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Pin to quick picksBarclays Regulatory News (BARC)

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Form 8.3 - NORTONLIFELOCK INC

11 Aug 2021 11:30

 

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

10 August 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:

1,912,181

0.33%

289,804

0.05%

 

 

 

 

(2)

Cash-settled derivatives:

 

 

 

 

83,335

0.01%

1,279,498

0.22%

 

 

 

 

(3)

Stock-settled derivatives (including options)

 

 

 

 

and agreements to purchase/sell:

250,500

0.04%

2,100

0.00%

 

 

 

 

 

 

 

 

TOTAL:

2,246,016

0.39%

1,571,402

0.27%

 

 

 

 

Class of relevant security:

Convertible Bond US668771AA66

 

 

Interests

Short Positions

Number

(%)

Number

(%)

(1)

Relevant securities owned

 

 

 

 

and/or controlled:

128,000

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:

128,000

0.02%

0

0.00%

 

 

 

0

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
USD 0.01 commonPurchase

20

24.2950 USD
USD 0.01 commonPurchase

20

24.1950 USD
USD 0.01 commonPurchase

37

24.2900 USD
USD 0.01 commonPurchase

45

23.9986 USD
USD 0.01 commonPurchase

49

24.6691 USD
USD 0.01 commonPurchase

52

24.2600 USD
USD 0.01 commonPurchase

52

24.5500 USD
USD 0.01 commonPurchase

65

23.8650 USD
USD 0.01 commonPurchase

89

24.2598 USD
USD 0.01 commonPurchase

120

24.1966 USD
USD 0.01 commonPurchase

136

24.0666 USD
USD 0.01 commonPurchase

199

24.6193 USD
USD 0.01 commonPurchase

200

24.2625 USD
USD 0.01 commonPurchase

200

24.1800 USD
USD 0.01 commonPurchase

200

24.1750 USD
USD 0.01 commonPurchase

200

23.9325 USD
USD 0.01 commonPurchase

220

24.1168 USD
USD 0.01 commonPurchase

240

24.1325 USD
USD 0.01 commonPurchase

300

24.0883 USD
USD 0.01 commonPurchase

300

24.1400 USD
USD 0.01 commonPurchase

360

24.2708 USD
USD 0.01 commonPurchase

469

24.1624 USD
USD 0.01 commonPurchase

600

24.1561 USD
USD 0.01 commonPurchase

600

24.0783 USD
USD 0.01 commonPurchase

683

24.1963 USD
USD 0.01 commonPurchase

700

24.0521 USD
USD 0.01 commonPurchase

810

24.1161 USD
USD 0.01 commonPurchase

828

24.0000 USD
USD 0.01 commonPurchase

836

24.0856 USD
USD 0.01 commonPurchase

900

24.1844 USD
USD 0.01 commonPurchase

952

24.1284 USD
USD 0.01 commonPurchase

1,018

24.0744 USD
USD 0.01 commonPurchase

1,200

24.1725 USD
USD 0.01 commonPurchase

1,285

24.1670 USD
USD 0.01 commonPurchase

1,550

24.1290 USD
USD 0.01 commonPurchase

1,621

24.0350 USD
USD 0.01 commonPurchase

1,681

24.1500 USD
USD 0.01 commonPurchase

2,378

24.0991 USD
USD 0.01 commonPurchase

3,371

24.1766 USD
USD 0.01 commonPurchase

3,460

23.9359 USD
USD 0.01 commonPurchase

14,148

24.1256 USD
USD 0.01 commonPurchase

15,586

24.1237 USD
USD 0.01 commonPurchase

15,956

24.1172 USD
USD 0.01 commonPurchase

16,409

24.1331 USD
USD 0.01 commonPurchase

19,700

23.8900 USD
USD 0.01 commonPurchase

27,059

23.9565 USD
USD 0.01 commonPurchase

34,809

24.1587 USD
USD 0.01 commonPurchase

45,317

24.1424 USD
USD 0.01 commonPurchase

161,388

24.1603 USD
USD 0.01 commonSale

5

23.9700 USD
USD 0.01 commonSale

7

23.9650 USD
USD 0.01 commonSale

11

23.9931 USD
USD 0.01 commonSale

14

23.9925 USD
USD 0.01 commonSale

15

23.9900 USD
USD 0.01 commonSale

19

23.9752 USD
USD 0.01 commonSale

32

24.2900 USD
USD 0.01 commonSale

38

23.9847 USD
USD 0.01 commonSale

89

24.2598 USD
USD 0.01 commonSale

105

24.1852 USD
USD 0.01 commonSale

108

23.9600 USD
USD 0.01 commonSale

300

24.2600 USD
USD 0.01 commonSale

300

24.2216 USD
USD 0.01 commonSale

446

24.0000 USD
USD 0.01 commonSale

500

24.3300 USD
USD 0.01 commonSale

811

24.2163 USD
USD 0.01 commonSale

891

24.2328 USD
USD 0.01 commonSale

1,408

24.0324 USD
USD 0.01 commonSale

1,791

24.1500 USD
USD 0.01 commonSale

3,698

24.1093 USD
USD 0.01 commonSale

5,589

24.1677 USD
USD 0.01 commonSale

5,615

24.1458 USD
USD 0.01 commonSale

6,648

24.2091 USD
USD 0.01 commonSale

6,805

24.1486 USD
USD 0.01 commonSale

7,399

24.2165 USD
USD 0.01 commonSale

9,921

24.1604 USD
USD 0.01 commonSale

10,116

24.1071 USD
USD 0.01 commonSale

12,792

24.1225 USD
USD 0.01 commonSale

16,643

24.1803 USD
USD 0.01 commonSale

20,050

23.8911 USD
USD 0.01 commonSale

21,367

24.1352 USD
USD 0.01 commonSale

22,187

24.0892 USD
USD 0.01 commonSale

25,818

24.1130 USD
USD 0.01 commonSale

26,500

24.1537 USD
USD 0.01 commonSale

32,959

24.2020 USD
USD 0.01 commonSale

33,920

24.1288 USD
USD 0.01 commonSale

82,501

24.1450 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

ClassProductWriting,NumberExerciseTypeExpiryOption
ofdescriptionpurchasing,ofpricedatemoney
relevantselling,securitiesper unitpaid/
securityvarying etcto whichreceived
optionper unit
relates
USD 0.01 commonCall OptionsPurchasing

100,000

24 USDAmerican20 Aug 20210.4250 USD
USD 0.01 commonCall OptionsPurchasing

200,000

24 USDAmerican20 Aug 20210.4374 USD
USD 0.01 commonCall OptionsPurchasing

50,000

25 USDAmerican20 Aug 20210.2500 USD
USD 0.01 commonCall OptionsSelling

100,000

24 USDAmerican20 Aug 20210.4250 USD

(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:

11 August 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 commonCall OptionsPurchased

50,000

25.0000

American20 Aug 2021
USD 0.01 commonCall OptionsPurchased

200,000

24.0000

American20 Aug 2021
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/20210811005411/en/

Copyright Business Wire 2021

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