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Pin to quick picksBarclays Regulatory News (BARC)

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Form 8.3 - NORTONLIFELOCK INC

5 Nov 2021 11:48

 

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 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.

 

(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:

 

(e) Date position held/dealing undertaken:

For an opening position disclosure, state the latest practicable date prior to the disclosure

4 Nov 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
InterestsShort Positions
Number(%)Number(%)

(1)

Relevant securities owned
and/or controlled:

1,707,801

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%

 

(4)

TOTAL:

2,604,662

0.45%

2,043,867

0.35%

 
Class of relevant security:Convertible Bond US668771AA66
InterestsShort 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%

 

(4)

TOTAL:

376,000

0.06%

2,000

0.00%

 

Class of relevant security:

 

 

 

 

Interests

Short positions

 

Number

%

Number

%

(1) Relevant securities owned and/or controlled:

 

 

 

 

(2) Cash-settled derivatives:

 

 

 

 

 

(3) Stock-settled derivatives (including options) and agreements to purchase/sell:

 

 

 

 

 

TOTAL:

 

 

 

 

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:

 

Details, including nature of the rights concerned and relevant percentages:

 

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 relevantPurchase/saleNumber ofPrice per unit
securitysecurities
Convertible BondPurchase

28,000

124.8750 USD
Convertible BondSale

15,000

124.8750 USD
USD 0.01 commonPurchase

2

25.0000 USD
USD 0.01 commonPurchase

5

24.9050 USD
USD 0.01 commonPurchase

30

24.9450 USD
USD 0.01 commonPurchase

43

24.9800 USD
USD 0.01 commonPurchase

74

25.0500 USD
USD 0.01 commonPurchase

100

24.8800 USD
USD 0.01 commonPurchase

100

24.9100 USD
USD 0.01 commonPurchase

100

24.9350 USD
USD 0.01 commonPurchase

100

24.9850 USD
USD 0.01 commonPurchase

107

24.9586 USD
USD 0.01 commonPurchase

160

24.9131 USD
USD 0.01 commonPurchase

182

24.9400 USD
USD 0.01 commonPurchase

200

24.9250 USD
USD 0.01 commonPurchase

200

24.9362 USD
USD 0.01 commonPurchase

300

25.0483 USD
USD 0.01 commonPurchase

300

24.9200 USD
USD 0.01 commonPurchase

300

25.2233 USD
USD 0.01 commonPurchase

365

24.9965 USD
USD 0.01 commonPurchase

398

25.1000 USD
USD 0.01 commonPurchase

700

24.9471 USD
USD 0.01 commonPurchase

845

25.0718 USD
USD 0.01 commonPurchase

893

24.9502 USD
USD 0.01 commonPurchase

1,541

24.9484 USD
USD 0.01 commonPurchase

2,303

24.9405 USD
USD 0.01 commonPurchase

2,678

25.0458 USD
USD 0.01 commonPurchase

2,801

24.9448 USD
USD 0.01 commonPurchase

3,299

25.0246 USD
USD 0.01 commonPurchase

3,601

25.0071 USD
USD 0.01 commonPurchase

4,502

25.0030 USD
USD 0.01 commonPurchase

4,682

24.9737 USD
USD 0.01 commonPurchase

4,999

24.9313 USD
USD 0.01 commonPurchase

7,185

25.0002 USD
USD 0.01 commonPurchase

7,251

25.0097 USD
USD 0.01 commonPurchase

7,318

25.0166 USD
USD 0.01 commonPurchase

8,786

25.1730 USD
USD 0.01 commonPurchase

9,084

25.0079 USD
USD 0.01 commonPurchase

9,278

25.0416 USD
USD 0.01 commonPurchase

10,288

25.0317 USD
USD 0.01 commonPurchase

10,462

25.0501 USD
USD 0.01 commonPurchase

10,639

