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. |
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| (b) | Owner or controller of interest and short |
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| positions disclosed, if different from 1(a): | |||||||
| (c) | Name of offeror/offeree in relation to whose | NORTONLIFELOCK INC |
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| relevant securities this form relates: | |||||||
| (d) | If an exempt fund manager connected with an |
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| offeror/offeree, state this and specify identity of | |||||||
| offeror/offeree: | |||||||
| (e) | Date position held/dealing undertaken: | 24 September 2021 |
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| (f) | In addition to the company in 1(c) above, is the discloser making | YES: |
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| disclosures in respect of any other party to the offer? | AVAST PLC |
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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 |
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Number |
(%) |
Number |
(%) |
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(1) |
Relevant securities owned |
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|
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| and/or controlled: | 1,476,045 |
0.25% |
525,289 |
0.09% |
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|
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(2) |
Cash-settled derivatives: |
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|
|
|
217,930 |
0.04% |
1,028,322 |
0.18% |
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|
|
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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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|
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| TOTAL: | 1,694,475 |
0.29% |
1,555,711 |
0.27% |
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| Class of relevant security: | Convertible Bond US668771AA66 | |||||
| Interests | Short Positions | |||||
| Number | (%) | Number | (%) | |||
(1) |
Relevant securities owned | |||||
| and/or controlled: | 146,000 |
0.03% |
0 |
0.00% |
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|
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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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|
|
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| and agreements to purchase/sell: | 0 |
0.00% |
0 |
0.00% |
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|
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|
|
|
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| TOTAL: | 146,000 |
0.03% |
0 |
0.00% |
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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 |
2 |
25.7350 USD |
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| USD 0.01 common | Purchase |
2 |
25.7450 USD |
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| USD 0.01 common | Purchase |
4 |
25.7625 USD |
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| USD 0.01 common | Purchase |
6 |
25.7333 USD |
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| USD 0.01 common | Purchase |
6 |
25.7316 USD |
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| USD 0.01 common | Purchase |
10 |
25.7270 USD |
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| USD 0.01 common | Purchase |
11 |
25.7200 USD |
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| USD 0.01 common | Purchase |
11 |
25.7100 USD |
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| USD 0.01 common | Purchase |
12 |
25.7950 USD |
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| USD 0.01 common | Purchase |
12 |
25.7700 USD |
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| USD 0.01 common | Purchase |
15 |
21.9200 EUR |
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| USD 0.01 common | Purchase |
18 |
25.7655 USD |
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| USD 0.01 common | Purchase |
22 |
25.6950 USD |
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| USD 0.01 common | Purchase |
24 |
25.8125 USD |
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| USD 0.01 common | Purchase |
36 |
25.8300 USD |
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| USD 0.01 common | Purchase |
48 |
25.8025 USD |
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| USD 0.01 common | Purchase |
62 |
25.7946 USD |
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| USD 0.01 common | Purchase |
68 |
25.7300 USD |
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| USD 0.01 common | Purchase |
72 |
25.8066 USD |
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| USD 0.01 common | Purchase |
84 |
25.8214 USD |
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| USD 0.01 common | Purchase |
132 |
25.8418 USD |
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| USD 0.01 common | Purchase |
181 |
25.8074 USD |
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| USD 0.01 common | Purchase |
195 |
25.7600 USD |
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| USD 0.01 common | Purchase |
200 |
25.7900 USD |
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| USD 0.01 common | Purchase |
508 |
25.8191 USD |
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| USD 0.01 common | Purchase |
566 |
25.8115 USD |
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| USD 0.01 common | Purchase |
676 |
25.7543 USD |
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| USD 0.01 common | Purchase |
724 |
21.4445 EUR |
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| USD 0.01 common | Purchase |
885 |
25.7969 USD |
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| USD 0.01 common | Purchase |
1,168 |
25.7710 USD |
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| USD 0.01 common | Purchase |
1,351 |
25.8192 USD |
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| USD 0.01 common | Purchase |
2,223 |
25.8200 USD |
||||
| USD 0.01 common | Purchase |
2,609 |
25.7762 USD |
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| USD 0.01 common | Purchase |
2,860 |
25.7845 USD |
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| USD 0.01 common | Purchase |
2,943 |
25.7654 USD |
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| USD 0.01 common | Purchase |
4,500 |
25.7451 USD |
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| USD 0.01 common | Purchase |
4,937 |
25.8187 USD |
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| USD 0.01 common | Purchase |
5,840 |
25.7949 USD |
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| USD 0.01 common | Purchase |
7,797 |
25.6863 USD |
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| USD 0.01 common | Purchase |
8,000 |
25.8042 USD |
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| USD 0.01 common | Purchase |
9,607 |
