LONDON--(BUSINESS WIRE)--
FORM 8.3 Amendment to Sale and Purchase
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: | 26 November 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 |
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Interests |
Short Positions |
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Number |
(%) |
Number |
(%) |
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(1) |
Relevant securities owned |
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| and/or controlled: | 1,679,725 |
0.29% |
927,687 |
0.16% |
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(2) |
Cash-settled derivatives: |
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635,572 |
0.11% |
1,310,292 |
0.23% |
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(3) |
Stock-settled derivatives (including options) |
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| and agreements to purchase/sell: | 0 |
0.00% |
2,100 |
0.00% |
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| TOTAL: | 2,315,297 |
0.40% |
2,240,079 |
0.39% |
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| Class of relevant security: | Convertible Bond US668771AA66 |
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Interests |
Short Positions |
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Number |
(%) |
Number |
(%) |
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(1) |
Relevant securities owned |
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| and/or controlled: | 378,000 |
0.06% |
0 |
0.00% |
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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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| and agreements to purchase/sell: | 0 |
0.00% |
0 |
0.00% |
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| TOTAL: | 378,000 |
0.06% |
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 |
1 |
25.1400 USD |
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USD 0.01 common |
Purchase |
3 |
25.1433 USD |
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USD 0.01 common |
Purchase |
4 |
25.0300 USD |
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USD 0.01 common |
Purchase |
6 |
25.0700 USD |
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USD 0.01 common |
Purchase |
8 |
25.0937 USD |
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USD 0.01 common |
Purchase |
9 |
24.9725 USD |
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USD 0.01 common |
Purchase |
9 |
25.0966 USD |
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USD 0.01 common |
Purchase |
10 |
25.0870 USD |
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USD 0.01 common |
Purchase |
12 |
25.0475 USD |
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USD 0.01 common |
Purchase |
21 |
25.0271 USD |
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USD 0.01 common |
Purchase |
22 |
24.9763 USD |
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USD 0.01 common |
Purchase |
110 |
25.0653 USD |
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USD 0.01 common |
Purchase |
110 |
25.0514 USD |
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USD 0.01 common |
Purchase |
122 |
25.1500 USD |
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USD 0.01 common |
Purchase |
162 |
24.9761 USD |
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USD 0.01 common |
Purchase |
200 |
25.0825 USD |
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USD 0.01 common |
Purchase |
204 |
25.1100 USD |
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USD 0.01 common |
Purchase |
238 |
25.0400 USD |
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USD 0.01 common |
Purchase |
288 |
22.1364 EUR |
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USD 0.01 common |
Purchase |
302 |
25.0927 USD |
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USD 0.01 common |
Purchase |
802 |
25.0360 USD |
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USD 0.01 common |
Purchase |
1,100 |
25.1081 USD |
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USD 0.01 common |
Purchase |
1,378 |
25.0096 USD |
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USD 0.01 common |
Purchase |
2,898 |
25.0906 USD |
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USD 0.01 common |
Purchase |
4,531 |
25.0205 USD |
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USD 0.01 common |
Purchase |
4,801 |
25.0973 USD |
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USD 0.01 common |
Purchase |
6,469 |
25.0530 USD |
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USD 0.01 common |
Purchase |
17,499 |
24.9898 USD |
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USD 0.01 common |
Purchase |
24,601 |
24.9902 USD |
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USD 0.01 common |
Purchase |
33,189 |
24.9991 USD |
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USD 0.01 common |
Purchase |
35,172 |
24.9872 USD |
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USD 0.01 common |
Purchase |
38,363 |
25.0910 USD |
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USD 0.01 common |
Purchase |
72,145 |
24.9900 USD |
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USD 0.01 common |
Sale |
1 |
25.0900 USD |
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USD 0.01 common |
Sale |
2 |
25.0000 USD |
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USD 0.01 common |
Sale |
2 |
25.0650 USD |
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USD 0.01 common |
Sale |
3 |
25.0733 USD |
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USD 0.01 common |
Sale |
3 |
25.0700 USD |
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USD 0.01 common |
Sale |
5 |
25.0380 USD |
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USD 0.01 common |
Sale |
6 |
25.0350 USD |
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USD 0.01 common |
Sale |
6 |
25.0533 USD |
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USD 0.01 common |
Sale |
6 |
25.0600 USD |
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USD 0.01 common |
