Last checked at 6 Oct 2021 11:23
FORM 8.3
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: | 05 October 2021 | |||||
| (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: | 1,471,434 | 0.25% | 658,126 | 0.11% | ||
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(2) | Cash-settled derivatives: |
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604,344 | 0.10% | 1,028,322 | 0.18% | |||
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(3) | Stock-settled derivatives (including options) |
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| and agreements to purchase/sell: | 500 | 0.00% | 2,100 | 0.00% | ||
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| TOTAL: | 2,076,278 | 0.36% | 1,688,548 | 0.29% | ||
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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: | 146,000 | 0.03% | 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: | 146,000 | 0.03% | 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 | 7 | 25.4000 USD | ||||
| USD 0.01 common | Purchase | 10 | 25.3050 USD | ||||
| USD 0.01 common | Purchase | 12 | 25.2750 USD | ||||
| USD 0.01 common | Purchase | 12 | 25.3550 USD | ||||
| USD 0.01 common | Purchase | 24 | 25.2650 USD | ||||
| USD 0.01 common | Purchase | 24 | 25.3075 USD | ||||
| USD 0.01 common | Purchase | 36 | 25.3033 USD | ||||
| USD 0.01 common | Purchase | 36 | 25.2983 USD | ||||
| USD 0.01 common | Purchase | 38 | 25.3950 USD | ||||
| USD 0.01 common | Purchase | 38 | 25.3800 USD | ||||
| USD 0.01 common | Purchase | 38 | 25.4100 USD | ||||
| USD 0.01 common | Purchase | 39 | 25.2800 USD | ||||
| USD 0.01 common | Purchase | 48 | 25.2975 USD | ||||
| USD 0.01 common | Purchase | 48 | 25.2912 USD | ||||
| USD 0.01 common | Purchase | 60 | 25.2880 USD | ||||
| USD 0.01 common | Purchase | 88 | 21.9150 EUR | ||||
| USD 0.01 common | Purchase | 98 | 25.3000 USD | ||||
| USD 0.01 common | Purchase | 100 | 25.3200 USD | ||||
| USD 0.01 common | Purchase | 100 | 25.3850 USD | ||||
| USD 0.01 common | Purchase | 101 | 21.7300 EUR | ||||
| USD 0.01 common | Purchase | 212 | 25.2700 USD | ||||
| USD 0.01 common | Purchase | 225 | 25.2344 USD | ||||
| USD 0.01 common | Purchase | 700 | 25.2257 USD | ||||
| USD 0.01 common | Purchase | 898 | 25.2769 USD | ||||
| USD 0.01 common | Purchase | 1,900 | 25.2610 USD | ||||
| USD 0.01 common | Purchase | 2,447 | 25.2372 USD | ||||
| USD 0.01 common | Purchase | 4,000 | 25.2836 USD | ||||
| USD 0.01 common | Purchase | 5,579 | 25.1243 USD | ||||
| USD 0.01 common | Purchase | 6,124 | 25.2093 USD | ||||
| USD 0.01 common | Purchase | 7,999 | 25.2895 USD | ||||
| USD 0.01 common | Purchase | 10,353 | 25.1797 USD | ||||
| USD 0.01 common | Purchase | 20,288 | 25.2500 USD | ||||
| USD 0.01 common | Purchase | 20,394 | 25.2335 USD | ||||
| USD 0.01 common | Purchase | 40,166 | 25.2673 USD | ||||
| USD 0.01 common | Purchase | 42,365 | 25.2899 USD | ||||
| USD 0.01 common | Purchase | 58,174 | 25.2463 USD | ||||
| USD 0.01 common | Purchase | 104,302 | 25.2505 USD | ||||
| USD 0.01 common | Sale | 1 | 25.3350 USD | ||||
| USD 0.01 common | Sale | 3 | 25.2650 USD | ||||
