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Friday 21 January, 2022

BARCLAYS PLC

Form 8.3 - NORTONLIFELOCK INC

Form 8.3 - NORTONLIFELOCK INC

BARCLAYS PLC

 

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.

 

(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:

 

(e) Date position held/dealing undertaken:

For an opening position disclosure, state the latest practicable date prior to the disclosure

20 Jan 2022

(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:

1,274,940

0.22%

579,576

0.10%

 

(2)

Cash-settled derivatives:

 

335,807

0.06%

1,513,170

0.26%

 

(3)

Stock-settled derivatives (including options)

 

and agreements to purchase/sell:

0

0.00%

2,100

0.00%

 

(4)

TOTAL:

1,610,747

0.28%

2,094,846

0.36%

 
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)

(1)

Relevant securities owned

 

and/or controlled:

390,000

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%

 

(4)

TOTAL:

390,000

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

4

26.5550 USD
USD 0.01 common Purchase

15

26.4300 USD
USD 0.01 common Purchase

24

26.3000 USD
USD 0.01 common Purchase

24

26.3200 USD
USD 0.01 common Purchase

24

26.3800 USD
USD 0.01 common Purchase

34

26.3311 USD
USD 0.01 common Purchase

41

26.5600 USD
USD 0.01 common Purchase

89

26.3439 USD
USD 0.01 common Purchase

96

26.3325 USD
USD 0.01 common Purchase

98

26.6700 USD
USD 0.01 common Purchase

99

26.3157 USD
USD 0.01 common Purchase

100

26.2650 USD
USD 0.01 common Purchase

100

26.7000 USD
USD 0.01 common Purchase

103

26.5095 USD
USD 0.01 common Purchase

201

26.6500 USD
USD 0.01 common Purchase

267

26.4658 USD
USD 0.01 common Purchase

272

26.5686 USD
USD 0.01 common Purchase

291

26.4424 USD
USD 0.01 common Purchase

324

26.5901 USD
USD 0.01 common Purchase

391

26.2850 USD
USD 0.01 common Purchase

400

26.6100 USD
USD 0.01 common Purchase

404

26.5273 USD
USD 0.01 common Purchase

404

26.4288 USD
USD 0.01 common Purchase

404

26.5452 USD
USD 0.01 common Purchase

408

26.5890 USD
USD 0.01 common Purchase

419

26.5907 USD
USD 0.01 common Purchase

524

26.5111 USD
USD 0.01 common Purchase

550

26.5022 USD
USD 0.01 common Purchase

604

26.3721 USD
USD 0.01 common Purchase

700

26.4800 USD
USD 0.01 common Purchase

900

26.3700 USD
USD 0.01 common Purchase

961

26.3240 USD
USD 0.01 common Purchase

975

26.5541 USD
USD 0.01 common Purchase

1,250

26.3371 USD
USD 0.01 common Purchase

2,220

26.3219 USD
USD 0.01 common Purchase

3,681

26.4590 USD
USD 0.01 common Purchase

5,161

26.3188 USD
USD 0.01 common Purchase

5,869

26.5023 USD
USD 0.01 common Purchase

9,668

26.4825 USD
USD 0.01 common Purchase

10,168

26.4303 USD
USD 0.01 common Purchase

13,448

26.3797 USD
USD 0.01 common Purchase

17,072

26.2800 USD
USD 0.01 common Purchase

40,205

26.4105 USD
USD 0.01 common Sale

1

26.6500 USD
USD 0.01 common Sale

4

26.3000 USD
USD 0.01 common Sale

4

26.5400 USD
USD 0.01 common Sale

6

26.2900 USD
USD 0.01 common Sale

6

26.3550 USD
USD 0.01 common Sale

7

26.3800 USD
USD 0.01 common Sale

9

26.3300 USD
USD 0.01 common Sale

14

26.3671 USD
USD 0.01 common Sale

15

26.3713 USD
USD 0.01 common Sale

16

26.3534 USD
USD 0.01 common Sale

19

26.4250 USD
USD 0.01 common Sale

22

26.4336 USD
USD 0.01 common Sale

98

26.6700 USD
USD 0.01 common Sale

106

26.5067 USD
USD 0.01 common Sale

151

26.4165 USD
USD 0.01 common Sale

300

26.3100 USD
USD 0.01 common Sale

682

26.3521 USD
USD 0.01 common Sale

684

26.2934 USD
USD 0.01 common Sale

806

26.5809 USD
USD 0.01 common Sale

900

26.3700 USD
USD 0.01 common Sale

1,247

26.4303 USD
USD 0.01 common Sale

1,250

26.3371 USD
USD 0.01 common Sale

1,308

26.3265 USD
USD 0.01 common Sale

2,426

26.5425 USD
USD 0.01 common Sale

3,066

26.5354 USD
USD 0.01 common Sale

3,302

26.5025 USD
USD 0.01 common Sale

4,864

26.4813 USD
USD 0.01 common Sale

4,972

26.3787 USD
USD 0.01 common Sale

5,150

26.4144 USD
USD 0.01 common Sale

5,521

26.5026 USD
USD 0.01 common Sale

6,018

26.4309 USD
USD 0.01 common Sale

10,345

26.4635 USD
USD 0.01 common Sale

17,013

26.3624 USD
USD 0.01 common Sale

20,909

26.2800 USD
USD 0.01 common Sale

24,974

26.4323 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:

21 Jan 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 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.


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