Sale |
6 |
25.0716 USD |
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USD 0.01 common |
Sale |
6 |
25.1016 USD |
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USD 0.01 common |
Sale |
7 |
25.0678 USD |
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USD 0.01 common |
Sale |
9 |
25.0433 USD |
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USD 0.01 common |
Sale |
9 |
24.9725 USD |
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USD 0.01 common |
Sale |
9 |
25.0822 USD |
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USD 0.01 common |
Sale |
9 |
25.0100 USD |
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USD 0.01 common |
Sale |
11 |
25.0536 USD |
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USD 0.01 common |
Sale |
12 |
25.0441 USD |
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USD 0.01 common |
Sale |
12 |
25.0458 USD |
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USD 0.01 common |
Sale |
13 |
25.1038 USD |
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USD 0.01 common |
Sale |
14 |
25.0460 USD |
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USD 0.01 common |
Sale |
14 |
25.0625 USD |
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USD 0.01 common |
Sale |
30 |
25.0590 USD |
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USD 0.01 common |
Sale |
31 |
25.0654 USD |
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USD 0.01 common |
Sale |
49 |
25.0411 USD |
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USD 0.01 common |
Sale |
80 |
25.0776 USD |
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USD 0.01 common |
Sale |
100 |
25.0400 USD |
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USD 0.01 common |
Sale |
110 |
25.0513 USD |
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USD 0.01 common |
Sale |
111 |
25.0691 USD |
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USD 0.01 common |
Sale |
133 |
25.0448 USD |
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USD 0.01 common |
Sale |
166 |
25.0826 USD |
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USD 0.01 common |
Sale |
200 |
25.0270 USD |
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USD 0.01 common |
Sale |
209 |
25.0371 USD |
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USD 0.01 common |
Sale |
222 |
25.0463 USD |
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USD 0.01 common |
Sale |
230 |
25.0581 USD |
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USD 0.01 common |
Sale |
263 |
25.0683 USD |
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USD 0.01 common |
Sale |
281 |
25.0615 USD |
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USD 0.01 common |
Sale |
286 |
25.0490 USD |
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USD 0.01 common |
Sale |
288 |
22.1364 EUR |
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USD 0.01 common |
Sale |
296 |
25.0520 USD |
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USD 0.01 common |
Sale |
356 |
25.0343 USD |
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USD 0.01 common |
Sale |
402 |
25.0150 USD |
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USD 0.01 common |
Sale |
1,090 |
25.0262 USD |
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USD 0.01 common |
Sale |
1,596 |
25.1347 USD |
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USD 0.01 common |
Sale |
1,697 |
25.1034 USD |
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USD 0.01 common |
Sale |
1,778 |
25.0904 USD |
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USD 0.01 common |
Sale |
1,837 |
25.1100 USD |
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USD 0.01 common |
Sale |
2,806 |
25.0414 USD |
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USD 0.01 common |
Sale |
3,223 |
25.1019 USD |
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USD 0.01 common |
Sale |
4,618 |
25.1012 USD |
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USD 0.01 common |
Sale |
5,499 |
25.0787 USD |
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USD 0.01 common |
Sale |
12,377 |
25.1047 USD |
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USD 0.01 common |
Sale |
14,662 |
25.0813 USD |
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USD 0.01 common |
Sale |
15,494 |
25.0461 USD |
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USD 0.01 common |
Sale |
17,499 |
24.9898 USD |
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USD 0.01 common |
Sale |
24,827 |
24.9757 USD |
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USD 0.01 common |
Sale |
35,151 |
24.9872 USD |
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USD 0.01 common |
Sale |
96,636 |
24.9900 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
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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: | 30 Nov 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. |
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| are being disclosed: | |||||||
| Name of offeror/offeree in relation to whose | NORTONLIFELOCK INC |
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| relevant securities this from relates: | |||||||
2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)
Class |
|
Product |
Writing, |
Number |
Exercise |
Type |
Expiry |
of |
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description |
purchasing, |
of |
price |
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date |
relevant |
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selling, |
securities |
per unit |
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security |
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varying etc |
to which |
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option |
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relates |
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USD 0.01 common |
Put Options |
Purchased |
-2,100 |
30.0000 |
American |
21 Jan 2022 |
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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.