TIDMBARC 
 
 

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:                 30 July 2021 
(f)  In addition to the company in 1(c) above, is the       YES: 
     discloser making 
     disclosures in respect of any other party to the       AVAST PLC 
     offer? 
 

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      (%) 
      Relevant securities 
(1)   owned 
 and/or controlled:           2,015,666               0.35%  302,049     0.05% 
 
      Cash-settled 
(2)   derivatives: 
                              101,747                 0.02%  1,279,498   0.22% 
 
      Stock-settled 
      derivatives (including 
(3)   options) 
 and agreements to 
  purchase/sell:              500                     0.00%  2,100       0.00% 
 
 
 TOTAL:                       2,117,913               0.36%  1,583,647   0.27% 
 
                              Convertible Bond 
Class of relevant security:   US668771AA66 
                              Interests                      Short Positions 
                              Number                  (%)    Number      (%) 
      Relevant securities 
(1)   owned 
 and/or controlled:           128,000                 0.02%  0           0.00% 
 
      Cash-settled 
(2)   derivatives: 
                              0                       0.00%  0           0.00% 
 
      Stock-settled 
      derivatives (including 
(3)   options) 
 and agreements to 
  purchase/sell:              0                       0.00%  0           0.00% 
 
 
 TOTAL:                       128,000                 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       24          24.8000 USD 
USD 0.01 common    Purchase       100         24.8450 USD 
USD 0.01 common    Purchase       100         24.7400 USD 
USD 0.01 common    Purchase       100         24.8250 USD 
USD 0.01 common    Purchase       135         24.7603 USD 
USD 0.01 common    Purchase       200         24.7600 USD 
USD 0.01 common    Purchase       200         24.8050 USD 
USD 0.01 common    Purchase       200         24.8175 USD 
USD 0.01 common    Purchase       200         24.8125 USD 
USD 0.01 common    Purchase       200         24.8100 USD 
USD 0.01 common    Purchase       205         24.7058 USD 
USD 0.01 common    Purchase       209         24.7100 USD 
USD 0.01 common    Purchase       236         24.8172 USD 
USD 0.01 common    Purchase       379         24.6100 USD 
USD 0.01 common    Purchase       400         24.7900 USD 
USD 0.01 common    Purchase       500         24.8400 USD 
USD 0.01 common    Purchase       514         24.7300 USD 
USD 0.01 common    Purchase       532         24.8300 USD 
USD 0.01 common    Purchase       680         24.7250 USD 
USD 0.01 common    Purchase       890         24.7305 USD 
USD 0.01 common    Purchase       1,000       24.8160 USD 
USD 0.01 common    Purchase       1,000       24.7730 USD 
USD 0.01 common    Purchase       1,160       24.8168 USD 
USD 0.01 common    Purchase       1,500       24.8120 USD 
USD 0.01 common    Purchase       1,500       24.7473 USD 
USD 0.01 common    Purchase       3,115       24.8099 USD 
USD 0.01 common    Purchase       3,759       24.8202 USD 
USD 0.01 common    Purchase       4,457       24.6457 USD 
USD 0.01 common    Purchase       4,491       24.8007 USD 
USD 0.01 common    Purchase       7,227       24.8065 USD 
USD 0.01 common    Purchase       7,686       24.8092 USD 
USD 0.01 common    Purchase       7,991       24.7919 USD 
USD 0.01 common    Purchase       8,872       24.7380 USD 
USD 0.01 common    Purchase       13,059      24.8054 USD 
USD 0.01 common    Purchase       15,072      24.8019 USD 
USD 0.01 common    Purchase       15,634      24.7927 USD 
USD 0.01 common    Purchase       15,879      24.8182 USD 
USD 0.01 common    Purchase       18,095      24.7865 USD 
USD 0.01 common    Purchase       19,379      24.7880 USD 
USD 0.01 common    Purchase       20,643      24.7978 USD 
USD 0.01 common    Purchase       25,154      24.8195 USD 
USD 0.01 common    Purchase       25,659      24.7956 USD 
USD 0.01 common    Purchase       25,886      24.7859 USD 
USD 0.01 common    Purchase       29,528      24.7849 USD 
USD 0.01 common    Purchase       30,440      24.6549 USD 
USD 0.01 common    Purchase       38,387      24.7916 USD 
USD 0.01 common    Purchase       43,694      24.8200 USD 
USD 0.01 common    Purchase       65,033      24.7951 USD 
USD 0.01 common    Purchase       119,284     24.7944 USD 
USD 0.01 common    Purchase       127,814     24.8137 USD 
USD 0.01 common    Sale           9           24.7455 USD 
USD 0.01 common    Sale           14          24.7300 USD 
USD 0.01 common    Sale           32          24.6300 USD 
USD 0.01 common    Sale           49          24.6150 USD 
USD 0.01 common    Sale           68          24.7900 USD 
USD 0.01 common    Sale           79          24.8178 USD 
USD 0.01 common    Sale           100         24.6600 USD 
USD 0.01 common    Sale           100         24.8250 USD 
USD 0.01 common    Sale           100         24.5850 USD 
USD 0.01 common    Sale           100         24.8300 USD 
USD 0.01 common    Sale           100         24.6900 USD 
USD 0.01 common    Sale           135         24.7603 USD 
USD 0.01 common    Sale           156         24.7741 USD 
USD 0.01 common    Sale           200         24.6350 USD 
USD 0.01 common    Sale           300         24.6933 USD 
USD 0.01 common    Sale           400         24.7675 USD 
USD 0.01 common    Sale           400         24.6700 USD 
USD 0.01 common    Sale           400         24.6637 USD 
USD 0.01 common    Sale           500         24.6370 USD 
USD 0.01 common    Sale           579         24.6100 USD 
USD 0.01 common    Sale           600         24.6608 USD 
USD 0.01 common    Sale           680         24.7250 USD 
USD 0.01 common    Sale           700         24.7778 USD 
USD 0.01 common    Sale           960         24.8600 USD 
USD 0.01 common    Sale           1,071       24.6520 USD 
USD 0.01 common    Sale           1,169       24.8206 USD 
USD 0.01 common    Sale           1,300       24.8580 USD 
USD 0.01 common    Sale           3,260       24.8344 USD 
USD 0.01 common    Sale           5,132       24.7873 USD 
USD 0.01 common    Sale           5,597       24.8106 USD 
USD 0.01 common    Sale           11,072      24.7403 USD 
USD 0.01 common    Sale           11,937      24.8248 USD 
USD 0.01 common    Sale           15,276      24.8186 USD 
USD 0.01 common    Sale           18,256      24.8202 USD 
USD 0.01 common    Sale           23,850      24.7962 USD 
USD 0.01 common    Sale           25,993      24.7993 USD 
USD 0.01 common    Sale           27,928      24.7856 USD 
USD 0.01 common    Sale           34,496      24.8116 USD 
USD 0.01 common    Sale           39,506      24.6708 USD 
USD 0.01 common    Sale           46,543      24.8200 USD 
USD 0.01 common    Sale           72,215      24.8128 USD 
USD 0.01 common    Sale           356,968     24.7939 USD 
 

