Last checked at 26 Jan 2022 13:16
FORM 8.3 - Amendment to Sale and Purchase
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: | 24 January 2022 | |||||
| (f) | In addition to the company in 1(c) above, is the discloser making | YES: |
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| disclosures in respect of any other party to the offer? | AVAST PLC |
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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 |
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| and/or controlled: | 1,366,108 | 0.23% | 593,974 | 0.10% | ||
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(2) | Cash-settled derivatives: |
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335,807 | 0.06% | 1,513,170 | 0.26% | |||
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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: | 1,701,915 | 0.29% | 2,107,144 | 0.36% | ||
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| Class of relevant security: | Convertible Bond US668771AA66 | |||||
| Interests | Short Positions | |||||
Number | (%) | Number | (%) | |||
(1) | Relevant securities owned |
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| and/or controlled: | 390,000 | 0.07% | 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: | 390,000 | 0.07% | 0 | 0.00% | ||
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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 |
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| security |
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| securities |
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| USD 0.01 common | Purchase | 5 | 25.6500 USD | ||||
| USD 0.01 common | Purchase | 19 | 26.0952 USD | ||||
| USD 0.01 common | Purchase | 22 | 26.1236 USD | ||||
| USD 0.01 common | Purchase | 24 | 26.1200 USD | ||||
| USD 0.01 common | Purchase | 26 | 26.0846 USD | ||||
| USD 0.01 common | Purchase | 30 | 26.0316 USD | ||||
| USD 0.01 common | Purchase | 32 | 26.0125 USD | ||||
| USD 0.01 common | Purchase | 50 | 26.0800 USD | ||||
| USD 0.01 common | Purchase | 52 | 26.0900 USD | ||||
| USD 0.01 common | Purchase | 56 | 26.0460 USD | ||||
| USD 0.01 common | Purchase | 56 | 26.0546 USD | ||||
| USD 0.01 common | Purchase | 69 | 25.8979 USD | ||||
| USD 0.01 common | Purchase | 72 | 25.6619 USD | ||||
| USD 0.01 common | Purchase | 80 | 26.0552 USD | ||||
| USD 0.01 common | Purchase | 100 | 25.5200 USD | ||||
| USD 0.01 common | Purchase | 117 | 25.5817 USD | ||||
| USD 0.01 common | Purchase | 128 | 25.9287 USD | ||||
| USD 0.01 common | Purchase | 148 | 25.9510 USD | ||||
| USD 0.01 common | Purchase | 154 | 25.9188 USD | ||||
| USD 0.01 common | Purchase | 156 | 25.8061 USD | ||||
| USD 0.01 common | Purchase | 172 | 26.0545 USD | ||||
| USD 0.01 common | Purchase | 180 | 25.9586 USD | ||||
| USD 0.01 common | Purchase | 180 | 25.7813 USD | ||||
| USD 0.01 common | Purchase | 204 | 25.9347 USD | ||||
| USD 0.01 common | Purchase | 208 | 26.0704 USD | ||||
| USD 0.01 common | Purchase | 208 | 25.9818 USD | ||||
| USD 0.01 common | Purchase | 264 | 25.8363 USD | ||||
| USD 0.01 common | Purchase | 300 | 25.5800 USD | ||||
| USD 0.01 common | Purchase | 324 | 25.8196 USD | ||||
| USD 0.01 common | Purchase | 345 | 25.6600 USD | ||||
| USD 0.01 common | Purchase | 360 | 25.8270 USD | ||||
| USD 0.01 common | Purchase | 396 | 25.9221 USD | ||||
| USD 0.01 common | Purchase | 398 | 26.0898 USD | ||||
| USD 0.01 common | Purchase | 400 | 25.7900 USD | ||||
| USD 0.01 common | Purchase | 408 | 25.8138 USD | ||||
| USD 0.01 common | Purchase | 408 | 25.8008 USD | ||||
