2 Sep 2021 11:05
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: | 01 September 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: | 1,366,054 | 0.23% | 367,206 | 0.06% | |
|
|
|
| ||
(2) | Cash-settled derivatives: |
|
|
|
|
130,980 | 0.02% | 1,028,322 | 0.18% | ||
|
|
|
| ||
(3) | Stock-settled derivatives (including options) |
|
|
|
|
and agreements to purchase/sell: | 500 | 0.00% | 2,100 | 0.00% | |
|
|
|
| ||
|
|
|
| ||
TOTAL: | 1,497,534 | 0.26% | 1,397,628 | 0.24% | |
Class of relevant security: | Convertible Bond US668771AA66 | ||||
Interests | Short Positions | ||||
Number | (%) | Number | (%) | ||
(1) | Relevant securities owned |
|
|
|
|
and/or controlled: | 139,000 | 0.02% | 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: | 139,000 | 0.02% | 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 | 2 | 26.7000 USD |
USD 0.01 common | Purchase | 2 | 26.7300 USD |
USD 0.01 common | Purchase | 2 | 26.7600 USD |
USD 0.01 common | Purchase | 4 | 26.6850 USD |
USD 0.01 common | Purchase | 4 | 26.7475 USD |
USD 0.01 common | Purchase | 4 | 26.5500 USD |
USD 0.01 common | Purchase | 12 | 26.7283 USD |
USD 0.01 common | Purchase | 15 | 26.5600 USD |
USD 0.01 common | Purchase | 20 | 26.7310 USD |
USD 0.01 common | Purchase | 41 | 26.5950 USD |
USD 0.01 common | Purchase | 68 | 26.6700 USD |
USD 0.01 common | Purchase | 72 | 22.3850 EUR |
USD 0.01 common | Purchase | 77 | 26.6929 USD |
USD 0.01 common | Purchase | 100 | 26.7200 USD |
USD 0.01 common | Purchase | 106 | 26.7471 USD |
USD 0.01 common | Purchase | 106 | 26.7483 USD |
USD 0.01 common | Purchase | 106 | 26.5800 USD |
USD 0.01 common | Purchase | 110 | 26.7481 USD |
USD 0.01 common | Purchase | 136 | 26.5611 USD |
USD 0.01 common | Purchase | 144 | 26.7488 USD |
USD 0.01 common | Purchase | 145 | 26.6973 USD |
USD 0.01 common | Purchase | 182 | 26.3545 USD |
USD 0.01 common | Purchase | 339 | 26.6922 USD |
USD 0.01 common | Purchase | 400 | 26.4350 USD |
USD 0.01 common | Purchase | 400 | 26.4200 USD |
USD 0.01 common | Purchase | 492 | 26.4008 USD |
USD 0.01 common | Purchase | 616 | 26.4094 USD |
USD 0.01 common | Purchase | 1,140 | 26.4407 USD |
USD 0.01 common | Purchase | 1,841 | 26.5835 USD |
USD 0.01 common | Purchase | 2,178 | 26.7443 USD |
USD 0.01 common | Purchase | 2,564 | 26.6036 USD |
USD 0.01 common | Purchase | 3,294 | 26.6027 USD |
USD 0.01 common | Purchase | 5,172 | 26.7466 USD |
USD 0.01 common | Purchase | 11,295 | 26.5842 USD |
USD 0.01 common | Purchase | 11,567 | 26.6075 USD |
USD 0.01 common | Purchase | 12,238 | 26.6126 USD |
USD 0.01 common | Purchase | 14,078 | 26.6088 USD |
USD 0.01 common | Purchase | 24,116 | 26.7500 USD |
USD 0.01 common | Purchase | 24,221 | 26.7497 USD |
USD 0.01 common | Purchase | 28,235 | 26.5549 USD |
USD 0.01 common | Purchase | 37,997 | 26.7499 USD |
USD 0.01 common | Purchase | 61,064 | 26.7176 USD |
USD 0.01 common | Sale | 4 | 26.5500 USD |
USD 0.01 common | Sale | 4 | 26.7475 USD |
USD 0.01 common | Sale | 15 | 26.5600 USD |
USD 0.01 common | Sale | 41 | 26.5950 USD |
USD 0.01 common | Sale | 72 | 22.3850 EUR |
USD 0.01 common | Sale | 78 | 26.7143 USD |
USD 0.01 common | Sale | 100 | 26.7100 USD |
USD 0.01 common | Sale | 120 | 26.5800 USD |
USD 0.01 common | Sale | 200 | 26.7350 USD |
USD 0.01 common | Sale | 200 | 26.5900 USD |
USD 0.01 common | Sale | 211 | 26.4982 USD |
USD 0.01 common | Sale | 301 | 26.7364 USD |
USD 0.01 common | Sale | 302 | 26.5161 USD |
USD 0.01 common | Sale | 318 | 26.5517 USD |
USD 0.01 common | Sale | 329 | 26.5777 USD |
USD 0.01 common | Sale | 400 | 26.5850 USD |
USD 0.01 common | Sale | 402 | 26.5972 USD |
USD 0.01 common | Sale | 500 | 26.5060 USD |
USD 0.01 common | Sale | 604 | 26.5724 USD |
USD 0.01 common | Sale | 611 | 26.4529 USD |
USD 0.01 common | Sale | 712 | 26.7457 USD |
USD 0.01 common | Sale | 731 | 26.6519 USD |
USD 0.01 common | Sale | 800 | 26.7506 USD |
USD 0.01 common | Sale | 835 | 26.5365 USD |
USD 0.01 common | Sale | 1,046 | 26.7476 USD |
USD 0.01 common | Sale | 1,165 | 26.5938 USD |
USD 0.01 common | Sale | 1,964 | 26.6087 USD |
USD 0.01 common | Sale | 2,708 | 26.7402 USD |
USD 0.01 common | Sale | 2,922 | 26.6109 USD |
USD 0.01 common | Sale | 4,198 | 26.5924 USD |
USD 0.01 common | Sale | 4,649 | 26.7463 USD |
USD 0.01 common | Sale | 5,164 | 26.6327 USD |
USD 0.01 common | Sale | 5,789 | 26.6539 USD |
USD 0.01 common | Sale | 7,192 | 26.6000 USD |
USD 0.01 common | Sale | 8,844 | 26.5970 USD |
USD 0.01 common | Sale | 9,957 | 26.6164 USD |
USD 0.01 common | Sale | 12,311 | 26.5706 USD |
USD 0.01 common | Sale | 21,903 | 26.7477 USD |
USD 0.01 common | Sale | 30,823 | 26.5451 USD |
USD 0.01 common | Sale | 49,337 | 26.7325 USD |
USD 0.01 common | Sale | 70,125 | 26.7500 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: | 2 Sep 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 | 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: |
|
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.
View source version on businesswire.com: https://www.businesswire.com/news/home/20210902005373/en/
Copyright Business Wire 2021