Last checked at 18 Aug 2021 10:23
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: | 17 August 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 | ||||
| and/or controlled: | 1,609,118 | 0.28% | 555,264 | 0.10% | |
(2) | Cash-settled derivatives: | ||||
105,094 | 0.02% | 1,279,498 | 0.22% | ||
(3) | Stock-settled derivatives (including options) | ||||
| and agreements to purchase/sell: | 261,900 | 0.05% | 13,500 | 0.00% | |
| TOTAL: | 1,976,112 | 0.34% | 1,848,262 | 0.32% | |
| Class of relevant security: | Convertible Bond US668771AA66 | ||||
| Interests | Short Positions | ||||
| Number | (%) | Number | (%) | ||
(1) | Relevant securities owned | ||||
| and/or controlled: | 136,000 | 0.02% | 0 | 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% | |
| TOTAL: | 136,000 | 0.02% | 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 |
security |
| securities |
|
USD 0.01 common | Purchase | 12 | 25.8125 USD |
USD 0.01 common | Purchase | 25 | 25.8240 USD |
USD 0.01 common | Purchase | 27 | 25.8633 USD |
USD 0.01 common | Purchase | 57 | 21.6700 EUR |
USD 0.01 common | Purchase | 140 | 25.9650 USD |
USD 0.01 common | Purchase | 152 | 25.9664 USD |
USD 0.01 common | Purchase | 200 | 25.8750 USD |
USD 0.01 common | Purchase | 286 | 25.9319 USD |
USD 0.01 common | Purchase | 328 | 25.9456 USD |
USD 0.01 common | Purchase | 365 | 25.9530 USD |
USD 0.01 common | Purchase | 399 | 25.9560 USD |
USD 0.01 common | Purchase | 400 | 25.9675 USD |
USD 0.01 common | Purchase | 400 | 25.9662 USD |
USD 0.01 common | Purchase | 402 | 25.8824 USD |
USD 0.01 common | Purchase | 404 | 25.9490 USD |
USD 0.01 common | Purchase | 500 | 25.9550 USD |
USD 0.01 common | Purchase | 500 | 25.8400 USD |
USD 0.01 common | Purchase | 514 | 25.9398 USD |
USD 0.01 common | Purchase | 582 | 25.8684 USD |
USD 0.01 common | Purchase | 706 | 25.9399 USD |
USD 0.01 common | Purchase | 881 | 25.9488 USD |
USD 0.01 common | Purchase | 1,145 | 21.9482 EUR |
USD 0.01 common | Purchase | 1,301 | 25.8992 USD |
USD 0.01 common | Purchase | 1,539 | 25.8925 USD |
USD 0.01 common | Purchase | 1,605 | 25.9750 USD |
USD 0.01 common | Purchase | 1,665 | 25.9211 USD |
USD 0.01 common | Purchase | 2,013 | 25.8990 USD |
USD 0.01 common | Purchase | 2,838 | 25.8982 USD |
USD 0.01 common | Purchase | 3,327 | 25.8931 USD |
USD 0.01 common | Purchase | 4,634 | 25.8930 USD |
USD 0.01 common | Purchase | 5,500 | 25.9200 USD |
USD 0.01 common | Purchase | 7,500 | 25.8724 USD |
USD 0.01 common | Purchase | 7,719 | 25.9194 USD |
USD 0.01 common | Purchase | 8,097 | 25.9000 USD |
USD 0.01 common | Purchase | 8,389 | 25.9537 USD |
USD 0.01 common | Purchase | 8,593 | 25.8988 USD |
USD 0.01 common | Purchase | 12,059 | 25.9221 USD |
USD 0.01 common | Purchase | 14,464 | 25.9416 USD |
USD 0.01 common | Purchase | 18,883 | 25.9219 USD |
USD 0.01 common | Purchase | 18,894 | 25.8472 USD |
USD 0.01 common | Purchase | 20,824 | 25.9600 USD |
USD 0.01 common | Purchase | 57,502 | 25.9252 USD |
USD 0.01 common | Purchase | 70,000 | 26.0000 USD |
USD 0.01 common | Sale | 10 | 25.9850 USD |
USD 0.01 common | Sale | 10 | 25.9550 USD |
USD 0.01 common | Sale | 20 | 25.9450 USD |
USD 0.01 common | Sale | 30 | 25.9333 USD |
USD 0.01 common | Sale | 30 | 25.9400 USD |
USD 0.01 common | Sale | 32 | 25.8887 USD |
USD 0.01 common | Sale | 34 | 25.9100 USD |
USD 0.01 common | Sale | 37 | 25.8856 USD |
USD 0.01 common | Sale | 40 | 25.9525 USD |
USD 0.01 common | Sale | 44 | 25.9079 USD |
USD 0.01 common | Sale | 46 | 25.9039 USD |
USD 0.01 common | Sale | 48 | 25.8962 USD |