| USD 0.01 common | Purchase | 417 | 25.9491 USD | ||||
| USD 0.01 common | Purchase | 472 | 26.1214 USD | ||||
| USD 0.01 common | Purchase | 555 | 25.7501 USD | ||||
| USD 0.01 common | Purchase | 610 | 25.7459 USD | ||||
| USD 0.01 common | Purchase | 1,200 | 25.6650 USD | ||||
| USD 0.01 common | Purchase | 1,704 | 26.0100 USD | ||||
| USD 0.01 common | Purchase | 1,800 | 26.0000 USD | ||||
| USD 0.01 common | Purchase | 2,010 | 25.8049 USD | ||||
| USD 0.01 common | Purchase | 2,837 | 26.1500 USD | ||||
| USD 0.01 common | Purchase | 2,845 | 25.6100 USD | ||||
| USD 0.01 common | Purchase | 3,298 | 25.9100 USD | ||||
| USD 0.01 common | Purchase | 3,400 | 25.7522 USD | ||||
| USD 0.01 common | Purchase | 3,481 | 25.6302 USD | ||||
| USD 0.01 common | Purchase | 3,492 | 26.0824 USD | ||||
| USD 0.01 common | Purchase | 4,763 | 25.9928 USD | ||||
| USD 0.01 common | Purchase | 5,387 | 25.9236 USD | ||||
| USD 0.01 common | Purchase | 6,672 | 25.6323 USD | ||||
| USD 0.01 common | Purchase | 10,332 | 25.8396 USD | ||||
| USD 0.01 common | Purchase | 11,598 | 25.8065 USD | ||||
| USD 0.01 common | Purchase | 21,928 | 26.1276 USD | ||||
| USD 0.01 common | Purchase | 30,657 | 25.9032 USD | ||||
| USD 0.01 common | Purchase | 31,375 | 25.6975 USD | ||||
| USD 0.01 common | Purchase | 40,876 | 25.5749 USD | ||||
| USD 0.01 common | Purchase | 44,367 | 25.6710 USD | ||||
| USD 0.01 common | Purchase | 54,209 | 26.1300 USD | ||||
| USD 0.01 common | Purchase | 188,380 | 25.8992 USD | ||||
| USD 0.01 common | Purchase | 367,800 | 25.5612 USD | ||||
| USD 0.01 common | Sale | 2 | 25.7400 USD | ||||
| USD 0.01 common | Sale | 4 | 25.5200 USD | ||||
| USD 0.01 common | Sale | 8 | 25.5706 USD | ||||
| USD 0.01 common | Sale | 9 | 25.9366 USD | ||||
| USD 0.01 common | Sale | 12 | 26.0037 USD | ||||
| USD 0.01 common | Sale | 88 | 25.8200 USD | ||||
| USD 0.01 common | Sale | 100 | 25.9650 USD | ||||
| USD 0.01 common | Sale | 100 | 25.9000 USD | ||||
| USD 0.01 common | Sale | 100 | 26.0450 USD | ||||
| USD 0.01 common | Sale | 100 | 25.5050 USD | ||||
| USD 0.01 common | Sale | 100 | 25.4100 USD | ||||
| USD 0.01 common | Sale | 100 | 25.8300 USD | ||||
| USD 0.01 common | Sale | 101 | 25.8920 USD | ||||
| USD 0.01 common | Sale | 122 | 26.1500 USD | ||||
| USD 0.01 common | Sale | 200 | 25.8550 USD | ||||
| USD 0.01 common | Sale | 200 | 25.9150 USD | ||||
| USD 0.01 common | Sale | 200 | 25.8625 USD | ||||
| USD 0.01 common | Sale | 200 | 25.9200 USD | ||||
| USD 0.01 common | Sale | 200 | 25.9050 USD | ||||
| USD 0.01 common | Sale | 200 | 25.9500 USD | ||||
| USD 0.01 common | Sale | 296 | 25.9291 USD | ||||
| USD 0.01 common | Sale | 300 | 25.9133 USD | ||||
| USD 0.01 common | Sale | 300 | 25.8766 USD | ||||
| USD 0.01 common | Sale | 304 | 25.9138 USD | ||||
| USD 0.01 common | Sale | 379 | 25.5381 USD | ||||
| USD 0.01 common | Sale | 431 | 26.0057 USD | ||||
| USD 0.01 common | Sale | 458 | 25.8438 USD | ||||
| USD 0.01 common | Sale | 500 | 25.7710 USD | ||||
| USD 0.01 common | Sale | 500 | 25.9240 USD | ||||
| USD 0.01 common | Sale | 547 | 26.0652 USD | ||||
| USD 0.01 common | Sale | 600 | 25.7266 USD | ||||
| USD 0.01 common | Sale | 619 | 25.9100 USD | ||||
| USD 0.01 common | Sale | 879 | 25.5044 USD | ||||
| USD 0.01 common | Sale | 890 | 25.9192 USD | ||||
| USD 0.01 common | Sale | 895 | 25.6120 USD | ||||
| USD 0.01 common | Sale | 958 | 25.8413 USD | ||||
| USD 0.01 common | Sale | 1,212 | 25.9195 USD | ||||
| USD 0.01 common | Sale | 1,554 | 25.8276 USD | ||||
| USD 0.01 common | Sale | 1,800 | 26.0000 USD | ||||
| USD 0.01 common | Sale | 1,891 | 25.7579 USD | ||||
