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Pin to quick picksBarclays Regulatory News (BARC)

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Form 8.3 - NORTONLIFELOCK INC

26 Aug 2021 11:47

 

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

25 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:

1,521,695

0.26%

343,855

0.06%

 

(2)

Cash-settled derivatives:

 

168,836

0.03%

1,279,498

0.22%

 

(3)

Stock-settled derivatives (including options)

 

and agreements to purchase/sell:

500

0.00%

2,100

0.00%

 

(4)

 

TOTAL:

1,691,031

0.29%

1,625,453

0.28%

 
Class of relevant security:Convertible Bond US668771AA66
InterestsShort 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%

 

(4)

 

TOTAL:

136,000

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

1

26.8350 USD
USD 0.01 commonPurchase

38

26.6936 USD
USD 0.01 commonPurchase

100

26.4350 USD
USD 0.01 commonPurchase

100

26.4400 USD
USD 0.01 commonPurchase

100

26.6400 USD
USD 0.01 commonPurchase

100

26.6500 USD
USD 0.01 commonPurchase

100

26.6300 USD
USD 0.01 commonPurchase

107

26.4431 USD
USD 0.01 commonPurchase

113

26.5600 USD
USD 0.01 commonPurchase

166

26.5959 USD
USD 0.01 commonPurchase

193

26.5940 USD
USD 0.01 commonPurchase

376

26.5800 USD
USD 0.01 commonPurchase

385

26.5242 USD
USD 0.01 commonPurchase

400

26.5300 USD
USD 0.01 commonPurchase

400

26.5312 USD
USD 0.01 commonPurchase

433

22.6722 EUR
USD 0.01 commonPurchase

459

26.5691 USD
USD 0.01 commonPurchase

488

26.5532 USD
USD 0.01 commonPurchase

500

26.5050 USD
USD 0.01 commonPurchase

521

26.5771 USD
USD 0.01 commonPurchase

585

26.7141 USD
USD 0.01 commonPurchase

600

26.5375 USD
USD 0.01 commonPurchase

600

26.5341 USD
USD 0.01 commonPurchase

656

26.5392 USD
USD 0.01 commonPurchase

704

26.5400 USD
USD 0.01 commonPurchase

800

26.5550 USD
USD 0.01 commonPurchase

824

26.7587 USD
USD 0.01 commonPurchase

828

26.6237 USD
USD 0.01 commonPurchase

992

26.6760 USD
USD 0.01 commonPurchase

1,200

26.5662 USD
USD 0.01 commonPurchase

1,736

26.5308 USD
USD 0.01 commonPurchase

1,834

26.4648 USD
USD 0.01 commonPurchase

2,139

26.6266 USD
USD 0.01 commonPurchase

2,274

26.5448 USD
USD 0.01 commonPurchase

2,500

26.6316 USD
USD 0.01 commonPurchase

2,571

26.6143 USD
USD 0.01 commonPurchase

2,842

26.5674 USD
USD 0.01 commonPurchase

3,307

26.5631 USD
USD 0.01 commonPurchase

3,489

26.5596 USD
USD 0.01 commonPurchase

3,964

26.5476 USD
USD 0.01 commonPurchase

4,350

26.5759 USD
USD 0.01 commonPurchase

4,537

26.5539 USD
USD 0.01 commonPurchase

4,754

26.5872 USD
USD 0.01 commonPurchase

5,140

26.5815 USD
USD 0.01 commonPurchase

5,464

26.7000 USD
USD 0.01 commonPurchase

6,786

26.5899 USD
USD 0.01 commonPurchase

8,134

26.5622 USD
USD 0.01 commonPurchase

8,770

26.5608 USD
USD 0.01 commonPurchase

8,839

26.5554 USD
USD 0.01 commonPurchase

9,135

26.6151 USD
USD 0.01 commonPurchase

9,316

26.6993 USD
USD 0.01 commonPurchase

9,629

26.6704 USD
USD 0.01 commonPurchase

10,194

26.6418 USD
USD 0.01 commonPurchase

10,674

26.5680 USD
USD 0.01 commonPurchase

11,524

26.6219 USD
USD 0.01 commonPurchase

12,318

26.5869 USD
USD 0.01 commonPurchase

13,886

26.6369 USD
USD 0.01 commonPurchase

14,707

26.6306 USD
USD 0.01 commonPurchase

17,402

26.6731 USD
USD 0.01 commonPurchase

18,587

26.6968 USD
USD 0.01 commonPurchase

44,220

26.6053 USD
USD 0.01 commonPurchase

90,746

26.6723 USD
USD 0.01 commonPurchase

112,599

26.6320 USD
USD 0.01 commonPurchase

172,952

