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 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 |
27 Sept 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: | 1,479,470 |
0.25% |
458,542 |
0.08% |
||
(2) |
Cash-settled derivatives: | |||||
159,730 |
0.03% |
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: | 1,639,700 |
0.28% |
1,488,964 |
0.26% |
||
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% |
||
(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: |
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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 |
25.5200 USD | ||||
USD 0.01 common | Purchase | 5 |
25.8350 USD | ||||
USD 0.01 common | Purchase | 5 |
25.8500 USD | ||||
USD 0.01 common | Purchase | 7 |
25.7021 USD | ||||
USD 0.01 common | Purchase | 7 |
25.7678 USD | ||||
USD 0.01 common | Purchase | 17 |
25.8132 USD | ||||
USD 0.01 common | Purchase | 18 |
25.7077 USD | ||||
USD 0.01 common | Purchase | 18 |
25.6736 USD | ||||
USD 0.01 common | Purchase | 22 |
25.6800 USD | ||||
USD 0.01 common | Purchase | 27 |
25.6700 USD | ||||
USD 0.01 common | Purchase | 38 |
25.8200 USD | ||||
USD 0.01 common | Purchase | 49 |
25.6661 USD | ||||
USD 0.01 common | Purchase | 53 |
25.6326 USD | ||||
USD 0.01 common | Purchase | 61 |
25.6630 USD | ||||
USD 0.01 common | Purchase | 63 |
25.5400 USD | ||||
USD 0.01 common | Purchase | 100 |
25.7700 USD | ||||
USD 0.01 common | Purchase | 110 |
25.7365 USD | ||||
USD 0.01 common | Purchase | 113 |
25.6300 USD | ||||
USD 0.01 common | Purchase | 114 |
25.6435 USD | ||||
USD 0.01 common | Purchase | 143 |
21.9693 EUR | ||||
USD 0.01 common | Purchase | 199 |
25.8111 USD | ||||
USD 0.01 common | Purchase | 224 |
25.5300 USD | ||||
USD 0.01 common | Purchase | 300 |
25.6733 USD | ||||
USD 0.01 common | Purchase | 400 |
25.7350 USD | ||||
USD 0.01 common | Purchase | 441 |
25.7831 USD | ||||
USD 0.01 common | Purchase | 524 |
25.5493 USD | ||||
USD 0.01 common | Purchase | 568 |
25.5482 USD | ||||
USD 0.01 common | Purchase | 600 |
25.5466 USD | ||||
USD 0.01 common | Purchase | 643 |
25.7086 USD | ||||
USD 0.01 common | Purchase | 713 |
25.5500 USD | ||||
USD 0.01 common | Purchase | 800 |
25.8075 USD | ||||
USD 0.01 common | Purchase | 1,100 |
25.5272 USD | ||||
USD 0.01 common | Purchase | 1,100 |
25.5454 USD | ||||
USD 0.01 common | Purchase | 1,107 |
25.5498 USD | ||||
USD 0.01 common | Purchase | 1,192 |
25.5449 USD | ||||
USD 0.01 common | Purchase | 1,603 |
25.5432 USD | ||||
USD 0.01 common | Purchase | 1,624 |
25.5451 USD | ||||
USD 0.01 common | Purchase | 2,000 |
25.5470 USD | ||||
USD 0.01 common | Purchase | 2,296 |
25.7109 USD | ||||
USD 0.01 common | Purchase | 2,521 |
25.7104 USD | ||||
USD 0.01 common | Purchase | 3,015 |
25.5286 USD | ||||
USD 0.01 common | Purchase | 3,134 |
25.8121 USD | ||||
USD 0.01 common | Purchase | 3,800 |
25.8166 USD | ||||
USD 0.01 common | Purchase | 4,555 |
25.6844 USD | ||||
USD 0.01 common | Purchase | 5,468 |
25.7257 USD | ||||
USD 0.01 common | Purchase | 6,449 |
25.7642 USD | ||||
USD 0.01 common | Purchase | 6,752 |
25.8141 USD | ||||
USD 0.01 common | Purchase | 11,196 |
25.8065 USD | ||||
USD 0.01 common | Purchase | 11,742 |
25.5441 USD | ||||
USD 0.01 common | Purchase | 29,283 |
25.7467 USD | ||||