USD 0.01 common | Sale | 49 | 25.9236 USD |
USD 0.01 common | Sale | 50 | 25.9460 USD |
USD 0.01 common | Sale | 50 | 25.8926 USD |
USD 0.01 common | Sale | 57 | 21.6700 EUR |
USD 0.01 common | Sale | 92 | 25.9057 USD |
USD 0.01 common | Sale | 100 | 25.8325 USD |
USD 0.01 common | Sale | 100 | 25.8150 USD |
USD 0.01 common | Sale | 100 | 25.9000 USD |
USD 0.01 common | Sale | 110 | 25.9065 USD |
USD 0.01 common | Sale | 110 | 25.9463 USD |
USD 0.01 common | Sale | 118 | 25.8893 USD |
USD 0.01 common | Sale | 120 | 25.9533 USD |
USD 0.01 common | Sale | 180 | 25.9075 USD |
USD 0.01 common | Sale | 200 | 25.8700 USD |
USD 0.01 common | Sale | 238 | 25.9205 USD |
USD 0.01 common | Sale | 246 | 25.9434 USD |
USD 0.01 common | Sale | 266 | 25.9135 USD |
USD 0.01 common | Sale | 300 | 25.8200 USD |
USD 0.01 common | Sale | 300 | 25.8416 USD |
USD 0.01 common | Sale | 301 | 25.8299 USD |
USD 0.01 common | Sale | 302 | 25.8766 USD |
USD 0.01 common | Sale | 582 | 25.8684 USD |
USD 0.01 common | Sale | 600 | 25.9500 USD |
USD 0.01 common | Sale | 600 | 25.8025 USD |
USD 0.01 common | Sale | 800 | 25.9650 USD |
USD 0.01 common | Sale | 847 | 25.8349 USD |
USD 0.01 common | Sale | 900 | 25.8300 USD |
USD 0.01 common | Sale | 999 | 25.9519 USD |
USD 0.01 common | Sale | 1,145 | 21.9482 EUR |
USD 0.01 common | Sale | 1,318 | 25.9344 USD |
USD 0.01 common | Sale | 1,404 | 25.8759 USD |
USD 0.01 common | Sale | 1,487 | 25.8400 USD |
USD 0.01 common | Sale | 1,817 | 25.9595 USD |
USD 0.01 common | Sale | 2,317 | 25.8930 USD |
USD 0.01 common | Sale | 2,757 | 25.8758 USD |
USD 0.01 common | Sale | 3,361 | 25.8244 USD |
USD 0.01 common | Sale | 3,400 | 25.8355 USD |
USD 0.01 common | Sale | 3,900 | 25.9046 USD |
USD 0.01 common | Sale | 4,066 | 25.8290 USD |
USD 0.01 common | Sale | 5,500 | 25.9200 USD |
USD 0.01 common | Sale | 6,008 | 25.9452 USD |
USD 0.01 common | Sale | 8,119 | 25.8746 USD |
USD 0.01 common | Sale | 8,381 | 25.9195 USD |
USD 0.01 common | Sale | 8,798 | 25.9250 USD |
USD 0.01 common | Sale | 9,165 | 25.9226 USD |
USD 0.01 common | Sale | 10,183 | 25.9238 USD |
USD 0.01 common | Sale | 12,461 | 25.9510 USD |
USD 0.01 common | Sale | 12,703 | 25.9255 USD |
USD 0.01 common | Sale | 17,364 | 25.9404 USD |
USD 0.01 common | Sale | 23,081 | 25.9600 USD |
USD 0.01 common | Sale | 32,495 | 25.9242 USD |
USD 0.01 common | Sale | 38,922 | 25.9926 USD |
USD 0.01 common | Sale | 70,000 | 26.0000 USD |
(b) Cash-settled derivative transactions
Class of | Product | Nature of dealing | Number of | Price per |
relevant | description |
| reference | unit |
security |
|
| securities | |
USD 0.01 common | SWAP | Long | 16,293 | 25.7993 USD |
(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
|
(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: | 18 Aug 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 |
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| option |
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| relates |
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USD 0.01 common | Call Options | Purchased | 500 | 27.0000 | American | 21 Jan 2022 |
USD 0.01 common | Call Options | Purchased | 11,400 | 26.0000 | American | 20 Aug 2021 |
USD 0.01 common | Call Options | Purchased | 50,000 | 25.0000 | American | 20 Aug 2021 |
USD 0.01 common | Call Options | Purchased | 200,000 | 24.0000 | American | 20 Aug 2021 |
USD 0.01 common | Put Options | Purchased | -11,400 | 26.0000 | American | 20 Aug 2021 |
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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