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: | 07 December 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)
| Class of relevant security: | USD 0.01 common | |||||
| Interests | Short Positions | |||||
| Number | (%) | Number | (%) | |||
(1) |
Relevant securities owned | |||||
| and/or controlled: | 1,619,960 |
0.28% |
685,848 |
0.12% |
||
|
|
|
|
|||
(2) |
Cash-settled derivatives: |
|
|
|
|
|
386,198 |
0.07% |
1,513,168 |
0.26% |
|||
|
|
|
|
|||
(3) |
Stock-settled derivatives (including options) |
|
|
|
|
|
| and agreements to purchase/sell: | 0 |
0.00% |
2,100 |
0.00% |
||
|
|
|
|
|||
|
|
|
|
|||
| TOTAL: | 2,006,158 |
0.34% |
2,201,116 |
0.38% |
||
| Class of relevant security: | Convertible Bond US668771AA66 | |||||
| Interests | Short Positions | |||||
| Number | (%) | Number | (%) | |||
(1) |
Relevant securities owned | |||||
| and/or controlled: | 386,000 |
0.07% |
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: | 386,000 |
0.07% |
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 |
12 |
24.7950 USD |
||||
USD 0.01 common |
Purchase |
43 |
24.7350 USD |
||||
USD 0.01 common |
Purchase |
57 |
24.5500 USD |
||||
USD 0.01 common |
Purchase |
78 |
24.8800 USD |
||||
USD 0.01 common |
Purchase |
99 |
24.5404 USD |
||||
USD 0.01 common |
Purchase |
100 |
24.5400 USD |
||||
USD 0.01 common |
Purchase |
113 |
21.8950 EUR |
||||
USD 0.01 common |
Purchase |
292 |
24.5057 USD |
||||
USD 0.01 common |
Purchase |
323 |
24.5690 USD |
||||
USD 0.01 common |
Purchase |
400 |
24.5700 USD |
||||
USD 0.01 common |
Purchase |
434 |
24.6042 USD |
||||
USD 0.01 common |
Purchase |
518 |
24.5959 USD |
||||
USD 0.01 common |
Purchase |
725 |
24.6608 USD |
||||
USD 0.01 common |
Purchase |
1,372 |
24.6189 USD |
||||
USD 0.01 common |
Purchase |
1,700 |
24.6721 USD |
||||
USD 0.01 common |
Purchase |
1,776 |
24.6400 USD |
||||
USD 0.01 common |
Purchase |
1,996 |
24.6395 USD |
||||
USD 0.01 common |
Purchase |
2,203 |
24.5707 USD |
||||
USD 0.01 common |
Purchase |
2,453 |
24.6013 USD |
||||
USD 0.01 common |
Purchase |
3,439 |
24.5997 USD |
||||
USD 0.01 common |
Purchase |
3,703 |
24.5982 USD |
||||
USD 0.01 common |
Purchase |
3,967 |
24.6141 USD |
||||
USD 0.01 common |
Purchase |
4,264 |
24.5965 USD |
||||
USD 0.01 common |
Purchase |
4,519 |
24.5905 USD |
||||
USD 0.01 common |
Purchase |
4,559 |
24.6027 USD |
||||
USD 0.01 common |
Purchase |
4,766 |
24.7627 USD |
||||
USD 0.01 common |
Purchase |
4,940 |
24.6355 USD |
||||
USD 0.01 common |
Purchase |
5,062 |
24.6216 USD |
||||
USD 0.01 common |
Purchase |
5,121 |
24.6220 USD |
||||
USD 0.01 common |
Purchase |
5,258 |
24.6011 USD |
||||
USD 0.01 common |
Purchase |
5,462 |
24.6538 USD |
||||
USD 0.01 common |
Purchase |
5,643 |
24.6219 USD |
||||
USD 0.01 common |
Purchase |
5,896 |
24.7126 USD |
||||
USD 0.01 common |
Purchase |
6,096 |
24.6462 USD |
||||
USD 0.01 common |
Purchase |
6,470 |
24.6109 USD |
||||
USD 0.01 common |
Purchase |
6,554 |
24.6289 USD |
||||
USD 0.01 common |
Purchase |
6,754 |
24.6205 USD |
||||
USD 0.01 common |
Purchase |
7,530 |
24.6281 USD |
||||
USD 0.01 common |
Purchase |
7,630 |
24.6475 USD |
||||
USD 0.01 common |
Purchase |
9,709 |
24.5658 USD |
||||
USD 0.01 common |
Purchase |
13,433 |
24.6531 USD |
||||
USD 0.01 common |
Purchase |
14,158 |
24.6576 USD |
||||
USD 0.01 common |
Purchase |
16,853 |
24.7340 USD |
||||
USD 0.01 common |
Purchase |
19,139 |
24.6415 USD |
||||
USD 0.01 common |
Purchase |
20,204 |
24.5785 USD |
||||
USD 0.01 common |
Purchase |
41,333 |
24.7400 USD |
||||