25.0159 USD
USD 0.01 commonPurchase

10,767

25.1088 USD
USD 0.01 commonPurchase

11,021

25.0912 USD
USD 0.01 commonPurchase

11,620

25.0775 USD
USD 0.01 commonPurchase

12,522

25.0162 USD
USD 0.01 commonPurchase

16,644

24.9529 USD
USD 0.01 commonPurchase

38,527

24.9500 USD
USD 0.01 commonPurchase

59,784

25.1641 USD
USD 0.01 commonPurchase

74,676

25.0172 USD
USD 0.01 commonPurchase

84,725

25.0437 USD
USD 0.01 commonSale

5

24.9200 USD
USD 0.01 commonSale

6

24.9083 USD
USD 0.01 commonSale

7

24.9400 USD
USD 0.01 commonSale

8

24.9137 USD
USD 0.01 commonSale

8

24.9337 USD
USD 0.01 commonSale

11

24.9177 USD
USD 0.01 commonSale

15

24.8850 USD
USD 0.01 commonSale

15

24.8900 USD
USD 0.01 commonSale

15

24.9250 USD
USD 0.01 commonSale

15

24.9300 USD
USD 0.01 commonSale

16

24.9287 USD
USD 0.01 commonSale

20

24.9275 USD
USD 0.01 commonSale

30

24.9233 USD
USD 0.01 commonSale

30

24.9450 USD
USD 0.01 commonSale

37

24.9178 USD
USD 0.01 commonSale

43

24.9800 USD
USD 0.01 commonSale

45

24.9150 USD
USD 0.01 commonSale

45

24.9000 USD
USD 0.01 commonSale

51

24.9116 USD
USD 0.01 commonSale

100

25.1000 USD
USD 0.01 commonSale

148

24.9694 USD
USD 0.01 commonSale

160

24.9100 USD
USD 0.01 commonSale

212

24.9778 USD
USD 0.01 commonSale

283

24.9503 USD
USD 0.01 commonSale

310

24.9732 USD
USD 0.01 commonSale

313

24.9873 USD
USD 0.01 commonSale

380

25.1245 USD
USD 0.01 commonSale

600

24.9550 USD
USD 0.01 commonSale

1,092

24.9748 USD
USD 0.01 commonSale

1,106

25.1414 USD
USD 0.01 commonSale

1,260

24.9330 USD
USD 0.01 commonSale

3,899

24.9455 USD
USD 0.01 commonSale

5,328

24.9282 USD
USD 0.01 commonSale

9,154

24.9963 USD
USD 0.01 commonSale

10,325

25.0284 USD
USD 0.01 commonSale

10,790

24.9500 USD
USD 0.01 commonSale

12,163

25.0065 USD
USD 0.01 commonSale

14,329

24.9499 USD
USD 0.01 commonSale

18,364

25.0609 USD
USD 0.01 commonSale

21,799

24.9496 USD
USD 0.01 commonSale

89,207

25.0135 USD
USD 0.01 commonSale

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

 

 

 

 

 

 

(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

 

 

 

 

 

 

 

 

(ii) Exercise

Class of relevant security

Product description

e.g. call option

Exercising/ exercised against

Number of securities

Exercise price per unit

 

 

 

 

 

 

(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)

 

 

 

 

 

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

 

(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

 

(c) Attachments

Is a Supplemental Form 8 (Open Positions) attached?

YES

Date of disclosure:

5 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

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)

ClassProductWriting,NumberExerciseTypeExpiry
ofdescriptionpurchasing,ofpricedate
relevantselling,securitiesper unit
securityvarying etcto which
option
relates
USD 0.01 commonCall OptionsPurchased

500

27.0000

American21 Jan 2022
USD 0.01 commonPut OptionsPurchased

-2,100

30.0000

American21 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:

 

 

 

 

 

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

View source version on businesswire.com: https://www.businesswire.com/news/home/20211105005498/en/

Copyright Business Wire 2021

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