Last checked at 20 Dec 2021 14:05
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: | 17 December 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 |
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Interests | Short Positions | |||||
Number | (%) | Number | (%) | |||
(1) | Relevant securities owned |
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| and/or controlled: | 1,460,477 | 0.25% | 617,823 | 0.11% | ||
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(2) | Cash-settled derivatives: |
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386,198 | 0.07% | 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% | 2,100 | 0.00% | ||
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| TOTAL: | 1,846,675 | 0.32% | 2,133,093 | 0.37% | ||
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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: | 389,000 | 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: | 389,000 | 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 | ||
security |
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| securities |
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USD 0.01 common | Purchase | 1 | 25.7700 USD | ||||
USD 0.01 common | Purchase | 1 | 25.7800 USD | ||||
USD 0.01 common | Purchase | 1 | 25.8500 USD | ||||
USD 0.01 common | Purchase | 3 | 25.7966 USD | ||||
USD 0.01 common | Purchase | 4 | 25.8200 USD | ||||
USD 0.01 common | Purchase | 4 | 25.7900 USD | ||||
USD 0.01 common | Purchase | 7 | 25.7885 USD | ||||
USD 0.01 common | Purchase | 8 | 25.7512 USD | ||||
USD 0.01 common | Purchase | 100 | 25.5800 USD | ||||
USD 0.01 common | Purchase | 126 | 25.7350 USD | ||||
USD 0.01 common | Purchase | 200 | 25.7150 USD | ||||
USD 0.01 common | Purchase | 243 | 25.8100 USD | ||||
USD 0.01 common | Purchase | 300 | 25.5000 USD | ||||
USD 0.01 common | Purchase | 300 | 25.6433 USD | ||||
USD 0.01 common | Purchase | 302 | 22.2417 EUR | ||||
USD 0.01 common | Purchase | 331 | 25.7187 USD | ||||
USD 0.01 common | Purchase | 400 | 25.7562 USD | ||||
USD 0.01 common | Purchase | 400 | 25.8025 USD | ||||
USD 0.01 common | Purchase | 401 | 25.8000 USD | ||||
USD 0.01 common | Purchase | 500 | 25.4820 USD | ||||
USD 0.01 common | Purchase | 600 | 25.7300 USD | ||||
USD 0.01 common | Purchase | 640 | 25.7234 USD | ||||
USD 0.01 common | Purchase | 700 | 25.5928 USD | ||||
USD 0.01 common | Purchase | 920 | 25.7250 USD | ||||
USD 0.01 common | Purchase | 923 | 25.7462 USD | ||||
USD 0.01 common | Purchase | 1,000 | 25.5625 USD | ||||
USD 0.01 common | Purchase | 1,000 | 25.8020 USD | ||||
USD 0.01 common | Purchase | 1,613 | 25.1162 USD | ||||
USD 0.01 common | Purchase | 2,377 | 25.7960 USD | ||||
USD 0.01 common | Purchase | 5,230 | 25.7283 USD | ||||
USD 0.01 common | Purchase | 7,315 | 25.6597 USD | ||||
USD 0.01 common | Purchase | 8,720 | 25.7315 USD | ||||
USD 0.01 common | Purchase | 10,990 | 25.7619 USD | ||||
USD 0.01 common | Purchase | 24,918 | 25.5365 USD | ||||
USD 0.01 common | Purchase | 29,273 | 25.7201 USD | ||||
USD 0.01 common | Purchase | 37,176 | 25.6225 USD | ||||
USD 0.01 common | Purchase | 39,078 | 25.6093 USD | ||||
USD 0.01 common | Purchase | 53,255 | 25.7176 USD | ||||
USD 0.01 common | Purchase | 378,558 | 25.7073 USD | ||||
USD 0.01 common | Purchase | 1,213,828 | 25.7200 USD | ||||
USD 0.01 common | Sale | 1 | 25.6700 USD | ||||
USD 0.01 common | Sale | 5 | 25.2800 USD | ||||