USD 0.01 common |
Purchase |
45,873 |
24.6391 USD |
||||
USD 0.01 common |
Purchase |
56,592 |
24.7080 USD |
||||
USD 0.01 common |
Purchase |
72,381 |
24.6147 USD |
||||
USD 0.01 common |
Purchase |
80,984 |
24.7378 USD |
||||
USD 0.01 common |
Purchase |
126,000 |
24.7298 USD |
||||
USD 0.01 common |
Purchase |
249,045 |
24.7228 USD |
||||
USD 0.01 common |
Purchase |
455,274 |
24.6864 USD |
||||
USD 0.01 common |
Sale |
1 |
24.6300 USD |
||||
USD 0.01 common |
Sale |
11 |
24.5400 USD |
||||
USD 0.01 common |
Sale |
22 |
24.6150 USD |
||||
USD 0.01 common |
Sale |
33 |
24.5766 USD |
||||
USD 0.01 common |
Sale |
33 |
24.5500 USD |
||||
USD 0.01 common |
Sale |
33 |
24.5600 USD |
||||
USD 0.01 common |
Sale |
54 |
24.6993 USD |
||||
USD 0.01 common |
Sale |
55 |
24.5560 USD |
||||
USD 0.01 common |
Sale |
66 |
24.5550 USD |
||||
USD 0.01 common |
Sale |
100 |
24.5900 USD |
||||
USD 0.01 common |
Sale |
113 |
21.8950 EUR |
||||
USD 0.01 common |
Sale |
283 |
24.7153 USD |
||||
USD 0.01 common |
Sale |
292 |
24.5057 USD |
||||
USD 0.01 common |
Sale |
300 |
24.5966 USD |
||||
USD 0.01 common |
Sale |
300 |
24.7866 USD |
||||
USD 0.01 common |
Sale |
300 |
24.5800 USD |
||||
USD 0.01 common |
Sale |
400 |
24.5700 USD |
||||
USD 0.01 common |
Sale |
600 |
24.6441 USD |
||||
USD 0.01 common |
Sale |
600 |
24.7683 USD |
||||
USD 0.01 common |
Sale |
609 |
24.6195 USD |
||||
USD 0.01 common |
Sale |
700 |
24.5992 USD |
||||
USD 0.01 common |
Sale |
700 |
24.7071 USD |
||||
USD 0.01 common |
Sale |
900 |
24.5661 USD |
||||
USD 0.01 common |
Sale |
1,000 |
24.6844 USD |
||||
USD 0.01 common |
Sale |
1,003 |
24.7049 USD |
||||
USD 0.01 common |
Sale |
1,011 |
24.6434 USD |
||||
USD 0.01 common |
Sale |
1,100 |
24.6868 USD |
||||
USD 0.01 common |
Sale |
1,391 |
24.5253 USD |
||||
USD 0.01 common |
Sale |
1,489 |
24.6724 USD |
||||
USD 0.01 common |
Sale |
1,529 |
24.7507 USD |
||||
USD 0.01 common |
Sale |
1,640 |
24.5885 USD |
||||
USD 0.01 common |
Sale |
1,776 |
24.6400 USD |
||||
USD 0.01 common |
Sale |
2,103 |
24.6573 USD |
||||
USD 0.01 common |
Sale |
2,584 |
24.7744 USD |
||||
USD 0.01 common |
Sale |
3,242 |
24.6994 USD |
||||
USD 0.01 common |
Sale |
3,359 |
24.6516 USD |
||||
USD 0.01 common |
Sale |
4,666 |
24.7641 USD |
||||
USD 0.01 common |
Sale |
6,150 |
24.7093 USD |
||||
USD 0.01 common |
Sale |
7,247 |
24.7342 USD |
||||
USD 0.01 common |
Sale |
8,451 |
24.6652 USD |
||||
USD 0.01 common |
Sale |
9,354 |
24.6368 USD |
||||
USD 0.01 common |
Sale |
10,544 |
24.7400 USD |
||||
USD 0.01 common |
Sale |
12,676 |
24.7275 USD |
||||
USD 0.01 common |
Sale |
17,009 |
24.7322 USD |
||||
USD 0.01 common |
Sale |
101,289 |
24.7371 USD |
||||
USD 0.01 common |
Sale |
105,422 |
24.6027 USD |
||||
USD 0.01 common |
Sale |
155,000 |
24.6436 USD |
||||
USD 0.01 common |
Sale |
187,200 |
24.7521 USD |
||||
USD 0.01 common |
Sale |
230,837 |
24.6871 USD |
||||
USD 0.01 common |
Sale |
455,274 |
24.6864 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 |
|
|
|
|
|
(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 |
|
|
|
|
|
|
|
|
(ii) Exercise
Class of relevant security |
Product description e.g. call option |
Exercising/ exercised against |
Number of securities |
Exercise price per unit |
|
|
|
|
|
(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) |
|
|
|
|
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: | 8 Dec 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
| 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 |
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.