USD 0.01 common | Purchase | 31,433 |
25.7336 USD | ||||
USD 0.01 common | Purchase | 58,595 |
25.8085 USD | ||||
USD 0.01 common | Purchase | 63,772 |
25.8100 USD | ||||
USD 0.01 common | Sale | 61 |
25.8200 USD | ||||
USD 0.01 common | Sale | 63 |
25.5400 USD | ||||
USD 0.01 common | Sale | 100 |
25.7200 USD | ||||
USD 0.01 common | Sale | 100 |
25.5800 USD | ||||
USD 0.01 common | Sale | 100 |
25.8150 USD | ||||
USD 0.01 common | Sale | 110 |
25.8140 USD | ||||
USD 0.01 common | Sale | 119 |
25.8036 USD | ||||
USD 0.01 common | Sale | 121 |
25.8303 USD | ||||
USD 0.01 common | Sale | 124 |
25.8500 USD | ||||
USD 0.01 common | Sale | 127 |
25.5755 USD | ||||
USD 0.01 common | Sale | 143 |
21.9693 EUR | ||||
USD 0.01 common | Sale | 167 |
25.6958 USD | ||||
USD 0.01 common | Sale | 186 |
25.8210 USD | ||||
USD 0.01 common | Sale | 191 |
25.8013 USD | ||||
USD 0.01 common | Sale | 204 |
25.8083 USD | ||||
USD 0.01 common | Sale | 214 |
25.7906 USD | ||||
USD 0.01 common | Sale | 224 |
25.5300 USD | ||||
USD 0.01 common | Sale | 254 |
25.8193 USD | ||||
USD 0.01 common | Sale | 294 |
25.6504 USD | ||||
USD 0.01 common | Sale | 341 |
25.8031 USD | ||||
USD 0.01 common | Sale | 400 |
25.8050 USD | ||||
USD 0.01 common | Sale | 401 |
25.8096 USD | ||||
USD 0.01 common | Sale | 428 |
25.8154 USD | ||||
USD 0.01 common | Sale | 484 |
25.7761 USD | ||||
USD 0.01 common | Sale | 500 |
25.8040 USD | ||||
USD 0.01 common | Sale | 511 |
25.8118 USD | ||||
USD 0.01 common | Sale | 526 |
25.8395 USD | ||||
USD 0.01 common | Sale | 595 |
25.7993 USD | ||||
USD 0.01 common | Sale | 600 |
25.8000 USD | ||||
USD 0.01 common | Sale | 641 |
25.8179 USD | ||||
USD 0.01 common | Sale | 676 |
25.8275 USD | ||||
USD 0.01 common | Sale | 752 |
25.6811 USD | ||||
USD 0.01 common | Sale | 867 |
25.7503 USD | ||||
USD 0.01 common | Sale | 958 |
25.7087 USD | ||||
USD 0.01 common | Sale | 1,000 |
25.6871 USD | ||||
USD 0.01 common | Sale | 1,000 |
25.5250 USD | ||||
USD 0.01 common | Sale | 1,092 |
25.6937 USD | ||||
USD 0.01 common | Sale | 1,388 |
25.7951 USD | ||||
USD 0.01 common | Sale | 1,600 |
25.7837 USD | ||||
USD 0.01 common | Sale | 2,000 |
25.8089 USD | ||||
USD 0.01 common | Sale | 2,100 |
25.8014 USD | ||||
USD 0.01 common | Sale | 2,124 |
25.7643 USD | ||||
USD 0.01 common | Sale | 2,600 |
25.8104 USD | ||||
USD 0.01 common | Sale | 2,750 |
25.7109 USD | ||||
USD 0.01 common | Sale | 2,976 |
25.7393 USD | ||||
USD 0.01 common | Sale | 3,251 |
25.6979 USD | ||||
USD 0.01 common | Sale | 6,036 |
25.8061 USD | ||||
USD 0.01 common | Sale | 7,690 |
25.7698 USD | ||||
USD 0.01 common | Sale | 9,042 |
25.8300 USD | ||||
USD 0.01 common | Sale | 9,196 |
25.7650 USD | ||||
USD 0.01 common | Sale | 10,515 |
25.8102 USD | ||||
USD 0.01 common | Sale | 12,347 |
25.7664 USD | ||||
USD 0.01 common | Sale | 14,093 |
25.7343 USD | ||||
USD 0.01 common | Sale | 30,371 |
25.7424 USD | ||||
USD 0.01 common | Sale | 52,081 |
25.8100 USD | ||||
USD 0.01 common | Sale | 67,032 |
25.8082 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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|
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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 |
Date of disclosure: |
28 Sept 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.