Sale | 45 | 24.9000 USD |
USD 0.01 common | Sale | 51 | 24.9116 USD |
USD 0.01 common | Sale | 100 | 25.1000 USD |
USD 0.01 common | Sale | 148 | 24.9694 USD |
USD 0.01 common | Sale | 160 | 24.9100 USD |
USD 0.01 common | Sale | 212 | 24.9778 USD |
USD 0.01 common | Sale | 283 | 24.9503 USD |
USD 0.01 common | Sale | 310 | 24.9732 USD |
USD 0.01 common | Sale | 313 | 24.9873 USD |
USD 0.01 common | Sale | 380 | 25.1245 USD |
USD 0.01 common | Sale | 600 | 24.9550 USD |
USD 0.01 common | Sale | 1,092 | 24.9748 USD |
USD 0.01 common | Sale | 1,106 | 25.1414 USD |
USD 0.01 common | Sale | 1,260 | 24.9330 USD |
USD 0.01 common | Sale | 3,899 | 24.9455 USD |
USD 0.01 common | Sale | 5,328 | 24.9282 USD |
USD 0.01 common | Sale | 9,154 | 24.9963 USD |
USD 0.01 common | Sale | 10,325 | 25.0284 USD |
USD 0.01 common | Sale | 12,163 | 25.0065 USD |
USD 0.01 common | Sale | 14,329 | 24.9499 USD |
USD 0.01 common | Sale | 17,690 | 24.9500 USD |
USD 0.01 common | Sale | 18,364 | 25.0609 USD |
USD 0.01 common | Sale | 21,799 | 24.9496 USD |
USD 0.01 common | Sale | 89,207 | 25.0135 USD |
USD 0.01 common | Sale | 227,800 | 25.0817 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: | 8 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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| relates |
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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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