25.8014 USD |
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| USD 0.01 common | Purchase |
16,108 |
25.7966 USD |
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| USD 0.01 common | Purchase |
53,098 |
25.8167 USD |
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| USD 0.01 common | Purchase |
97,477 |
25.8040 USD |
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| USD 0.01 common | Sale |
1 |
25.7000 USD |
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| USD 0.01 common | Sale |
4 |
25.7375 USD |
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| USD 0.01 common | Sale |
6 |
25.7233 USD |
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| USD 0.01 common | Sale |
7 |
25.7514 USD |
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| USD 0.01 common | Sale |
15 |
21.9200 EUR |
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| USD 0.01 common | Sale |
16 |
25.7306 USD |
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| USD 0.01 common | Sale |
21 |
25.8300 USD |
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| USD 0.01 common | Sale |
30 |
25.8420 USD |
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| USD 0.01 common | Sale |
41 |
25.7765 USD |
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| USD 0.01 common | Sale |
81 |
25.7575 USD |
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| USD 0.01 common | Sale |
100 |
25.8150 USD |
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| USD 0.01 common | Sale |
100 |
25.7900 USD |
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| USD 0.01 common | Sale |
100 |
25.7500 USD |
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| USD 0.01 common | Sale |
111 |
25.7090 USD |
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| USD 0.01 common | Sale |
120 |
25.8000 USD |
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| USD 0.01 common | Sale |
145 |
25.8400 USD |
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| USD 0.01 common | Sale |
200 |
25.7750 USD |
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| USD 0.01 common | Sale |
208 |
25.7687 USD |
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| USD 0.01 common | Sale |
208 |
25.7987 USD |
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| USD 0.01 common | Sale |
208 |
25.7775 USD |
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| USD 0.01 common | Sale |
209 |
25.8072 USD |
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| USD 0.01 common | Sale |
234 |
25.7933 USD |
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| USD 0.01 common | Sale |
234 |
25.7911 USD |
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| USD 0.01 common | Sale |
252 |
25.7875 USD |
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| USD 0.01 common | Sale |
286 |
25.7881 USD |
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| USD 0.01 common | Sale |
312 |
25.8175 USD |
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| USD 0.01 common | Sale |
393 |
25.8023 USD |
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| USD 0.01 common | Sale |
409 |
25.7939 USD |
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| USD 0.01 common | Sale |
494 |
25.7942 USD |
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| USD 0.01 common | Sale |
543 |
25.8360 USD |
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| USD 0.01 common | Sale |
561 |
25.8221 USD |
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| USD 0.01 common | Sale |
566 |
25.8115 USD |
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| USD 0.01 common | Sale |
724 |
21.4445 EUR |
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| USD 0.01 common | Sale |
732 |
25.8100 USD |
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| USD 0.01 common | Sale |
775 |
25.8087 USD |
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| USD 0.01 common | Sale |
788 |
25.5946 USD |
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| USD 0.01 common | Sale |
806 |
25.7935 USD |
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| USD 0.01 common | Sale |
847 |
25.7419 USD |
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| USD 0.01 common | Sale |
974 |
25.8330 USD |
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| USD 0.01 common | Sale |
995 |
25.8104 USD |
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| USD 0.01 common | Sale |
1,368 |
25.7738 USD |
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| USD 0.01 common | Sale |
1,531 |
25.7879 USD |
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| USD 0.01 common | Sale |
2,151 |
25.5548 USD |
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| USD 0.01 common | Sale |
2,429 |
25.8095 USD |
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| USD 0.01 common | Sale |
2,435 |
25.7964 USD |
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| USD 0.01 common | Sale |
2,936 |
25.8386 USD |
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| USD 0.01 common | Sale |
3,199 |
25.8228 USD |
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| USD 0.01 common | Sale |
3,684 |
25.7692 USD |
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| USD 0.01 common | Sale |
4,464 |
25.7450 USD |
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| USD 0.01 common | Sale |
4,576 |
25.8118 USD |
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| USD 0.01 common | Sale |
5,761 |
25.7368 USD |
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| USD 0.01 common | Sale |
7,065 |
25.8022 USD |
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| USD 0.01 common | Sale |
8,271 |
25.8171 USD |
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| USD 0.01 common | Sale |
8,652 |
25.7921 USD |
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| USD 0.01 common | Sale |
9,698 |
25.8200 USD |
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| USD 0.01 common | Sale |
10,071 |
25.8057 USD |
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| USD 0.01 common | Sale |
14,485 |
25.7963 USD |
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| USD 0.01 common | Sale |
17,499 |
25.8214 USD |
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| USD 0.01 common | Sale |
52,598 |
25.8199 USD |
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| USD 0.01 common | Sale |
55,249 |
25.7932 USD |
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(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
|
(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 |
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| Date of disclosure: | 27 Sep 2021 |
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| Contact name: | Large Holdings Regulatory Operations |
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| 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 |
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|
|
|
option |
|
|
|
|
|
|
|
relates |
|
|
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|
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.