Last checked at 16 Aug 2021 11:35
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: | 13 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: | 1,680,380 | 0.29% | 448,291 | 0.08% | |
(2) | Cash-settled derivatives: | ||||
88,801 | 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: | 2,031,081 | 0.35% | 1,741,289 | 0.30% | |
| 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: |
|
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 | 1 | 26.0800 USD |
USD 0.01 common | Purchase | 16 | 26.2150 USD |
USD 0.01 common | Purchase | 24 | 26.3025 USD |
USD 0.01 common | Purchase | 27 | 26.2029 USD |
USD 0.01 common | Purchase | 38 | 26.2326 USD |
USD 0.01 common | Purchase | 48 | 26.1562 USD |
USD 0.01 common | Purchase | 51 | 22.4550 EUR |
USD 0.01 common | Purchase | 57 | 26.2360 USD |
USD 0.01 common | Purchase | 70 | 26.2497 USD |
USD 0.01 common | Purchase | 90 | 26.2354 USD |
USD 0.01 common | Purchase | 100 | 25.9300 USD |
USD 0.01 common | Purchase | 100 | 26.3150 USD |
USD 0.01 common | Purchase | 104 | 26.3469 USD |
USD 0.01 common | Purchase | 124 | 26.2700 USD |
USD 0.01 common | Purchase | 138 | 26.2589 USD |
USD 0.01 common | Purchase | 200 | 26.3700 USD |
USD 0.01 common | Purchase | 200 | 26.1350 USD |
USD 0.01 common | Purchase | 201 | 26.0599 USD |
USD 0.01 common | Purchase | 205 | 26.0682 USD |
USD 0.01 common | Purchase | 400 | 26.0200 USD |
USD 0.01 common | Purchase | 500 | 26.0660 USD |
USD 0.01 common | Purchase | 500 | 25.9700 USD |
USD 0.01 common | Purchase | 500 | 26.0000 USD |
USD 0.01 common | Purchase | 600 | 26.3633 USD |
USD 0.01 common | Purchase | 678 | 26.3778 USD |
USD 0.01 common | Purchase | 696 | 26.2600 USD |
USD 0.01 common | Purchase | 700 | 26.2942 USD |
USD 0.01 common | Purchase | 800 | 26.0606 USD |
USD 0.01 common | Purchase | 854 | 26.3117 USD |
USD 0.01 common | Purchase | 900 | 26.0511 USD |
USD 0.01 common | Purchase | 1,271 | 26.1884 USD |
USD 0.01 common | Purchase | 1,304 | 26.3492 USD |
USD 0.01 common | Purchase | 1,437 | 26.0443 USD |
USD 0.01 common | Purchase | 1,500 | 26.3500 USD |
USD 0.01 common | Purchase | 1,546 | 26.2550 USD |
USD 0.01 common | Purchase | 1,681 | 26.2918 USD |
USD 0.01 common | Purchase | 1,750 | 26.0658 USD |
USD 0.01 common | Purchase | 3,268 | 26.2900 USD |
USD 0.01 common | Purchase | 3,361 | 26.0749 USD |
USD 0.01 common | Purchase | 3,900 | 26.2311 USD |
USD 0.01 common | Purchase | 4,454 | 26.2585 USD |
USD 0.01 common | Purchase | 4,562 | 26.0453 USD |
USD 0.01 common | Purchase | 5,510 | 26.0919 USD |
USD 0.01 common | Purchase | 5,900 | 26.2300 USD |
USD 0.01 common | Purchase | 6,844 | 26.3114 USD |
USD 0.01 common | Purchase | 7,144 | 26.3131 USD |
USD 0.01 common | Purchase | 7,458 | 26.2993 USD |
USD 0.01 common | Purchase | 7,914 | 26.2821 USD |
USD 0.01 common | Purchase | 8,448 | 26.2952 USD |
USD 0.01 common | Purchase | 9,668 | 26.2552 USD |
USD 0.01 common | Purchase | 11,292 | 26.2912 USD |
USD 0.01 common | Purchase | 11,375 | 26.2975 USD |
USD 0.01 common | Purchase | 11,704 | 26.1930 USD |
USD 0.01 common | Purchase | 11,886 | 26.2470 USD |
USD 0.01 common | Purchase | 14,123 | 26.2783 USD |
USD 0.01 common | Purchase | 14,583 | 26.0283 USD |
USD 0.01 common | Purchase | 15,336 | 26.2684 USD |
USD 0.01 common | Purchase | 15,913 | 26.2832 USD |
USD 0.01 common | Purchase | 17,997 | 26.2343 USD |
USD 0.01 common | Purchase | 19,407 | 26.0595 USD |
USD 0.01 common | Purchase | 29,336 | 26.2820 USD |
USD 0.01 common | Purchase | 30,683 | 26.2811 USD |
USD 0.01 common | Purchase | 57,208 | 26.0496 USD |
USD 0.01 common | Purchase | 72,502 | 26.2560 USD |
