Last checked at 24 Nov 2021 18:14
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 | ||||||
| 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 | ||||||
| offeror/offeree, state this and specify identity of | |||||||
| offeror/offeree: | |||||||
| (e) | Date position held/dealing undertaken: | 23 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 |
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Interests | Short Positions | |||||
Number | (%) | Number | (%) | |||
(1) | Relevant securities owned |
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| and/or controlled: | 1,656,085 | 0.28% | 906,685 | 0.16% | ||
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(2) | Cash-settled derivatives: |
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814,572 | 0.14% | 1,310,292 | 0.23% | |||
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(3) | Stock-settled derivatives (including options) |
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| and agreements to purchase/sell: | 0 | 0.00% | 2,100 | 0.00% | ||
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| TOTAL: | 2,470,657 | 0.42% | 2,219,077 | 0.38% | ||
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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: | 376,000 | 0.06% | 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: | 376,000 | 0.06% | 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 | ||||
security | securities | ||||||
USD 0.01 common | Purchase | 2 | 24.4800 USD | ||||
USD 0.01 common | Purchase | 20 | 24.5715 USD | ||||
USD 0.01 common | Purchase | 60 | 24.7050 USD | ||||
USD 0.01 common | Purchase | 100 | 24.7000 USD | ||||
USD 0.01 common | Purchase | 100 | 24.5500 USD | ||||
USD 0.01 common | Purchase | 100 | 24.7250 USD | ||||
USD 0.01 common | Purchase | 100 | 24.7300 USD | ||||
USD 0.01 common | Purchase | 137 | 24.7136 USD | ||||
USD 0.01 common | Purchase | 178 | 21.7350 EUR | ||||
USD 0.01 common | Purchase | 200 | 24.7175 USD | ||||
USD 0.01 common | Purchase | 206 | 24.7130 USD | ||||
USD 0.01 common | Purchase | 246 | 21.7050 EUR | ||||
USD 0.01 common | Purchase | 300 | 24.7200 USD | ||||
USD 0.01 common | Purchase | 300 | 24.7100 USD | ||||
USD 0.01 common | Purchase | 300 | 24.4966 USD | ||||
USD 0.01 common | Purchase | 439 | 24.4857 USD | ||||
USD 0.01 common | Purchase | 983 | 24.5163 USD | ||||
USD 0.01 common | Purchase | 1,031 | 24.6169 USD | ||||
USD 0.01 common | Purchase | 1,524 | 24.5531 USD | ||||
USD 0.01 common | Purchase | 1,730 | 24.6246 USD | ||||
USD 0.01 common | Purchase | 2,022 | 24.5563 USD | ||||
USD 0.01 common | Purchase | 2,994 | 24.6789 USD | ||||
USD 0.01 common | Purchase | 5,318 | 24.7371 USD | ||||
USD 0.01 common | Purchase | 5,462 | 24.5188 USD | ||||
USD 0.01 common | Purchase | 5,730 | 24.6282 USD | ||||
USD 0.01 common | Purchase | 6,633 | 24.6682 USD | ||||
USD 0.01 common | Purchase | 8,277 | 24.6235 USD | ||||
USD 0.01 common | Purchase | 11,184 | 24.6044 USD | ||||
USD 0.01 common | Purchase | 13,483 | 24.6490 USD | ||||
USD 0.01 common | Purchase | 29,173 | 24.6422 USD | ||||
USD 0.01 common | Purchase | 30,028 | 24.7500 USD | ||||
USD 0.01 common | Purchase | 33,913 | 24.6507 USD | ||||
USD 0.01 common | Purchase | 88,724 | 24.7499 USD | ||||
USD 0.01 common | Sale | 6 | 24.3867 USD | ||||
USD 0.01 common | Sale | 7 | 24.6314 USD | ||||
USD 0.01 common | Sale | 16 | 24.7350 USD | ||||
USD 0.01 common | Sale | 16 | 24.7800 USD | ||||
USD 0.01 common | Sale | 48 | 24.7300 USD | ||||
USD 0.01 common | Sale | 48 | 24.7233 USD | ||||
USD 0.01 common | Sale | 76 | 24.7144 USD | ||||
USD 0.01 common | Sale | 80 | 24.7600 USD | ||||
USD 0.01 common | Sale | 80 | 24.7200 USD | ||||
USD 0.01 common | Sale | 92 | 24.7100 USD | ||||
USD 0.01 common | Sale | 100 | 24.7450 USD | ||||
USD 0.01 common | Sale | 100 | 24.4700 USD | ||||
USD 0.01 common | Sale | 100 | 24.5650 USD | ||||
USD 0.01 common | Sale | 100 | 24.7000 USD | ||||
USD 0.01 common | Sale | 100 | 24.5400 USD | ||||
USD 0.01 common | Sale | 104 | 24.6753 USD | ||||
USD 0.01 common | Sale | 176 | 24.6668 USD | ||||
USD 0.01 common | Sale | 178 | 21.7350 EUR | ||||
USD 0.01 common | Sale | 180 | 24.6044 USD | ||||
USD 0.01 common | Sale | 200 | 24.5325 USD | ||||
USD 0.01 common | Sale | 246 | 21.7050 EUR | ||||
USD 0.01 common | Sale | 300 | 24.4750 USD | ||||
USD 0.01 common | Sale | 300 | 24.5000 USD | ||||
USD 0.01 common | Sale | 377 | 24.6488 USD | ||||
USD 0.01 common | Sale | 379 | 24.5372 USD | ||||
USD 0.01 common | Sale | 400 | 24.5275 USD | ||||
USD 0.01 common | Sale | 400 | 24.5500 USD | ||||
USD 0.01 common | Sale | 400 | 24.5700 USD | ||||
USD 0.01 common | Sale | 400 | 24.5925 USD | ||||
USD 0.01 common | Sale | 401 | 24.7330 USD | ||||
USD 0.01 common | Sale | 600 | 24.5633 USD | ||||
USD 0.01 common | Sale | 634 | 24.6456 USD | ||||
USD 0.01 common | Sale | 674 | 24.5504 USD | ||||
USD 0.01 common | Sale | 1,049 | 24.6901 USD | ||||
USD 0.01 common | Sale | 1,462 | 24.5424 USD | ||||
USD 0.01 common | Sale | 1,897 | 24.5777 USD | ||||
USD 0.01 common | Sale | 2,294 | 24.7141 USD | ||||
USD 0.01 common | Sale | 2,637 | 24.5731 USD | ||||
USD 0.01 common | Sale | 2,681 | 24.6324 USD | ||||
USD 0.01 common | Sale | 3,200 | 24.5043 USD | ||||
USD 0.01 common | Sale | 5,377 | 24.5947 USD | ||||
USD 0.01 common | Sale | 8,106 | 24.6850 USD | ||||
USD 0.01 common | Sale | 10,060 | 24.6855 USD | ||||
USD 0.01 common | Sale | 10,426 | 24.7480 USD | ||||
USD 0.01 common | Sale | 10,799 | 24.6564 USD | ||||
USD 0.01 common | Sale | 15,157 | 24.6612 USD | ||||
USD 0.01 common | Sale | 19,702 | 24.7500 USD | ||||
USD 0.01 common | Sale | 23,327 | 24.6371 USD | ||||
USD 0.01 common | Sale | 35,566 | 24.6264 USD | ||||
USD 0.01 common | Sale | 89,967 | 24.7494 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: | 24 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 | ||||
security | varying etc | to which | |||||
| option | ||||||
| relates | ||||||
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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