| USD 0.01 common | Sale | 88 | 21.9150 EUR | ||||
| USD 0.01 common | Sale | 98 | 25.3000 USD | ||||
| USD 0.01 common | Sale | 100 | 25.2653 USD | ||||
| USD 0.01 common | Sale | 100 | 25.3200 USD | ||||
| USD 0.01 common | Sale | 100 | 25.4100 USD | ||||
| USD 0.01 common | Sale | 101 | 21.7300 EUR | ||||
| USD 0.01 common | Sale | 103 | 25.0199 USD | ||||
| USD 0.01 common | Sale | 203 | 25.0888 USD | ||||
| USD 0.01 common | Sale | 290 | 25.0674 USD | ||||
| USD 0.01 common | Sale | 300 | 25.2166 USD | ||||
| USD 0.01 common | Sale | 305 | 25.2171 USD | ||||
| USD 0.01 common | Sale | 307 | 25.0912 USD | ||||
| USD 0.01 common | Sale | 381 | 25.2055 USD | ||||
| USD 0.01 common | Sale | 385 | 25.3384 USD | ||||
| USD 0.01 common | Sale | 400 | 25.1650 USD | ||||
| USD 0.01 common | Sale | 406 | 25.2325 USD | ||||
| USD 0.01 common | Sale | 425 | 25.1368 USD | ||||
| USD 0.01 common | Sale | 456 | 25.2931 USD | ||||
| USD 0.01 common | Sale | 458 | 25.2513 USD | ||||
| USD 0.01 common | Sale | 500 | 25.2516 USD | ||||
| USD 0.01 common | Sale | 500 | 25.2100 USD | ||||
| USD 0.01 common | Sale | 567 | 25.2486 USD | ||||
| USD 0.01 common | Sale | 666 | 25.3357 USD | ||||
| USD 0.01 common | Sale | 700 | 25.2257 USD | ||||
| USD 0.01 common | Sale | 932 | 25.2130 USD | ||||
| USD 0.01 common | Sale | 1,000 | 25.2590 USD | ||||
| USD 0.01 common | Sale | 1,060 | 25.2741 USD | ||||
| USD 0.01 common | Sale | 1,110 | 25.2194 USD | ||||
| USD 0.01 common | Sale | 1,330 | 25.2900 USD | ||||
| USD 0.01 common | Sale | 1,446 | 25.1592 USD | ||||
| USD 0.01 common | Sale | 1,597 | 25.2748 USD | ||||
| USD 0.01 common | Sale | 1,700 | 25.2655 USD | ||||
| USD 0.01 common | Sale | 1,800 | 25.2736 USD | ||||
| USD 0.01 common | Sale | 1,900 | 25.2936 USD | ||||
| USD 0.01 common | Sale | 1,900 | 25.2726 USD | ||||
| USD 0.01 common | Sale | 2,155 | 25.2153 USD | ||||
| USD 0.01 common | Sale | 2,300 | 25.2776 USD | ||||
| USD 0.01 common | Sale | 2,300 | 25.2567 USD | ||||
| USD 0.01 common | Sale | 2,447 | 25.2372 USD | ||||
| USD 0.01 common | Sale | 2,547 | 25.2367 USD | ||||
| USD 0.01 common | Sale | 2,621 | 25.2411 USD | ||||
| USD 0.01 common | Sale | 2,830 | 25.2576 USD | ||||
| USD 0.01 common | Sale | 3,338 | 25.2468 USD | ||||
| USD 0.01 common | Sale | 4,068 | 25.0811 USD | ||||
| USD 0.01 common | Sale | 4,105 | 25.2537 USD | ||||
| USD 0.01 common | Sale | 5,401 | 25.1674 USD | ||||
| USD 0.01 common | Sale | 5,921 | 25.1579 USD | ||||
| USD 0.01 common | Sale | 6,064 | 25.2082 USD | ||||
| USD 0.01 common | Sale | 10,099 | 25.2837 USD | ||||
| USD 0.01 common | Sale | 17,198 | 25.3172 USD | ||||
| USD 0.01 common | Sale | 17,335 | 25.2500 USD | ||||
| USD 0.01 common | Sale | 19,687 | 25.2753 USD | ||||
| USD 0.01 common | Sale | 31,420 | 25.2604 USD | ||||
| USD 0.01 common | Sale | 56,915 | 25.2561 USD | ||||
| USD 0.01 common | Sale | 104,402 | 25.2506 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: | 6 Oct 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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| 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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