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Pin to quick picksBarclays Regulatory News (BARC)

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Form 8.3 - NORTONLIFELOCK INC

20 Sep 2021 13:30

 

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

17 September 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:

1,424,373

0.24%

598,607

0.10%

 

(2)

Cash-settled derivatives:

193,930

0.03%

1,028,322

0.18%

 

(3)

Stock-settled derivatives (including options)
and agreements to purchase/sell:

500

0.00%

2,100

0.00%

 

(4)

TOTAL:

1,618,803

0.28%

1,629,029

0.28%

 
Class of relevant security:Convertible Bond US668771AA66
InterestsShort Positions
Number(%)Number(%)

(1)

Relevant securities owned
and/or controlled:

141,000

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%

 

(4)

TOTAL:

141,000

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

3

25.7600 USD
USD 0.01 commonPurchase

4

25.7300 USD
USD 0.01 commonPurchase

6

25.7050 USD
USD 0.01 commonPurchase

7

25.8700 USD
USD 0.01 commonPurchase

7

25.7871 USD
USD 0.01 commonPurchase

8

25.6975 USD
USD 0.01 commonPurchase

8

25.7125 USD
USD 0.01 commonPurchase

8

25.7200 USD
USD 0.01 commonPurchase

9

25.7777 USD
USD 0.01 commonPurchase

10

25.7315 USD
USD 0.01 commonPurchase

11

25.7672 USD
USD 0.01 commonPurchase

24

25.7550 USD
USD 0.01 commonPurchase

25

25.7034 USD
USD 0.01 commonPurchase

26

25.7700 USD
USD 0.01 commonPurchase

28

25.7378 USD
USD 0.01 commonPurchase

30

25.7100 USD
USD 0.01 commonPurchase

30

25.7635 USD
USD 0.01 commonPurchase

36

25.7455 USD
USD 0.01 commonPurchase

42

25.7128 USD
USD 0.01 commonPurchase

43

25.7444 USD
USD 0.01 commonPurchase

46

25.7450 USD
USD 0.01 commonPurchase

48

25.7704 USD
USD 0.01 commonPurchase

54

25.7416 USD
USD 0.01 commonPurchase

63

25.8800 USD
USD 0.01 commonPurchase

100

25.7800 USD
USD 0.01 commonPurchase

154

22.0500 EUR
USD 0.01 commonPurchase

234

25.7475 USD
USD 0.01 commonPurchase

368

25.7275 USD
USD 0.01 commonPurchase

400

25.7537 USD
USD 0.01 commonPurchase

498

25.7131 USD
USD 0.01 commonPurchase

500

25.7020 USD
USD 0.01 commonPurchase

569

25.6986 USD
USD 0.01 commonPurchase

602

25.7000 USD
USD 0.01 commonPurchase

617

25.7002 USD
USD 0.01 commonPurchase

650

25.7905 USD
USD 0.01 commonPurchase

775

25.6951 USD
USD 0.01 commonPurchase

937

25.7435 USD
USD 0.01 commonPurchase

1,200

25.7183 USD
USD 0.01 commonPurchase

1,984

25.8203 USD
USD 0.01 commonPurchase

2,712

25.7103 USD
USD 0.01 commonPurchase

2,740

25.7596 USD
USD 0.01 commonPurchase

6,889

25.7247 USD
USD 0.01 commonPurchase

21,129

25.7587 USD
USD 0.01 commonPurchase

22,629

25.7607 USD
USD 0.01 commonPurchase

24,526

25.6941 USD
USD 0.01 commonPurchase

31,992

25.7161 USD
USD 0.01 commonPurchase

57,903

25.6900 USD
USD 0.01 commonPurchase

68,186

25.6897 USD
USD 0.01 commonPurchase

89,714

25.6911 USD
USD 0.01 commonPurchase

99,562

25.6945 USD
USD 0.01 commonPurchase

114,066

25.7217 USD
USD 0.01 commonSale

4

25.6975 USD
USD 0.01 commonSale

4

25.7525 USD
USD 0.01 commonSale

5

25.7550 USD
USD 0.01 commonSale

6

25.7466 USD
USD 0.01 commonSale

6

25.7800 USD
USD 0.01 commonSale

8

25.7025 USD
USD 0.01 commonSale

8

25.7400 USD
USD 0.01 commonSale

8

25.7050 USD
USD 0.01 commonSale

8

25.7700 USD
USD 0.01 commonSale

9

25.7600 USD
USD 0.01 commonSale

10

25.7060 USD
USD 0.01 commonSale

14

25.7485 USD
USD 0.01 commonSale

100

25.6700 USD
USD 0.01 commonSale

134

25.6800 USD
USD 0.01 commonSale

154

22.0500 EUR
USD 0.01 commonSale

196

25.7809 USD
USD 0.01 commonSale

200

25.8000 USD
USD 0.01 commonSale

200

25.7200 USD
USD 0.01 commonSale

202

25.7000 USD
USD 0.01 commonSale

202

25.7900 USD
USD 0.01 commonSale

261

25.7493 USD
USD 0.01 commonSale

366

25.6827 USD
USD 0.01 commonSale

440

25.7304 USD
USD 0.01 commonSale

516

25.6935 USD
USD 0.01 commonSale

599

25.8115 USD
USD 0.01 commonSale

800

25.7599 USD
USD 0.01 commonSale

1,645

25.7684 USD
USD 0.01 commonSale

1,984

25.8203 USD
USD 0.01 commonSale

2,589

25.7237 USD
USD 0.01 commonSale

3,148

25.8093 USD
USD 0.01 commonSale

8,089

25.7238 USD
USD 0.01 commonSale

20,112

25.6934 USD
USD 0.01 commonSale

20,335

25.6910 USD
USD 0.01 commonSale

21,429

25.7596 USD
USD 0.01 commonSale

23,714

25.7595 USD
USD 0.01 commonSale

31,132

25.6954 USD
USD 0.01 commonSale

35,895

25.7139 USD
USD 0.01 commonSale

41,217

25.6901 USD
USD 0.01 commonSale

60,191

25.6900 USD
USD 0.01 commonSale

67,386

25.6896 USD
USD 0.01 commonSale

99,562

25.6945 USD
USD 0.01 commonSale

110,110

25.7186 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

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

 

 

 

 

 

 

 

 

(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:

20 Sept 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)

Class

ProductWriting,NumberExerciseTypeExpiry

of

descriptionpurchasing,ofpricedate

relevant

selling,securitiesper unit

security

varying etcto which
option
relates
USD 0.01 commonCall OptionsPurchased

500

27.0000

American21 Jan 2022
USD 0.01 commonPut OptionsPurchased

-2,100

30.0000

American0 Jan 1900

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/20210920005535/en/

Copyright Business Wire 2021

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