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Pin to quick picksBarclays Regulatory News (BARC)

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Form 8.3 - NORTONLIFELOCK INC

19 Oct 2021 17:51

 

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

18 Oct 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:

1,545,006

0.27%

967,045

0.17%

 

(2)

Cash-settled derivatives:

655,267

0.11%

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:

2,200,773

0.38%

1,997,467

0.34%

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

(1)

Relevant securities owned
and/or controlled:

146,000

0.03%

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:

146,000

0.03%

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:

 

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

2

25.4900 USD
USD 0.01 commonPurchase

2

25.5000 USD
USD 0.01 commonPurchase

3

25.4833 USD
USD 0.01 commonPurchase

3

25.4866 USD
USD 0.01 commonPurchase

5

25.4380 USD
USD 0.01 commonPurchase

5

25.4660 USD
USD 0.01 commonPurchase

7

25.4685 USD
USD 0.01 commonPurchase

32

25.6556 USD
USD 0.01 commonPurchase

44

25.6381 USD
USD 0.01 commonPurchase

50

25.7089 USD
USD 0.01 commonPurchase

100

25.6450 USD
USD 0.01 commonPurchase

100

25.7050 USD
USD 0.01 commonPurchase

103

25.7229 USD
USD 0.01 commonPurchase

137

25.5800 USD
USD 0.01 commonPurchase

200

25.3500 USD
USD 0.01 commonPurchase

507

25.7215 USD
USD 0.01 commonPurchase

534

25.6994 USD
USD 0.01 commonPurchase

699

25.7238 USD
USD 0.01 commonPurchase

2,178

25.6112 USD
USD 0.01 commonPurchase

3,531

25.5926 USD
USD 0.01 commonPurchase

3,673

25.7191 USD
USD 0.01 commonPurchase

5,250

25.6107 USD
USD 0.01 commonPurchase

5,685

25.6154 USD
USD 0.01 commonPurchase

11,330

25.6890 USD
USD 0.01 commonPurchase

11,913

25.7200 USD
USD 0.01 commonPurchase

31,283

25.6526 USD
USD 0.01 commonPurchase

35,644

25.6822 USD
USD 0.01 commonPurchase

62,145

25.6558 USD
USD 0.01 commonPurchase

93,841

25.7187 USD
USD 0.01 commonSale

44

25.6381 USD
USD 0.01 commonSale

67

25.4686 USD
USD 0.01 commonSale

102

25.6900 USD
USD 0.01 commonSale

157

25.6668 USD
USD 0.01 commonSale

200

25.3500 USD
USD 0.01 commonSale

200

25.6950 USD
USD 0.01 commonSale

200

25.6675 USD
USD 0.01 commonSale

214

25.6416 USD
USD 0.01 commonSale

294

25.7036 USD
USD 0.01 commonSale

300

25.7100 USD
USD 0.01 commonSale

300

25.7016 USD
USD 0.01 commonSale

313

25.4361 USD
USD 0.01 commonSale

327

25.6503 USD
USD 0.01 commonSale

331

25.6570 USD
USD 0.01 commonSale

338

25.6300 USD
USD 0.01 commonSale

350

25.6214 USD
USD 0.01 commonSale

450

25.6058 USD
USD 0.01 commonSale

534

25.6994 USD
USD 0.01 commonSale

543

25.5690 USD
USD 0.01 commonSale

600

25.7233 USD
USD 0.01 commonSale

605

25.6318 USD
USD 0.01 commonSale

700

25.6050 USD
USD 0.01 commonSale

700

25.6078 USD
USD 0.01 commonSale

707

25.6800 USD
USD 0.01 commonSale

729

25.6255 USD
USD 0.01 commonSale

750

25.6449 USD
USD 0.01 commonSale

803

25.6466 USD
USD 0.01 commonSale

937

25.5800 USD
USD 0.01 commonSale

1,066

25.6377 USD
USD 0.01 commonSale

1,203

25.6390 USD
USD 0.01 commonSale

1,376

25.6331 USD
USD 0.01 commonSale

1,379

25.6768 USD
USD 0.01 commonSale

1,616

25.6284 USD
USD 0.01 commonSale

1,663

25.6371 USD
USD 0.01 commonSale

2,324

25.5911 USD
USD 0.01 commonSale

2,595

25.6123 USD
USD 0.01 commonSale

2,722

25.7026 USD
USD 0.01 commonSale

2,758

25.7022 USD
USD 0.01 commonSale

3,400

25.6132 USD
USD 0.01 commonSale

5,250

25.6107 USD
USD 0.01 commonSale

7,089

25.6100 USD
USD 0.01 commonSale

10,436

25.6867 USD
USD 0.01 commonSale

11,334

25.6401 USD
USD 0.01 commonSale

16,704

25.6317 USD
USD 0.01 commonSale

17,527

25.7200 USD
USD 0.01 commonSale

19,349

25.6631 USD
USD 0.01 commonSale

25,059

25.7023 USD
USD 0.01 commonSale

38,103

25.6659 USD
USD 0.01 commonSale

92,236

25.7195 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:

19 Oct 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/20211019006017/en/

Copyright Business Wire 2021

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