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: | 16 September 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)
| Interests | Short Positions | |||||
| Number | (%) | Number | (%) | |||
(1) |
Relevant securities owned |
|
|
|
|
|
| and/or controlled: | 1,434,759 |
0.25% |
552,869 |
0.10% |
||
|
|
|
|
|||
(2) |
Cash-settled derivatives: |
|
|
|
|
|
226,930 |
0.04% |
1,028,322 |
0.18% |
|||
|
|
|
|
|||
(3) |
Stock-settled derivatives (including options) |
|
|
|
|
|
| and agreements to purchase/sell: | 500 |
0.00% |
2,100 |
0.00% |
||
|
|
|
|
|||
|
|
|
|
|||
| TOTAL: | 1,662,189 |
0.29% |
1,583,291 |
0.27% |
||
|
|
|
|
|||
| Class of relevant security: | Convertible Bond US668771AA66 | |||||
| Interests | Short Positions | |||||
| Number | (%) | Number | (%) | |||
(1) |
Relevant securities owned |
|
|
|
|
|
| and/or controlled: | 141,000 |
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: | 141,000 |
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 |
5 |
26.0700 USD |
||||
USD 0.01 common |
Purchase |
10 |
26.1400 USD |
||||
USD 0.01 common |
Purchase |
100 |
26.1364 USD |
||||
USD 0.01 common |
Purchase |
100 |
26.0050 USD |
||||
USD 0.01 common |
Purchase |
200 |
26.1150 USD |
||||
USD 0.01 common |
Purchase |
316 |
26.0260 USD |
||||
USD 0.01 common |
Purchase |
670 |
26.0227 USD |
||||
USD 0.01 common |
Purchase |
900 |
25.9777 USD |
||||
USD 0.01 common |
Purchase |
1,046 |
26.0703 USD |
||||
USD 0.01 common |
Purchase |
1,263 |
25.9944 USD |
||||
USD 0.01 common |
Purchase |
1,349 |
25.9702 USD |
||||
USD 0.01 common |
Purchase |
1,699 |
26.1000 USD |
||||
USD 0.01 common |
Purchase |
2,403 |
26.0330 USD |
||||
USD 0.01 common |
Purchase |
3,415 |
26.0982 USD |
||||
USD 0.01 common |
Purchase |
4,122 |
25.9968 USD |
||||
USD 0.01 common |
Purchase |
4,425 |
26.0035 USD |
||||
USD 0.01 common |
Purchase |
4,938 |
25.9962 USD |
||||
USD 0.01 common |
Purchase |
6,040 |
26.0891 USD |
||||
USD 0.01 common |
Purchase |
7,108 |
25.9217 USD |
||||
USD 0.01 common |
Purchase |
10,888 |
26.0649 USD |
||||
USD 0.01 common |
Purchase |
11,943 |
26.0672 USD |
||||
USD 0.01 common |
Purchase |
24,341 |
26.0911 USD |
||||
USD 0.01 common |
Purchase |
25,613 |
25.9500 USD |
||||
USD 0.01 common |
Purchase |
64,349 |
25.9200 USD |
||||
USD 0.01 common |
Purchase |
92,435 |
25.9499 USD |
||||
USD 0.01 common |
Sale |
8 |
25.9700 USD |
||||
USD 0.01 common |
Sale |
9 |
26.0900 USD |
||||
USD 0.01 common |
Sale |
10 |
26.1400 USD |
||||
USD 0.01 common |
Sale |
10 |
26.2500 USD |
||||
USD 0.01 common |
Sale |
50 |
26.1300 USD |
||||
USD 0.01 common |
Sale |
74 |
25.9397 USD |
||||
USD 0.01 common |
Sale |
100 |
26.1150 USD |
||||
USD 0.01 common |
Sale |
100 |
26.0550 USD |
||||
USD 0.01 common |
Sale |
100 |
25.9900 USD |
||||
USD 0.01 common |
Sale |
105 |
25.9250 USD |
||||
USD 0.01 common |
Sale |
190 |
26.0573 USD |
||||
USD 0.01 common |
Sale |
200 |
26.0475 USD |
||||
USD 0.01 common |
Sale |
224 |
26.0825 USD |
||||
USD 0.01 common |
Sale |
343 |
26.0837 USD |
||||
USD 0.01 common |
Sale |
385 |
26.0948 USD |
||||
USD 0.01 common |
Sale |
400 |
26.0725 USD |
||||
USD 0.01 common |
Sale |
400 |
26.1037 USD |
||||
USD 0.01 common |
Sale |
405 |
26.0700 USD |
||||
USD 0.01 common |
Sale |
462 |
25.9581 USD |
||||
USD 0.01 common |
Sale |
531 |
25.9842 USD |
||||
USD 0.01 common |
Sale |
699 |
26.0857 USD |
||||
USD 0.01 common |
Sale |
750 |
25.9573 USD |
||||
USD 0.01 common |
Sale |
969 |
25.9480 USD |
||||
USD 0.01 common |
Sale |
1,046 |
26.0703 USD |
||||
USD 0.01 common |
Sale |
1,055 |
26.0842 USD |
||||
USD 0.01 common |
Sale |
1,070 |
25.9596 USD |
||||
USD 0.01 common |
Sale |
1,073 |
25.9668 USD |
||||
USD 0.01 common |
Sale |
1,082 |
25.9798 USD |
||||
USD 0.01 common |
Sale |
1,100 |
26.0809 USD |
||||
USD 0.01 common |
Sale |
1,291 |
25.9681 USD |
||||
USD 0.01 common |
Sale |
1,373 |
25.9816 USD |
||||
USD 0.01 common |
Sale |
1,412 |
26.0132 USD |
||||
USD 0.01 common |
Sale |
1,446 |
25.9398 USD |
||||
USD 0.01 common |
Sale |
1,612 |
25.9303 USD |
||||
USD 0.01 common |
Sale |
1,829 |
26.0768 USD |
||||
USD 0.01 common |
Sale |
2,219 |
26.0798 USD |
||||
USD 0.01 common |
Sale |
2,349 |
26.0071 USD |
||||
USD 0.01 common |
Sale |
3,217 |
26.0993 USD |
||||
USD 0.01 common |
Sale |
3,320 |
26.0012 USD |
||||
USD 0.01 common |
Sale |
3,623 |
26.0956 USD |
||||
USD 0.01 common |
Sale |
8,435 |
26.0617 USD |
||||
USD 0.01 common |
Sale |
10,053 |
25.9314 USD |
||||
USD 0.01 common |
Sale |
18,961 |
26.0907 USD |
||||
USD 0.01 common |
Sale |
19,501 |
26.0355 USD |
||||
USD 0.01 common |
Sale |
39,513 |
26.1000 USD |
||||
USD 0.01 common |
Sale |
70,555 |
25.9200 USD |
||||
USD 0.01 common |
Sale |
100,006 |
25.9521 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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|
|
|
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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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|
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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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|
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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: | 17 Sep 2021 | ||||||
| Contact name: | Large Holdings Regulatory Operations | ||||||
| Telephone number: | 020 3134 7213 |
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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. | ||||||
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.