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. |
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(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: |
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(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 | ||||
Interests | Short Positions | ||||
Number | (%) | Number | (%) | ||
(1) | Relevant securities owned | ||||
and/or controlled: | 1,521,695 | 0.26% | 343,855 | 0.06% | |
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(2) | Cash-settled derivatives: |
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168,836 | 0.03% | 1,279,498 | 0.22% | ||
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(3) | Stock-settled derivatives (including options) |
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and agreements to purchase/sell: | 500 | 0.00% | 2,100 | 0.00% | |
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(4) |
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TOTAL: | 1,691,031 | 0.29% | 1,625,453 | 0.28% | |
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% | |
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(2) | Cash-settled derivatives: |
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0 | 0.00% | 0 | 0.00% | ||
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(3) | Stock-settled derivatives (including options) |
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and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |
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(4) |
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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: |
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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 | 26.8350 USD |
USD 0.01 common | Purchase | 38 | 26.6936 USD |
USD 0.01 common | Purchase | 100 | 26.4350 USD |
USD 0.01 common | Purchase | 100 | 26.4400 USD |
USD 0.01 common | Purchase | 100 | 26.6400 USD |
USD 0.01 common | Purchase | 100 | 26.6500 USD |
USD 0.01 common | Purchase | 100 | 26.6300 USD |
USD 0.01 common | Purchase | 107 | 26.4431 USD |
USD 0.01 common | Purchase | 113 | 26.5600 USD |
USD 0.01 common | Purchase | 166 | 26.5959 USD |
USD 0.01 common | Purchase | 193 | 26.5940 USD |
USD 0.01 common | Purchase | 376 | 26.5800 USD |
USD 0.01 common | Purchase | 385 | 26.5242 USD |
USD 0.01 common | Purchase | 400 | 26.5300 USD |
USD 0.01 common | Purchase | 400 | 26.5312 USD |
USD 0.01 common | Purchase | 433 | 22.6722 EUR |
USD 0.01 common | Purchase | 459 | 26.5691 USD |
USD 0.01 common | Purchase | 488 | 26.5532 USD |
USD 0.01 common | Purchase | 500 | 26.5050 USD |
USD 0.01 common | Purchase | 521 | 26.5771 USD |
USD 0.01 common | Purchase | 585 | 26.7141 USD |
USD 0.01 common | Purchase | 600 | 26.5375 USD |
USD 0.01 common | Purchase | 600 | 26.5341 USD |
USD 0.01 common | Purchase | 656 | 26.5392 USD |
USD 0.01 common | Purchase | 704 | 26.5400 USD |
USD 0.01 common | Purchase | 800 | 26.5550 USD |
USD 0.01 common | Purchase | 824 | 26.7587 USD |
USD 0.01 common | Purchase | 828 | 26.6237 USD |
USD 0.01 common | Purchase | 992 | 26.6760 USD |
USD 0.01 common | Purchase | 1,200 | 26.5662 USD |
USD 0.01 common | Purchase | 1,736 | 26.5308 USD |
