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: | 18 January 2022 |
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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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| and/or controlled: | 1,293,189 |
0.22% |
574,469 |
0.10% |
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(2) |
Cash-settled derivatives: |
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471,830 |
0.08% |
1,513,170 |
0.26% |
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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: | 1,765,019 |
0.30% |
2,089,739 |
0.36% |
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| Class of relevant security: | Convertible Bond US668771AA66 | |||||
Interests |
Short Positions |
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Number |
(%) |
Number |
(%) |
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(1) |
Relevant securities owned |
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| and/or controlled: | 390,000 |
0.07% |
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: | 390,000 |
0.07% |
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 |
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Number of |
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Price per unit |
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| security |
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|
securities |
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| USD 0.01 common | Purchase |
10 |
26.8400 USD |
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| USD 0.01 common | Purchase |
10 |
26.7700 USD |
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| USD 0.01 common | Purchase |
13 |
23.2500 EUR |
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| USD 0.01 common | Purchase |
20 |
26.7650 USD |
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| USD 0.01 common | Purchase |
20 |
26.7975 USD |
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| USD 0.01 common | Purchase |
40 |
26.7837 USD |
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| USD 0.01 common | Purchase |
50 |
26.8060 USD |
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| USD 0.01 common | Purchase |
52 |
26.7873 USD |
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| USD 0.01 common | Purchase |
68 |
26.8100 USD |
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| USD 0.01 common | Purchase |
74 |
26.7766 USD |
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| USD 0.01 common | Purchase |
98 |
26.7000 USD |
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| USD 0.01 common | Purchase |
100 |
26.7400 USD |
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| USD 0.01 common | Purchase |
100 |
26.5300 USD |
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| USD 0.01 common | Purchase |
100 |
26.6400 USD |
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| USD 0.01 common | Purchase |
177 |
22.8488 EUR |
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| USD 0.01 common | Purchase |
200 |
26.7850 USD |
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| USD 0.01 common | Purchase |
220 |
26.7959 USD |
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| USD 0.01 common | Purchase |
220 |
26.8000 USD |
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| USD 0.01 common | Purchase |
285 |
26.7736 USD |
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| USD 0.01 common | Purchase |
322 |
26.7573 USD |
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| USD 0.01 common | Purchase |
349 |
26.7435 USD |
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| USD 0.01 common | Purchase |
400 |
26.5112 USD |
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| USD 0.01 common | Purchase |
642 |
26.7555 USD |
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| USD 0.01 common | Purchase |
700 |
26.5685 USD |
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| USD 0.01 common | Purchase |
928 |
26.7450 USD |
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| USD 0.01 common | Purchase |
1,100 |
26.5190 USD |
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| USD 0.01 common | Purchase |
1,300 |
26.7023 USD |
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| USD 0.01 common | Purchase |
2,012 |
26.8020 USD |
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| USD 0.01 common | Purchase |
2,307 |
26.7840 USD |
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| USD 0.01 common | Purchase |
2,945 |
26.6373 USD |
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| USD 0.01 common | Purchase |
3,300 |
26.7800 USD |
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| USD 0.01 common | Purchase |
5,000 |
26.5762 USD |
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| USD 0.01 common | Purchase |
6,804 |
26.7535 USD |
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| USD 0.01 common | Purchase |
7,500 |
26.5660 USD |
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| USD 0.01 common | Purchase |
10,925 |
26.7689 USD |
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| USD 0.01 common | Purchase |
11,740 |
26.7713 USD |
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| USD 0.01 common | Purchase |
43,230 |
26.7600 USD |
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| USD 0.01 common | Purchase |
55,822 |
26.7256 USD |
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| USD 0.01 common | Purchase |
63,375 |
26.7591 USD |
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| USD 0.01 common | Purchase |
66,776 |
26.7999 USD |
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| USD 0.01 common | Sale |
13 |
26.7300 USD |
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| USD 0.01 common | Sale |
13 |
23.2500 EUR |
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| USD 0.01 common | Sale |
20 |
26.8050 USD |
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| USD 0.01 common | Sale |
25 |
26.8400 USD |
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| USD 0.01 common | Sale |
47 |
26.7659 USD |
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| USD 0.01 common | Sale |
64 |
26.7777 USD |
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| USD 0.01 common | Sale |
100 |
26.4700 USD |
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| USD 0.01 common | Sale |
145 |
26.7527 USD |
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| USD 0.01 common | Sale |
145 |
26.7365 USD |
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| USD 0.01 common | Sale |
170 |
26.7783 USD |
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| USD 0.01 common | Sale |
177 |
22.8488 EUR |
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| USD 0.01 common | Sale |
196 |
26.7381 USD |
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| USD 0.01 common | Sale |
200 |
26.7650 USD |
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| USD 0.01 common | Sale |
200 |
26.7950 USD |
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| USD 0.01 common | Sale |
220 |
26.7031 USD |
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| USD 0.01 common | Sale |
321 |
26.7305 USD |
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| USD 0.01 common | Sale |
390 |
26.7850 USD |
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| USD 0.01 common | Sale |
402 |
26.7890 USD |
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| USD 0.01 common | Sale |
467 |
26.7952 USD |
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| USD 0.01 common | Sale |
500 |
26.8300 USD |
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| USD 0.01 common | Sale |
525 |
26.7357 USD |
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| USD 0.01 common | Sale |
700 |
26.8100 USD |
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| USD 0.01 common | Sale |
854 |
26.8189 USD |
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| USD 0.01 common | Sale |
923 |
26.7339 USD |
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| USD 0.01 common | Sale |
1,113 |
26.7534 USD |
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| USD 0.01 common | Sale |
1,136 |
26.7576 USD |
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| USD 0.01 common | Sale |
1,602 |
26.8318 USD |
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| USD 0.01 common | Sale |
1,669 |
26.8202 USD |
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| USD 0.01 common | Sale |
1,965 |
26.5891 USD |
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| USD 0.01 common | Sale |
3,345 |
26.7800 USD |
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| USD 0.01 common | Sale |
3,516 |
26.7824 USD |
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| USD 0.01 common | Sale |
3,923 |
26.7542 USD |
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| USD 0.01 common | Sale |
7,500 |
26.5660 USD |
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| USD 0.01 common | Sale |
7,500 |
26.5661 USD |
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| USD 0.01 common | Sale |
7,577 |
26.7622 USD |
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| USD 0.01 common | Sale |
7,662 |
26.7840 USD |
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| USD 0.01 common | Sale |
13,249 |
26.8027 USD |
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| USD 0.01 common | Sale |
18,524 |
26.7739 USD |
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| USD 0.01 common | Sale |
39,642 |
26.8000 USD |
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| USD 0.01 common | Sale |
59,452 |
26.7259 USD |
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| USD 0.01 common | Sale |
101,170 |
26.7600 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 |
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| Date of disclosure: | 19 Jan 2022 |
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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 |
|
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|
security |
|
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: |
|
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.