26.6440 USD
USD 0.01 commonPurchase

257,056

26.5715 USD
USD 0.01 commonSale

2

26.6200 USD
USD 0.01 commonSale

2

26.4700 USD
USD 0.01 commonSale

5

26.4440 USD
USD 0.01 commonSale

6

26.5500 USD
USD 0.01 commonSale

7

26.3971 USD
USD 0.01 commonSale

9

26.5627 USD
USD 0.01 commonSale

13

26.4950 USD
USD 0.01 commonSale

22

26.5240 USD
USD 0.01 commonSale

26

26.6544 USD
USD 0.01 commonSale

26

26.6748 USD
USD 0.01 commonSale

53

26.6496 USD
USD 0.01 commonSale

69

26.6128 USD
USD 0.01 commonSale

76

26.6505 USD
USD 0.01 commonSale

100

26.7100 USD
USD 0.01 commonSale

100

26.6650 USD
USD 0.01 commonSale

100

26.6750 USD
USD 0.01 commonSale

100

26.6800 USD
USD 0.01 commonSale

100

26.6900 USD
USD 0.01 commonSale

101

26.6941 USD
USD 0.01 commonSale

134

26.5620 USD
USD 0.01 commonSale

159

26.5486 USD
USD 0.01 commonSale

166

26.6184 USD
USD 0.01 commonSale

166

26.5668 USD
USD 0.01 commonSale

200

26.6350 USD
USD 0.01 commonSale

200

26.5850 USD
USD 0.01 commonSale

200

26.6050 USD
USD 0.01 commonSale

217

26.5725 USD
USD 0.01 commonSale

231

26.5785 USD
USD 0.01 commonSale

272

26.6641 USD
USD 0.01 commonSale

300

26.6500 USD
USD 0.01 commonSale

321

26.4674 USD
USD 0.01 commonSale

334

26.6752 USD
USD 0.01 commonSale

360

26.5419 USD
USD 0.01 commonSale

400

26.6300 USD
USD 0.01 commonSale

400

26.5975 USD
USD 0.01 commonSale

419

26.5951 USD
USD 0.01 commonSale

433

22.6722 EUR
USD 0.01 commonSale

442

26.5320 USD
USD 0.01 commonSale

467

26.6186 USD
USD 0.01 commonSale

500

26.6660 USD
USD 0.01 commonSale

528

26.6457 USD
USD 0.01 commonSale

577

26.6757 USD
USD 0.01 commonSale

600

26.5933 USD
USD 0.01 commonSale

600

26.6850 USD
USD 0.01 commonSale

730

26.6105 USD
USD 0.01 commonSale

900

26.7233 USD
USD 0.01 commonSale

1,000

26.7325 USD
USD 0.01 commonSale

1,016

26.6406 USD
USD 0.01 commonSale

1,063

26.5425 USD
USD 0.01 commonSale

1,300

26.6180 USD
USD 0.01 commonSale

1,400

26.6507 USD
USD 0.01 commonSale

1,530

26.6575 USD
USD 0.01 commonSale

1,600

26.7190 USD
USD 0.01 commonSale

1,956

26.6139 USD
USD 0.01 commonSale

2,022

26.5300 USD
USD 0.01 commonSale

2,300

26.6317 USD
USD 0.01 commonSale

2,525

26.6760 USD
USD 0.01 commonSale

2,800

26.6475 USD
USD 0.01 commonSale

2,885

26.5793 USD
USD 0.01 commonSale

3,314

26.6359 USD
USD 0.01 commonSale

3,359

26.5444 USD
USD 0.01 commonSale

3,413

26.6626 USD
USD 0.01 commonSale

3,916

26.7147 USD
USD 0.01 commonSale

4,166

26.4945 USD
USD 0.01 commonSale

5,450

26.6326 USD
USD 0.01 commonSale

5,942

26.6125 USD
USD 0.01 commonSale

5,959

26.6216 USD
USD 0.01 commonSale

5,965

26.6161 USD
USD 0.01 commonSale

6,732

26.6194 USD
USD 0.01 commonSale

6,786

26.5899 USD
USD 0.01 commonSale

8,436

26.6551 USD
USD 0.01 commonSale

10,910

26.7000 USD
USD 0.01 commonSale

12,595

26.6425 USD
USD 0.01 commonSale

12,595

26.6151 USD
USD 0.01 commonSale

16,510

26.5902 USD
USD 0.01 commonSale

17,247

26.6993 USD
USD 0.01 commonSale

19,438

26.6227 USD
USD 0.01 commonSale

19,500

26.6719 USD
USD 0.01 commonSale

19,868

26.5740 USD
USD 0.01 commonSale

29,314

26.6172 USD
USD 0.01 commonSale

111,004

26.6526 USD
USD 0.01 commonSale

257,056

26.5715 USD
USD 0.01 commonSale

290,000

26.5699 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:

26 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 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/20210826005389/en/

Copyright Business Wire 2021

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