Last checked at 7 Oct 2021 11:41
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: | 06 October 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 | |||||
| Interests | Short Positions | |||||
Number | (%) | Number | (%) | |||
(1) | Relevant securities owned |
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| and/or controlled: | 1,488,561 | 0.26% | 668,977 | 0.11% | ||
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(2) | Cash-settled derivatives: |
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353,944 | 0.06% | 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: | 1,843,005 | 0.32% | 1,699,399 | 0.29% | ||
| 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% | ||
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 | 15 | 25.2650 USD | ||||
| USD 0.01 common | Purchase | 20 | 25.2450 USD | ||||
| USD 0.01 common | Purchase | 100 | 24.9600 USD | ||||
| USD 0.01 common | Purchase | 200 | 25.2200 USD | ||||
| USD 0.01 common | Purchase | 200 | 25.2750 USD | ||||
| USD 0.01 common | Purchase | 361 | 25.2262 USD | ||||
| USD 0.01 common | Purchase | 381 | 25.1687 USD | ||||
| USD 0.01 common | Purchase | 400 | 25.2550 USD | ||||
| USD 0.01 common | Purchase | 401 | 25.1480 USD | ||||
| USD 0.01 common | Purchase | 401 | 25.2562 USD | ||||
| USD 0.01 common | Purchase | 500 | 25.0840 USD | ||||
| USD 0.01 common | Purchase | 500 | 25.1540 USD | ||||
| USD 0.01 common | Purchase | 508 | 25.2695 USD | ||||
| USD 0.01 common | Purchase | 700 | 25.0714 USD | ||||
| USD 0.01 common | Purchase | 700 | 25.2535 USD | ||||
| USD 0.01 common | Purchase | 800 | 25.0750 USD | ||||
| USD 0.01 common | Purchase | 1,187 | 25.1755 USD | ||||
| USD 0.01 common | Purchase | 1,783 | 25.1400 USD | ||||
| USD 0.01 common | Purchase | 1,970 | 25.1521 USD | ||||
| USD 0.01 common | Purchase | 3,510 | 25.1411 USD | ||||
| USD 0.01 common | Purchase | 3,822 | 25.1879 USD | ||||
| USD 0.01 common | Purchase | 4,132 | 25.1636 USD | ||||
| USD 0.01 common | Purchase | 5,812 | 25.2137 USD | ||||
| USD 0.01 common | Purchase | 7,150 | 25.1829 USD | ||||
| USD 0.01 common | Purchase | 13,736 | 25.2476 USD | ||||
| USD 0.01 common | Purchase | 17,021 | 25.2477 USD | ||||
| USD 0.01 common | Purchase | 26,205 | 25.1089 USD | ||||
| USD 0.01 common | Purchase | 29,432 | 25.1988 USD | ||||
| USD 0.01 common | Purchase | 44,803 | 25.2500 USD | ||||
| USD 0.01 common | Purchase | 66,073 | 25.1781 USD | ||||
| USD 0.01 common | Sale | 3 | 25.1700 USD | ||||
| USD 0.01 common | Sale | 4 | 25.1600 USD | ||||
| USD 0.01 common | Sale | 6 | 25.1200 USD | ||||
| USD 0.01 common | Sale | 8 | 25.1900 USD | ||||
| USD 0.01 common | Sale | 9 | 25.1916 USD | ||||
| USD 0.01 common | Sale | 9 | 25.1355 USD | ||||
| USD 0.01 common | Sale | 11 | 25.1909 USD | ||||
| USD 0.01 common | Sale | 16 | 25.1268 USD | ||||
| USD 0.01 common | Sale | 16 | 25.2350 USD | ||||