USD 0.01 common | Purchase | 79,927 | 26.2836 USD |
USD 0.01 common | Purchase | 156,493 | 26.2903 USD |
USD 0.01 common | Purchase | 322,876 | 26.0923 USD |
USD 0.01 common | Sale | 4 | 26.3800 USD |
USD 0.01 common | Sale | 8 | 26.2700 USD |
USD 0.01 common | Sale | 12 | 26.2716 USD |
USD 0.01 common | Sale | 16 | 26.3225 USD |
USD 0.01 common | Sale | 16 | 26.2812 USD |
USD 0.01 common | Sale | 28 | 26.2742 USD |
USD 0.01 common | Sale | 51 | 22.4550 EUR |
USD 0.01 common | Sale | 83 | 26.2844 USD |
USD 0.01 common | Sale | 100 | 26.3050 USD |
USD 0.01 common | Sale | 100 | 26.3500 USD |
USD 0.01 common | Sale | 100 | 26.3550 USD |
USD 0.01 common | Sale | 100 | 26.2050 USD |
USD 0.01 common | Sale | 104 | 26.2750 USD |
USD 0.01 common | Sale | 116 | 26.1762 USD |
USD 0.01 common | Sale | 162 | 26.2100 USD |
USD 0.01 common | Sale | 166 | 26.2200 USD |
USD 0.01 common | Sale | 200 | 26.3575 USD |
USD 0.01 common | Sale | 200 | 26.1300 USD |
USD 0.01 common | Sale | 250 | 26.3590 USD |
USD 0.01 common | Sale | 290 | 26.2123 USD |
USD 0.01 common | Sale | 323 | 26.2078 USD |
USD 0.01 common | Sale | 400 | 26.3125 USD |
USD 0.01 common | Sale | 404 | 26.0600 USD |
USD 0.01 common | Sale | 432 | 26.2532 USD |
USD 0.01 common | Sale | 500 | 26.3600 USD |
USD 0.01 common | Sale | 500 | 26.0200 USD |
USD 0.01 common | Sale | 597 | 26.4000 USD |
USD 0.01 common | Sale | 600 | 26.2233 USD |
USD 0.01 common | Sale | 608 | 26.2855 USD |
USD 0.01 common | Sale | 694 | 26.2724 USD |
USD 0.01 common | Sale | 700 | 26.3128 USD |
USD 0.01 common | Sale | 790 | 26.2904 USD |
USD 0.01 common | Sale | 837 | 26.2943 USD |
USD 0.01 common | Sale | 860 | 26.2884 USD |
USD 0.01 common | Sale | 975 | 26.2655 USD |
USD 0.01 common | Sale | 987 | 26.2601 USD |
USD 0.01 common | Sale | 1,100 | 26.2600 USD |
USD 0.01 common | Sale | 1,397 | 26.2996 USD |
USD 0.01 common | Sale | 1,446 | 26.2776 USD |
USD 0.01 common | Sale | 1,701 | 26.2960 USD |
USD 0.01 common | Sale | 1,800 | 26.3152 USD |
USD 0.01 common | Sale | 1,908 | 26.3297 USD |
USD 0.01 common | Sale | 2,285 | 26.2748 USD |
USD 0.01 common | Sale | 2,873 | 26.2413 USD |
USD 0.01 common | Sale | 3,183 | 26.2760 USD |
USD 0.01 common | Sale | 3,260 | 26.2900 USD |
USD 0.01 common | Sale | 4,203 | 26.2773 USD |
USD 0.01 common | Sale | 4,559 | 26.3298 USD |
USD 0.01 common | Sale | 4,890 | 26.2576 USD |
USD 0.01 common | Sale | 5,502 | 26.2947 USD |
USD 0.01 common | Sale | 5,707 | 26.3117 USD |
USD 0.01 common | Sale | 5,800 | 26.2300 USD |
USD 0.01 common | Sale | 6,321 | 26.2796 USD |
USD 0.01 common | Sale | 7,458 | 26.2993 USD |
USD 0.01 common | Sale | 7,628 | 26.3037 USD |
USD 0.01 common | Sale | 8,100 | 25.9784 USD |
USD 0.01 common | Sale | 9,768 | 26.2550 USD |
USD 0.01 common | Sale | 10,652 | 26.3046 USD |
USD 0.01 common | Sale | 11,671 | 26.2801 USD |
USD 0.01 common | Sale | 14,127 | 26.2308 USD |
USD 0.01 common | Sale | 14,271 | 26.1896 USD |
USD 0.01 common | Sale | 16,026 | 26.2875 USD |
USD 0.01 common | Sale | 29,656 | 26.2923 USD |
USD 0.01 common | Sale | 32,400 | 26.2830 USD |
USD 0.01 common | Sale | 37,943 | 26.2758 USD |
USD 0.01 common | Sale | 322,876 | 26.0923 USD |
USD 0.01 common | Sale | 412,317 | 26.0841 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 | 901 | 26.3425 USD |
USD 0.01 common | SWAP | Long | 1,802 | 26.1817 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: | 16 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 |
|
|
|
|
|
| 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: |
|
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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