USD 0.01 common | Sale | 7 | 25.6300 USD | ||||
USD 0.01 common | Sale | 10 | 25.6010 USD | ||||
USD 0.01 common | Sale | 17 | 25.5667 USD | ||||
USD 0.01 common | Sale | 28 | 25.7300 USD | ||||
USD 0.01 common | Sale | 28 | 25.8000 USD | ||||
USD 0.01 common | Sale | 28 | 25.7900 USD | ||||
USD 0.01 common | Sale | 39 | 25.6402 USD | ||||
USD 0.01 common | Sale | 56 | 25.7350 USD | ||||
USD 0.01 common | Sale | 56 | 25.7400 USD | ||||
USD 0.01 common | Sale | 67 | 25.7186 USD | ||||
USD 0.01 common | Sale | 83 | 25.7553 USD | ||||
USD 0.01 common | Sale | 101 | 25.7003 USD | ||||
USD 0.01 common | Sale | 113 | 25.6935 USD | ||||
USD 0.01 common | Sale | 125 | 25.6869 USD | ||||
USD 0.01 common | Sale | 140 | 25.7660 USD | ||||
USD 0.01 common | Sale | 140 | 25.7380 USD | ||||
USD 0.01 common | Sale | 140 | 25.7520 USD | ||||
USD 0.01 common | Sale | 143 | 25.6795 USD | ||||
USD 0.01 common | Sale | 164 | 25.7120 USD | ||||
USD 0.01 common | Sale | 185 | 25.8420 USD | ||||
USD 0.01 common | Sale | 186 | 25.6987 USD | ||||
USD 0.01 common | Sale | 200 | 25.3650 USD | ||||
USD 0.01 common | Sale | 205 | 25.6996 USD | ||||
USD 0.01 common | Sale | 220 | 25.6907 USD | ||||
USD 0.01 common | Sale | 220 | 25.7250 USD | ||||
USD 0.01 common | Sale | 222 | 25.7766 USD | ||||
USD 0.01 common | Sale | 300 | 25.7771 USD | ||||
USD 0.01 common | Sale | 300 | 25.3633 USD | ||||
USD 0.01 common | Sale | 302 | 22.2417 EUR | ||||
USD 0.01 common | Sale | 320 | 25.7234 USD | ||||
USD 0.01 common | Sale | 338 | 25.7100 USD | ||||
USD 0.01 common | Sale | 346 | 25.7830 USD | ||||
USD 0.01 common | Sale | 348 | 25.7623 USD | ||||
USD 0.01 common | Sale | 350 | 25.7189 USD | ||||
USD 0.01 common | Sale | 370 | 25.7530 USD | ||||
USD 0.01 common | Sale | 372 | 25.8036 USD | ||||
USD 0.01 common | Sale | 386 | 25.7908 USD | ||||
USD 0.01 common | Sale | 410 | 25.6919 USD | ||||
USD 0.01 common | Sale | 437 | 25.7500 USD | ||||
USD 0.01 common | Sale | 444 | 25.7825 USD | ||||
USD 0.01 common | Sale | 467 | 25.7775 USD | ||||
USD 0.01 common | Sale | 498 | 25.8269 USD | ||||
USD 0.01 common | Sale | 824 | 25.7370 USD | ||||
USD 0.01 common | Sale | 1,100 | 25.7877 USD | ||||
USD 0.01 common | Sale | 1,201 | 25.4154 USD | ||||
USD 0.01 common | Sale | 1,400 | 25.7371 USD | ||||
USD 0.01 common | Sale | 1,470 | 25.6432 USD | ||||
USD 0.01 common | Sale | 1,489 | 25.5675 USD | ||||
USD 0.01 common | Sale | 2,043 | 25.8027 USD | ||||
USD 0.01 common | Sale | 2,253 | 25.3735 USD | ||||
USD 0.01 common | Sale | 2,906 | 25.5683 USD | ||||
USD 0.01 common | Sale | 6,672 | 25.7385 USD | ||||
USD 0.01 common | Sale | 6,958 | 25.7678 USD | ||||
USD 0.01 common | Sale | 7,424 | 25.7274 USD | ||||
USD 0.01 common | Sale | 10,742 | 25.3800 USD | ||||
USD 0.01 common | Sale | 22,919 | 25.7387 USD | ||||
USD 0.01 common | Sale | 23,127 | 25.5243 USD | ||||
USD 0.01 common | Sale | 29,304 | 25.7201 USD | ||||
USD 0.01 common | Sale | 34,673 | 25.6503 USD | ||||
USD 0.01 common | Sale | 36,808 | 25.7376 USD | ||||
USD 0.01 common | Sale | 38,961 | 25.6089 USD | ||||
USD 0.01 common | Sale | 68,911 | 25.7209 USD | ||||
USD 0.01 common | Sale | 224,099 | 25.7210 USD | ||||
USD 0.01 common | Sale | 315,376 | 25.7050 USD | ||||
USD 0.01 common | Sale | 971,611 | 25.7200 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: | 20 Dec 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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