(b) Cash-settled derivative transactions

 
Class of       Product        Nature of dealing    Number of     Price per 
relevant       description    e.g.                 reference     unit 
security       e.g. CFD       opening/closing a    securities 
                              long/short 
                              position, 
                              increasing/reducing 
                              a long/short 
                              position 
 
 

(c) Stock-settled derivative transactions (including options)

 

(i) Writing, selling, purchasing or varying

 
Class of  Product      Writing,     Number of   Exercise  Type e.g.  Expiry  Option 
relevant  description  purchasing,  securities  price     American,  date    money 
security  e.g. call    selling,     to which    per       European           paid/ 
          option       varying      option      unit      etc.               received 
                       etc.         relates                                  per 
                                                                             unit 
 
 

(ii) Exercise

 
Class of        Product         Exercising/     Number of       Exercise price 
relevant        description     exercised       securities      per unit 
security        e.g. call       against 
                option 
 
 

(d) Other dealings (including subscribing for new securities)

 
Class of relevant       Nature of dealing      Details  Price per unit (if 
security                e.g. subscription,              applicable) 
                        conversion 
 
 

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 Aug 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                                                               21 Jan 
 common    Call Options  Purchased     500         27.0000   American  2022 
USD 0.01                                                               21 Jan 
 common    Put Options   Purchased     -2,100      30.0000   American  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/20210802005496/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2021 
 

(END) Dow Jones Newswires

August 02, 2021 10:28 ET (14:28 GMT)

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