Last checked at 9 Nov 2021 11:55
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: | 08 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: | 1,793,336 | 0.31% | 990,015 | 0.17% | ||
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(2) | Cash-settled derivatives: |
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645,961 | 0.11% | 2,615,348 | 0.45% | |||
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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: | 2,439,797 | 0.42% | 3,607,463 | 0.62% | ||
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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 |
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| USD 0.01 common | Purchase | 1 | 25.7000 USD | ||||
| USD 0.01 common | Purchase | 200 | 25.7800 USD | ||||
| USD 0.01 common | Purchase | 200 | 25.3825 USD | ||||
| USD 0.01 common | Purchase | 300 | 25.7933 USD | ||||
| USD 0.01 common | Purchase | 310 | 25.8096 USD | ||||
| USD 0.01 common | Purchase | 352 | 25.1800 USD | ||||
| USD 0.01 common | Purchase | 352 | 25.3641 USD | ||||
| USD 0.01 common | Purchase | 400 | 25.7325 USD | ||||
| USD 0.01 common | Purchase | 400 | 25.7212 USD | ||||
| USD 0.01 common | Purchase | 500 | 25.6500 USD | ||||
| USD 0.01 common | Purchase | 504 | 25.3571 USD | ||||
| USD 0.01 common | Purchase | 599 | 25.7837 USD | ||||
| USD 0.01 common | Purchase | 621 | 25.7426 USD | ||||
| USD 0.01 common | Purchase | 637 | 25.7788 USD | ||||
| USD 0.01 common | Purchase | 647 | 25.7472 USD | ||||
| USD 0.01 common | Purchase | 695 | 25.6933 USD | ||||
| USD 0.01 common | Purchase | 700 | 25.6392 USD | ||||
| USD 0.01 common | Purchase | 786 | 25.6799 USD | ||||
| USD 0.01 common | Purchase | 844 | 25.7874 USD | ||||
| USD 0.01 common | Purchase | 907 | 25.8158 USD | ||||
| USD 0.01 common | Purchase | 929 | 25.7345 USD | ||||
| USD 0.01 common | Purchase | 1,142 | 25.5710 USD | ||||
| USD 0.01 common | Purchase | 2,143 | 25.4508 USD | ||||
| USD 0.01 common | Purchase | 2,771 | 25.6509 USD | ||||
| USD 0.01 common | Purchase | 3,082 | 25.6806 USD | ||||
| USD 0.01 common | Purchase | 3,137 | 25.5633 USD | ||||
| USD 0.01 common | Purchase | 3,528 | 25.6325 USD | ||||
| USD 0.01 common | Purchase | 3,642 | 25.5049 USD | ||||
| USD 0.01 common | Purchase | 3,794 | 25.7865 USD | ||||
| USD 0.01 common | Purchase | 4,112 | 25.5143 USD | ||||
| USD 0.01 common | Purchase | 4,262 | 25.5978 USD | ||||
| USD 0.01 common | Purchase | 4,323 | 25.5042 USD | ||||
| USD 0.01 common | Purchase | 4,475 | 25.5753 USD | ||||
| USD 0.01 common | Purchase | 4,857 | 25.6044 USD | ||||
| USD 0.01 common | Purchase | 5,851 | 25.5484 USD | ||||
| USD 0.01 common | Purchase | 7,411 | 25.7450 USD | ||||
| USD 0.01 common | Purchase | 7,550 | 25.6234 USD | ||||
| USD 0.01 common | Purchase | 12,559 | 25.4170 USD | ||||
| USD 0.01 common | Purchase | 14,496 | 25.8800 USD | ||||
| USD 0.01 common | Purchase | 16,610 | 25.5288 USD | ||||
| USD 0.01 common | Purchase | 24,273 | 25.6901 USD | ||||
