LONDON--(BUSINESS WIRE)--
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: | 20 July 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: | 1,891,996 |
0.33% |
183,630 |
0.03% |
|
|
|
|
|
||
(2) |
Cash-settled derivatives: |
|
|
|
|
24,339 |
0.00% |
1,279,498 |
0.22% |
||
|
|
|
|
||
(3) |
Stock-settled derivatives (including options) |
|
|
|
|
| and agreements to purchase/sell: | 500 |
0.00% |
2,100 |
0.00% |
|
|
|
|
|
||
|
|
|
|
||
| TOTAL: | 1,916,835 |
0.33% |
1,465,228 |
0.25% |
|
| Class of relevant security: | Convertible Bond US668771AA66 | ||||
| Interests | Short Positions | ||||
| Number | (%) | Number | (%) | ||
(1) |
Relevant securities owned | ||||
| and/or controlled: | 129,000 |
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: | 129,000 |
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: |
|
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 |
100 |
26.0250 USD |
USD 0.01 common |
Purchase |
100 |
25.8600 USD |
USD 0.01 common |
Purchase |
200 |
25.8000 USD |
USD 0.01 common |
Purchase |
200 |
25.9000 USD |
USD 0.01 common |
Purchase |
200 |
25.8550 USD |
USD 0.01 common |
Purchase |
200 |
25.8150 USD |
USD 0.01 common |
Purchase |
243 |
26.0241 USD |
USD 0.01 common |
Purchase |
300 |
25.8700 USD |
USD 0.01 common |
Purchase |
500 |
25.8460 USD |
USD 0.01 common |
Purchase |
503 |
25.9494 USD |
USD 0.01 common |
Purchase |
546 |
25.8570 USD |
USD 0.01 common |
Purchase |
600 |
26.0283 USD |
USD 0.01 common |
Purchase |
830 |
25.8500 USD |
USD 0.01 common |
Purchase |
1,124 |
25.8504 USD |
USD 0.01 common |
Purchase |
1,406 |
25.8714 USD |
USD 0.01 common |
Purchase |
1,740 |
25.8478 USD |
USD 0.01 common |
Purchase |
1,816 |
25.8475 USD |
USD 0.01 common |
Purchase |
1,988 |
25.9025 USD |
USD 0.01 common |
Purchase |
2,122 |
25.8495 USD |
USD 0.01 common |
Purchase |
2,382 |
25.9442 USD |
USD 0.01 common |
Purchase |
3,421 |
26.1000 USD |
USD 0.01 common |
Purchase |
4,144 |
25.8740 USD |
USD 0.01 common |
Purchase |
4,581 |
25.9080 USD |
USD 0.01 common |
Purchase |
5,468 |
25.8697 USD |
USD 0.01 common |
Purchase |
5,712 |
25.9132 USD |
USD 0.01 common |
Purchase |
5,940 |
25.8064 USD |
USD 0.01 common |
Purchase |
7,457 |
25.8505 USD |
USD 0.01 common |
Purchase |
7,736 |
25.8119 USD |
USD 0.01 common |
Purchase |
8,664 |
25.8085 USD |
USD 0.01 common |
Purchase |
8,708 |
25.8634 USD |
USD 0.01 common |
Purchase |
9,256 |
25.8783 USD |
USD 0.01 common |
Purchase |
12,343 |
25.8668 USD |
USD 0.01 common |
Purchase |
20,831 |
25.8140 USD |
USD 0.01 common |
Purchase |
22,962 |
25.9018 USD |
USD 0.01 common |
Purchase |
56,980 |
25.8324 USD |
USD 0.01 common |
Purchase |
84,424 |
25.8100 USD |
USD 0.01 common |
Purchase |
143,005 |
25.8464 USD |
USD 0.01 common |
Sale |
2 |
26.0500 USD |
USD 0.01 common |
Sale |
6 |
25.9450 USD |
USD 0.01 common |
Sale |
12 |
25.9150 USD |
USD 0.01 common |
Sale |
36 |
25.9075 USD |
USD 0.01 common |
Sale |
39 |
25.9246 USD |
USD 0.01 common |
Sale |
57 |
25.9442 USD |
USD 0.01 common |
Sale |
69 |
25.9443 USD |
USD 0.01 common |
Sale |
70 |
25.8600 USD |
USD 0.01 common |
Sale |
74 |
25.9562 USD |
USD 0.01 common |
Sale |
78 |
25.9957 USD |
USD 0.01 common |
Sale |
82 |
25.8500 USD |
USD 0.01 common |
Sale |
127 |
25.8477 USD |
USD 0.01 common |
Sale |
138 |
25.8027 USD |
USD 0.01 common |
Sale |
176 |
25.9168 USD |
USD 0.01 common |
Sale |
199 |
25.9600 USD |
USD 0.01 common |
Sale |
200 |
25.9800 USD |
USD 0.01 common |
Sale |
221 |
25.9219 USD |
USD 0.01 common |
Sale |
300 |
25.9300 USD |
USD 0.01 common |
Sale |
300 |
25.8700 USD |
USD 0.01 common |
Sale |
300 |
25.9500 USD |
USD 0.01 common |
Sale |
323 |
25.9546 USD |
USD 0.01 common |
Sale |
403 |
25.9716 USD |
USD 0.01 common |
Sale |
425 |
25.9744 USD |
USD 0.01 common |
Sale |
476 |
25.8566 USD |
USD 0.01 common |
Sale |
500 |
25.9720 USD |
USD 0.01 common |
Sale |
554 |
25.9978 USD |
USD 0.01 common |
Sale |
600 |
25.9400 USD |
USD 0.01 common |
Sale |
600 |
26.0283 USD |
USD 0.01 common |
Sale |
611 |
25.8883 USD |
USD 0.01 common |
Sale |
700 |
25.9728 USD |
USD 0.01 common |
Sale |
1,299 |
25.8055 USD |
USD 0.01 common |
Sale |
1,380 |
25.8058 USD |
USD 0.01 common |
Sale |
1,491 |
25.8288 USD |
USD 0.01 common |
Sale |
1,543 |
25.9872 USD |
USD 0.01 common |
Sale |
1,589 |
25.8691 USD |
USD 0.01 common |
Sale |
1,637 |
25.9953 USD |
USD 0.01 common |
Sale |
1,716 |
26.0132 USD |
USD 0.01 common |
Sale |
2,002 |
25.9803 USD |
USD 0.01 common |
Sale |
2,076 |
25.8382 USD |
USD 0.01 common |
Sale |
2,082 |
25.9434 USD |
USD 0.01 common |
Sale |
3,435 |
26.0988 USD |
USD 0.01 common |
Sale |
3,584 |
25.8966 USD |
USD 0.01 common |
Sale |
3,939 |
25.9824 USD |
USD 0.01 common |
Sale |
4,868 |
25.8611 USD |
USD 0.01 common |
Sale |
5,705 |
25.9209 USD |
USD 0.01 common |
Sale |
5,940 |
25.8064 USD |
USD 0.01 common |
Sale |
10,258 |
25.8417 USD |
USD 0.01 common |
Sale |
11,342 |
25.9325 USD |
USD 0.01 common |
Sale |
18,555 |
25.8617 USD |
USD 0.01 common |
Sale |
21,174 |
25.8174 USD |
USD 0.01 common |
Sale |
56,980 |
25.8324 USD |
USD 0.01 common |
Sale |
88,150 |
25.8100 USD |
USD 0.01 common |
Sale |
169,906 |
25.8496 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 |
|
|
|
|
|
|
|
|
(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: | 21 Jul 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 | |||||
| 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: |
|
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.