USD 0.01 common | Purchase | 1,834 | 26.4648 USD |
USD 0.01 common | Purchase | 2,139 | 26.6266 USD |
USD 0.01 common | Purchase | 2,274 | 26.5448 USD |
USD 0.01 common | Purchase | 2,500 | 26.6316 USD |
USD 0.01 common | Purchase | 2,571 | 26.6143 USD |
USD 0.01 common | Purchase | 2,842 | 26.5674 USD |
USD 0.01 common | Purchase | 3,307 | 26.5631 USD |
USD 0.01 common | Purchase | 3,489 | 26.5596 USD |
USD 0.01 common | Purchase | 3,964 | 26.5476 USD |
USD 0.01 common | Purchase | 4,350 | 26.5759 USD |
USD 0.01 common | Purchase | 4,537 | 26.5539 USD |
USD 0.01 common | Purchase | 4,754 | 26.5872 USD |
USD 0.01 common | Purchase | 5,140 | 26.5815 USD |
USD 0.01 common | Purchase | 5,464 | 26.7000 USD |
USD 0.01 common | Purchase | 6,786 | 26.5899 USD |
USD 0.01 common | Purchase | 8,134 | 26.5622 USD |
USD 0.01 common | Purchase | 8,770 | 26.5608 USD |
USD 0.01 common | Purchase | 8,839 | 26.5554 USD |
USD 0.01 common | Purchase | 9,135 | 26.6151 USD |
USD 0.01 common | Purchase | 9,316 | 26.6993 USD |
USD 0.01 common | Purchase | 9,629 | 26.6704 USD |
USD 0.01 common | Purchase | 10,194 | 26.6418 USD |
USD 0.01 common | Purchase | 10,674 | 26.5680 USD |
USD 0.01 common | Purchase | 11,524 | 26.6219 USD |
USD 0.01 common | Purchase | 12,318 | 26.5869 USD |
USD 0.01 common | Purchase | 13,886 | 26.6369 USD |
USD 0.01 common | Purchase | 14,707 | 26.6306 USD |
USD 0.01 common | Purchase | 17,402 | 26.6731 USD |
USD 0.01 common | Purchase | 18,587 | 26.6968 USD |
USD 0.01 common | Purchase | 44,220 | 26.6053 USD |
USD 0.01 common | Purchase | 90,746 | 26.6723 USD |
USD 0.01 common | Purchase | 112,599 | 26.6320 USD |
USD 0.01 common | Purchase | 172,952 | 26.6440 USD |
USD 0.01 common | Purchase | 257,056 | 26.5715 USD |
USD 0.01 common | Sale | 2 | 26.6200 USD |
USD 0.01 common | Sale | 2 | 26.4700 USD |
USD 0.01 common | Sale | 5 | 26.4440 USD |
USD 0.01 common | Sale | 6 | 26.5500 USD |
USD 0.01 common | Sale | 7 | 26.3971 USD |
USD 0.01 common | Sale | 9 | 26.5627 USD |
USD 0.01 common | Sale | 13 | 26.4950 USD |
USD 0.01 common | Sale | 22 | 26.5240 USD |
USD 0.01 common | Sale | 26 | 26.6544 USD |
USD 0.01 common | Sale | 26 | 26.6748 USD |
USD 0.01 common | Sale | 53 | 26.6496 USD |
USD 0.01 common | Sale | 69 | 26.6128 USD |
USD 0.01 common | Sale | 76 | 26.6505 USD |
USD 0.01 common | Sale | 100 | 26.7100 USD |
USD 0.01 common | Sale | 100 | 26.6650 USD |
USD 0.01 common | Sale | 100 | 26.6750 USD |
USD 0.01 common | Sale | 100 | 26.6800 USD |
USD 0.01 common | Sale | 100 | 26.6900 USD |
USD 0.01 common | Sale | 101 | 26.6941 USD |
USD 0.01 common | Sale | 134 | 26.5620 USD |
USD 0.01 common | Sale | 159 | 26.5486 USD |
USD 0.01 common | Sale | 166 | 26.6184 USD |
USD 0.01 common | Sale | 166 | 26.5668 USD |
USD 0.01 common | Sale | 200 | 26.6350 USD |
USD 0.01 common | Sale | 200 | 26.5850 USD |
USD 0.01 common | Sale | 200 | 26.6050 USD |
USD 0.01 common | Sale | 217 | 26.5725 USD |
USD 0.01 common | Sale | 231 | 26.5785 USD |
USD 0.01 common | Sale | 272 | 26.6641 USD |
USD 0.01 common | Sale | 300 | 26.6500 USD |
USD 0.01 common | Sale | 321 | 26.4674 USD |
USD 0.01 common | Sale | 334 | 26.6752 USD |
USD 0.01 common | Sale | 360 | 26.5419 USD |