| USD 0.01 common | Sale | 21 | 25.1819 USD | ||||
| USD 0.01 common | Sale | 21 | 25.1214 USD | ||||
| USD 0.01 common | Sale | 24 | 25.1883 USD | ||||
| USD 0.01 common | Sale | 24 | 25.2133 USD | ||||
| USD 0.01 common | Sale | 32 | 25.2150 USD | ||||
| USD 0.01 common | Sale | 36 | 25.2450 USD | ||||
| USD 0.01 common | Sale | 48 | 25.2233 USD | ||||
| USD 0.01 common | Sale | 106 | 25.1621 USD | ||||
| USD 0.01 common | Sale | 108 | 25.2214 USD | ||||
| USD 0.01 common | Sale | 111 | 25.1381 USD | ||||
| USD 0.01 common | Sale | 197 | 24.9600 USD | ||||
| USD 0.01 common | Sale | 200 | 25.2200 USD | ||||
| USD 0.01 common | Sale | 308 | 25.1800 USD | ||||
| USD 0.01 common | Sale | 400 | 25.2075 USD | ||||
| USD 0.01 common | Sale | 500 | 25.1540 USD | ||||
| USD 0.01 common | Sale | 502 | 25.2166 USD | ||||
| USD 0.01 common | Sale | 580 | 25.1865 USD | ||||
| USD 0.01 common | Sale | 800 | 25.1412 USD | ||||
| USD 0.01 common | Sale | 800 | 25.1325 USD | ||||
| USD 0.01 common | Sale | 846 | 25.2015 USD | ||||
| USD 0.01 common | Sale | 900 | 25.0527 USD | ||||
| USD 0.01 common | Sale | 906 | 25.1899 USD | ||||
| USD 0.01 common | Sale | 925 | 25.2399 USD | ||||
| USD 0.01 common | Sale | 1,000 | 25.1710 USD | ||||
| USD 0.01 common | Sale | 1,100 | 25.0627 USD | ||||
| USD 0.01 common | Sale | 1,187 | 25.1755 USD | ||||
| USD 0.01 common | Sale | 1,255 | 25.1293 USD | ||||
| USD 0.01 common | Sale | 1,500 | 25.0823 USD | ||||
| USD 0.01 common | Sale | 1,639 | 25.1419 USD | ||||
| USD 0.01 common | Sale | 1,800 | 25.1069 USD | ||||
| USD 0.01 common | Sale | 1,820 | 25.1696 USD | ||||
| USD 0.01 common | Sale | 1,900 | 25.1205 USD | ||||
| USD 0.01 common | Sale | 1,920 | 25.0981 USD | ||||
| USD 0.01 common | Sale | 2,200 | 25.0820 USD | ||||
| USD 0.01 common | Sale | 2,537 | 25.1564 USD | ||||
| USD 0.01 common | Sale | 2,943 | 25.2192 USD | ||||
| USD 0.01 common | Sale | 2,998 | 25.2068 USD | ||||
| USD 0.01 common | Sale | 3,227 | 25.1841 USD | ||||
| USD 0.01 common | Sale | 3,417 | 25.1187 USD | ||||
| USD 0.01 common | Sale | 3,910 | 25.1642 USD | ||||
| USD 0.01 common | Sale | 4,402 | 25.1713 USD | ||||
| USD 0.01 common | Sale | 4,512 | 25.2064 USD | ||||
| USD 0.01 common | Sale | 4,903 | 25.2495 USD | ||||
| USD 0.01 common | Sale | 5,265 | 25.1400 USD | ||||
| USD 0.01 common | Sale | 7,459 | 25.1694 USD | ||||
| USD 0.01 common | Sale | 8,520 | 25.2242 USD | ||||
| USD 0.01 common | Sale | 22,526 | 25.2083 USD | ||||
| USD 0.01 common | Sale | 28,111 | 25.2499 USD | ||||
| USD 0.01 common | Sale | 30,874 | 25.2500 USD | ||||
| USD 0.01 common | Sale | 34,131 | 25.1903 USD | ||||
| USD 0.01 common | Sale | 39,577 | 25.1664 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: | 7 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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