| USD 0.01 common | Purchase | 24,336 | 25.7349 USD | ||||
| USD 0.01 common | Purchase | 25,519 | 25.4614 USD | ||||
| USD 0.01 common | Purchase | 30,774 | 25.5530 USD | ||||
| USD 0.01 common | Purchase | 32,334 | 25.4163 USD | ||||
| USD 0.01 common | Purchase | 48,676 | 25.8590 USD | ||||
| USD 0.01 common | Purchase | 53,180 | 25.5892 USD | ||||
| USD 0.01 common | Purchase | 170,153 | 25.6052 USD | ||||
| USD 0.01 common | Sale | 20 | 25.7700 USD | ||||
| USD 0.01 common | Sale | 20 | 25.7800 USD | ||||
| USD 0.01 common | Sale | 40 | 25.7750 USD | ||||
| USD 0.01 common | Sale | 48 | 25.7650 USD | ||||
| USD 0.01 common | Sale | 100 | 25.6300 USD | ||||
| USD 0.01 common | Sale | 100 | 25.3600 USD | ||||
| USD 0.01 common | Sale | 100 | 25.5350 USD | ||||
| USD 0.01 common | Sale | 100 | 25.6350 USD | ||||
| USD 0.01 common | Sale | 100 | 25.3500 USD | ||||
| USD 0.01 common | Sale | 111 | 25.7361 USD | ||||
| USD 0.01 common | Sale | 153 | 25.7300 USD | ||||
| USD 0.01 common | Sale | 200 | 25.6375 USD | ||||
| USD 0.01 common | Sale | 200 | 25.3250 USD | ||||
| USD 0.01 common | Sale | 300 | 25.6500 USD | ||||
| USD 0.01 common | Sale | 300 | 25.6233 USD | ||||
| USD 0.01 common | Sale | 352 | 25.3641 USD | ||||
| USD 0.01 common | Sale | 352 | 25.1800 USD | ||||
| USD 0.01 common | Sale | 363 | 25.6217 USD | ||||
| USD 0.01 common | Sale | 423 | 25.3925 USD | ||||
| USD 0.01 common | Sale | 451 | 25.7520 USD | ||||
| USD 0.01 common | Sale | 537 | 25.1309 USD | ||||
| USD 0.01 common | Sale | 900 | 25.3683 USD | ||||
| USD 0.01 common | Sale | 1,502 | 25.4475 USD | ||||
| USD 0.01 common | Sale | 1,511 | 25.6047 USD | ||||
| USD 0.01 common | Sale | 1,943 | 25.4405 USD | ||||
| USD 0.01 common | Sale | 2,845 | 25.5941 USD | ||||
| USD 0.01 common | Sale | 3,335 | 25.6768 USD | ||||
| USD 0.01 common | Sale | 3,601 | 25.6778 USD | ||||
| USD 0.01 common | Sale | 4,246 | 25.6056 USD | ||||
| USD 0.01 common | Sale | 4,576 | 25.6288 USD | ||||
| USD 0.01 common | Sale | 5,130 | 25.8464 USD | ||||
| USD 0.01 common | Sale | 5,190 | 25.7829 USD | ||||
| USD 0.01 common | Sale | 7,524 | 25.4774 USD | ||||
| USD 0.01 common | Sale | 12,413 | 25.3706 USD | ||||
| USD 0.01 common | Sale | 12,560 | 25.8800 USD | ||||
| USD 0.01 common | Sale | 13,383 | 25.6454 USD | ||||
| USD 0.01 common | Sale | 14,659 | 25.6145 USD | ||||
| USD 0.01 common | Sale | 15,115 | 25.7247 USD | ||||
| USD 0.01 common | Sale | 21,060 | 25.3729 USD | ||||
| USD 0.01 common | Sale | 21,501 | 25.4783 USD | ||||
| USD 0.01 common | Sale | 27,089 | 25.7181 USD | ||||
| USD 0.01 common | Sale | 42,516 | 25.8781 USD | ||||
| USD 0.01 common | Sale | 46,581 | 25.5816 USD | ||||
| USD 0.01 common | Sale | 100,229 | 25.5959 USD | ||||
| USD 0.01 common | Sale | 136,746 | 25.5972 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: | 9 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 | 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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