| USD 0.01 common | Sale | 2,000 | 25.7135 USD | ||||
| USD 0.01 common | Sale | 2,077 | 25.8135 USD | ||||
| USD 0.01 common | Sale | 2,100 | 25.8428 USD | ||||
| USD 0.01 common | Sale | 2,585 | 25.8219 USD | ||||
| USD 0.01 common | Sale | 2,660 | 25.8503 USD | ||||
| USD 0.01 common | Sale | 2,809 | 25.8333 USD | ||||
| USD 0.01 common | Sale | 2,891 | 25.7669 USD | ||||
| USD 0.01 common | Sale | 3,102 | 25.7136 USD | ||||
| USD 0.01 common | Sale | 3,243 | 25.7380 USD | ||||
| USD 0.01 common | Sale | 3,256 | 26.0923 USD | ||||
| USD 0.01 common | Sale | 3,400 | 25.7522 USD | ||||
| USD 0.01 common | Sale | 3,503 | 25.7297 USD | ||||
| USD 0.01 common | Sale | 4,150 | 25.8721 USD | ||||
| USD 0.01 common | Sale | 4,200 | 25.5527 USD | ||||
| USD 0.01 common | Sale | 4,500 | 25.5337 USD | ||||
| USD 0.01 common | Sale | 5,112 | 26.0100 USD | ||||
| USD 0.01 common | Sale | 5,799 | 25.5369 USD | ||||
| USD 0.01 common | Sale | 5,826 | 25.5617 USD | ||||
| USD 0.01 common | Sale | 7,176 | 25.8810 USD | ||||
| USD 0.01 common | Sale | 8,229 | 25.7631 USD | ||||
| USD 0.01 common | Sale | 9,325 | 25.8069 USD | ||||
| USD 0.01 common | Sale | 9,461 | 25.9322 USD | ||||
| USD 0.01 common | Sale | 11,075 | 25.8951 USD | ||||
| USD 0.01 common | Sale | 13,980 | 25.5532 USD | ||||
| USD 0.01 common | Sale | 15,498 | 25.8396 USD | ||||
| USD 0.01 common | Sale | 15,572 | 25.5738 USD | ||||
| USD 0.01 common | Sale | 16,095 | 25.7623 USD | ||||
| USD 0.01 common | Sale | 18,488 | 25.9702 USD | ||||
| USD 0.01 common | Sale | 19,775 | 25.5722 USD | ||||
| USD 0.01 common | Sale | 21,277 | 25.5440 USD | ||||
| USD 0.01 common | Sale | 22,557 | 25.9082 USD | ||||
| USD 0.01 common | Sale | 25,773 | 25.5458 USD | ||||
| USD 0.01 common | Sale | 26,502 | 26.1245 USD | ||||
| USD 0.01 common | Sale | 27,384 | 25.6873 USD | ||||
| USD 0.01 common | Sale | 36,461 | 25.6842 USD | ||||
| USD 0.01 common | Sale | 47,146 | 26.1300 USD | ||||
| USD 0.01 common | Sale | 49,948 | 25.5502 USD | ||||
| USD 0.01 common | Sale | 50,518 | 25.6097 USD | ||||
| USD 0.01 common | Sale | 76,722 | 25.6001 USD | ||||
| USD 0.01 common | Sale | 121,449 | 25.9115 USD | ||||
| USD 0.01 common | Sale | 122,175 | 25.5474 USD | ||||
| NB: The below transactions which were previously disclosed have been cancelled | |||||||
| Class of relevant | Purchase/sale |
| Number of |
| Price per unit |
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| security |
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| securities |
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| USD 0.01 common | Sale | 1,704 | 26.0100 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 | Product | Writing, | Number | Exercise | Type | Expiry | Option |
| of | description | purchasing, | of | price |
| date | money |
| relevant |
| selling, | securities | per unit |
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| paid/ |
| security |
| varying etc | to which |
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| received |
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| option |
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| per unit | |
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| relates |
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| USD 0.01 common | Put Options | Selling | 2,100 | 30 USD | American | 21 Jan 2022 | 0.5500 USD |
(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? | NO | ||||||
| Date of disclosure: | 26 Jan 2022 | ||||||
| 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.
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