USD 0.01 common | Sale | 400 | 26.6300 USD |
USD 0.01 common | Sale | 400 | 26.5975 USD |
USD 0.01 common | Sale | 419 | 26.5951 USD |
USD 0.01 common | Sale | 433 | 22.6722 EUR |
USD 0.01 common | Sale | 442 | 26.5320 USD |
USD 0.01 common | Sale | 467 | 26.6186 USD |
USD 0.01 common | Sale | 500 | 26.6660 USD |
USD 0.01 common | Sale | 528 | 26.6457 USD |
USD 0.01 common | Sale | 577 | 26.6757 USD |
USD 0.01 common | Sale | 600 | 26.5933 USD |
USD 0.01 common | Sale | 600 | 26.6850 USD |
USD 0.01 common | Sale | 730 | 26.6105 USD |
USD 0.01 common | Sale | 900 | 26.7233 USD |
USD 0.01 common | Sale | 1,000 | 26.7325 USD |
USD 0.01 common | Sale | 1,016 | 26.6406 USD |
USD 0.01 common | Sale | 1,063 | 26.5425 USD |
USD 0.01 common | Sale | 1,300 | 26.6180 USD |
USD 0.01 common | Sale | 1,400 | 26.6507 USD |
USD 0.01 common | Sale | 1,530 | 26.6575 USD |
USD 0.01 common | Sale | 1,600 | 26.7190 USD |
USD 0.01 common | Sale | 1,956 | 26.6139 USD |
USD 0.01 common | Sale | 2,022 | 26.5300 USD |
USD 0.01 common | Sale | 2,300 | 26.6317 USD |
USD 0.01 common | Sale | 2,525 | 26.6760 USD |
USD 0.01 common | Sale | 2,800 | 26.6475 USD |
USD 0.01 common | Sale | 2,885 | 26.5793 USD |
USD 0.01 common | Sale | 3,314 | 26.6359 USD |
USD 0.01 common | Sale | 3,359 | 26.5444 USD |
USD 0.01 common | Sale | 3,413 | 26.6626 USD |
USD 0.01 common | Sale | 3,916 | 26.7147 USD |
USD 0.01 common | Sale | 4,166 | 26.4945 USD |
USD 0.01 common | Sale | 5,450 | 26.6326 USD |
USD 0.01 common | Sale | 5,942 | 26.6125 USD |
USD 0.01 common | Sale | 5,959 | 26.6216 USD |
USD 0.01 common | Sale | 5,965 | 26.6161 USD |
USD 0.01 common | Sale | 6,732 | 26.6194 USD |
USD 0.01 common | Sale | 6,786 | 26.5899 USD |
USD 0.01 common | Sale | 8,436 | 26.6551 USD |
USD 0.01 common | Sale | 10,910 | 26.7000 USD |
USD 0.01 common | Sale | 12,595 | 26.6425 USD |
USD 0.01 common | Sale | 12,595 | 26.6151 USD |
USD 0.01 common | Sale | 16,510 | 26.5902 USD |
USD 0.01 common | Sale | 17,247 | 26.6993 USD |
USD 0.01 common | Sale | 19,438 | 26.6227 USD |
USD 0.01 common | Sale | 19,500 | 26.6719 USD |
USD 0.01 common | Sale | 19,868 | 26.5740 USD |
USD 0.01 common | Sale | 29,314 | 26.6172 USD |
USD 0.01 common | Sale | 111,004 | 26.6526 USD |
USD 0.01 common | Sale | 257,056 | 26.5715 USD |
USD 0.01 common | Sale | 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 |
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(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
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(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
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(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)
Class | Product | Writing, | Number | Exercise | Type | Expiry |
of | description | purchasing, | of | price | date | |
relevant | selling, | securities | per unit | |||
security | varying etc | to which | ||||
option | ||||||
relates | ||||||
USD 0.01 common | Call Options | Purchased | 500 | 27.0000 | American | 21 Jan 2022 |
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: |
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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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