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 |
18 Oct 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: | 1,545,006 |
0.27% |
967,045 |
0.17% |
||
(2) |
Cash-settled derivatives: | |||||
655,267 |
0.11% |
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: | 2,200,773 |
0.38% |
1,997,467 |
0.34% |
||
| 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 | 2 |
25.4900 USD | ||||
| USD 0.01 common | Purchase | 2 |
25.5000 USD | ||||
| USD 0.01 common | Purchase | 3 |
25.4833 USD | ||||
| USD 0.01 common | Purchase | 3 |
25.4866 USD | ||||
| USD 0.01 common | Purchase | 5 |
25.4380 USD | ||||
| USD 0.01 common | Purchase | 5 |
25.4660 USD | ||||
| USD 0.01 common | Purchase | 7 |
25.4685 USD | ||||
| USD 0.01 common | Purchase | 32 |
25.6556 USD | ||||
| USD 0.01 common | Purchase | 44 |
25.6381 USD | ||||
| USD 0.01 common | Purchase | 50 |
25.7089 USD | ||||
| USD 0.01 common | Purchase | 100 |
25.6450 USD | ||||
| USD 0.01 common | Purchase | 100 |
25.7050 USD | ||||
| USD 0.01 common | Purchase | 103 |
25.7229 USD | ||||
| USD 0.01 common | Purchase | 137 |
25.5800 USD | ||||
| USD 0.01 common | Purchase | 200 |
25.3500 USD | ||||
| USD 0.01 common | Purchase | 507 |
25.7215 USD | ||||
| USD 0.01 common | Purchase | 534 |
25.6994 USD | ||||
| USD 0.01 common | Purchase | 699 |
25.7238 USD | ||||
| USD 0.01 common | Purchase | 2,178 |
25.6112 USD | ||||
| USD 0.01 common | Purchase | 3,531 |
25.5926 USD | ||||
| USD 0.01 common | Purchase | 3,673 |
25.7191 USD | ||||
| USD 0.01 common | Purchase | 5,250 |
25.6107 USD | ||||
| USD 0.01 common | Purchase | 5,685 |
25.6154 USD | ||||
| USD 0.01 common | Purchase | 11,330 |
25.6890 USD | ||||
| USD 0.01 common | Purchase | 11,913 |
25.7200 USD | ||||
| USD 0.01 common | Purchase | 31,283 |
25.6526 USD | ||||
| USD 0.01 common | Purchase | 35,644 |
25.6822 USD | ||||
| USD 0.01 common | Purchase | 62,145 |
25.6558 USD | ||||
| USD 0.01 common | Purchase | 93,841 |
25.7187 USD | ||||
| USD 0.01 common | Sale | 44 |
25.6381 USD | ||||
| USD 0.01 common | Sale | 67 |
25.4686 USD | ||||
| USD 0.01 common | Sale | 102 |
25.6900 USD | ||||
| USD 0.01 common | Sale | 157 |
25.6668 USD | ||||
| USD 0.01 common | Sale | 200 |
25.3500 USD | ||||
| USD 0.01 common | Sale | 200 |
25.6950 USD | ||||
| USD 0.01 common | Sale | 200 |
25.6675 USD | ||||
| USD 0.01 common | Sale | 214 |
25.6416 USD | ||||
| USD 0.01 common | Sale | 294 |
25.7036 USD | ||||
| USD 0.01 common | Sale | 300 |
25.7100 USD | ||||
| USD 0.01 common | Sale | 300 |
25.7016 USD | ||||
| USD 0.01 common | Sale | 313 |
25.4361 USD | ||||
| USD 0.01 common | Sale | 327 |
25.6503 USD | ||||
| USD 0.01 common | Sale | 331 |
25.6570 USD | ||||
| USD 0.01 common | Sale | 338 |
25.6300 USD | ||||
| USD 0.01 common | Sale | 350 |
25.6214 USD | ||||
| USD 0.01 common | Sale | 450 |
25.6058 USD | ||||
| USD 0.01 common | Sale | 534 |
25.6994 USD | ||||
| USD 0.01 common | Sale | 543 |
25.5690 USD | ||||
| USD 0.01 common | Sale | 600 |
25.7233 USD | ||||
| USD 0.01 common | Sale | 605 |
25.6318 USD | ||||
| USD 0.01 common | Sale | 700 |
25.6050 USD | ||||
| USD 0.01 common | Sale | 700 |
25.6078 USD | ||||
| USD 0.01 common | Sale | 707 |
25.6800 USD | ||||
| USD 0.01 common | Sale | 729 |
25.6255 USD | ||||
| USD 0.01 common | Sale | 750 |
25.6449 USD | ||||
| USD 0.01 common | Sale | 803 |
25.6466 USD | ||||
| USD 0.01 common | Sale | 937 |
25.5800 USD | ||||
| USD 0.01 common | Sale | 1,066 |
25.6377 USD | ||||
| USD 0.01 common | Sale | 1,203 |
25.6390 USD | ||||
| USD 0.01 common | Sale | 1,376 |
25.6331 USD | ||||
| USD 0.01 common | Sale | 1,379 |
25.6768 USD | ||||
| USD 0.01 common | Sale | 1,616 |
25.6284 USD | ||||
| USD 0.01 common | Sale | 1,663 |
25.6371 USD | ||||
| USD 0.01 common | Sale | 2,324 |
25.5911 USD | ||||
| USD 0.01 common | Sale | 2,595 |
25.6123 USD | ||||
| USD 0.01 common | Sale | 2,722 |
25.7026 USD | ||||
| USD 0.01 common | Sale | 2,758 |
25.7022 USD | ||||
| USD 0.01 common | Sale | 3,400 |
25.6132 USD | ||||
| USD 0.01 common | Sale | 5,250 |
25.6107 USD | ||||
| USD 0.01 common | Sale | 7,089 |
25.6100 USD | ||||
| USD 0.01 common | Sale | 10,436 |
25.6867 USD | ||||
| USD 0.01 common | Sale | 11,334 |
25.6401 USD | ||||
| USD 0.01 common | Sale | 16,704 |
25.6317 USD | ||||
| USD 0.01 common | Sale | 17,527 |
25.7200 USD | ||||
| USD 0.01 common | Sale | 19,349 |
25.6631 USD | ||||
| USD 0.01 common | Sale | 25,059 |
25.7023 USD | ||||
| USD 0.01 common | Sale | 38,103 |
25.6659 USD | ||||
| USD 0.01 common | Sale | 92,236 |
25.7195 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: |
19 Oct 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.