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             NORTONLIFELOCK INC 
     whose 
     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:             06 October 2021 
(f)  In addition to the company in 1(c) above,          YES: 
     is the discloser making 
     disclosures in respect of any other party          AVAST PLC 
     to the 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:          1,488,561         0.26%       668,977     0.11% 
 
      Cash-settled 
(2)   derivatives: 
                             353,944           0.06%       1,028,322   0.18% 
 
      Stock-settled 
      derivatives 
(3)   (including options) 
 and agreements to 
  purchase/sell:             500               0.00%       2,100       0.00% 
 
 
 TOTAL:                      1,843,005         0.32%       1,699,399   0.29% 
 
                             Convertible Bond 
Class of relevant security:  US668771AA66 
                             Interests                     Short Positions 
                             Number            (%)         Number      (%) 
      Relevant securities 
(1)   owned 
 and/or controlled:          146,000           0.03%       0           0.00% 
 
      Cash-settled 
(2)   derivatives: 
                             0                 0.00%       0           0.00% 
 
      Stock-settled 
      derivatives 
(3)   (including options) 
 and agreements to 
  purchase/sell:             0                 0.00%       0           0.00% 
 
 
 TOTAL:                      146,000           0.03%       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         15            25.2650 USD 
USD 0.01 common      Purchase         20            25.2450 USD 
USD 0.01 common      Purchase         100           24.9600 USD 
USD 0.01 common      Purchase         200           25.2200 USD 
USD 0.01 common      Purchase         200           25.2750 USD 
USD 0.01 common      Purchase         361           25.2262 USD 
USD 0.01 common      Purchase         381           25.1687 USD 
USD 0.01 common      Purchase         400           25.2550 USD 
USD 0.01 common      Purchase         401           25.1480 USD 
USD 0.01 common      Purchase         401           25.2562 USD 
USD 0.01 common      Purchase         500           25.0840 USD 
USD 0.01 common      Purchase         500           25.1540 USD 
USD 0.01 common      Purchase         508           25.2695 USD 
USD 0.01 common      Purchase         700           25.0714 USD 
USD 0.01 common      Purchase         700           25.2535 USD 
USD 0.01 common      Purchase         800           25.0750 USD 
USD 0.01 common      Purchase         1,187         25.1755 USD 
USD 0.01 common      Purchase         1,783         25.1400 USD 
USD 0.01 common      Purchase         1,970         25.1521 USD 
USD 0.01 common      Purchase         3,510         25.1411 USD 
USD 0.01 common      Purchase         3,822         25.1879 USD 
USD 0.01 common      Purchase         4,132         25.1636 USD 
USD 0.01 common      Purchase         5,812         25.2137 USD 
USD 0.01 common      Purchase         7,150         25.1829 USD 
USD 0.01 common      Purchase         13,736        25.2476 USD 
USD 0.01 common      Purchase         17,021        25.2477 USD 
USD 0.01 common      Purchase         26,205        25.1089 USD 
USD 0.01 common      Purchase         29,432        25.1988 USD 
USD 0.01 common      Purchase         44,803        25.2500 USD 
USD 0.01 common      Purchase         66,073        25.1781 USD 
USD 0.01 common      Sale             3             25.1700 USD 
USD 0.01 common      Sale             4             25.1600 USD 
USD 0.01 common      Sale             6             25.1200 USD 
USD 0.01 common      Sale             8             25.1900 USD 
USD 0.01 common      Sale             9             25.1916 USD 
USD 0.01 common      Sale             9             25.1355 USD 
USD 0.01 common      Sale             11            25.1909 USD 
USD 0.01 common      Sale             16            25.1268 USD 
USD 0.01 common      Sale             16            25.2350 USD 
USD 0.01 common      Sale             21            25.1819 USD 
USD 0.01 common      Sale             21            25.1214 USD 
USD 0.01 common      Sale             24            25.1883 USD 
USD 0.01 common      Sale             24            25.2133 USD 
USD 0.01 common      Sale             32            25.2150 USD 
USD 0.01 common      Sale             36            25.2450 USD 
USD 0.01 common      Sale             48            25.2233 USD 
USD 0.01 common      Sale             106           25.1621 USD 
USD 0.01 common      Sale             108           25.2214 USD 
USD 0.01 common      Sale             111           25.1381 USD 
USD 0.01 common      Sale             197           24.9600 USD 
USD 0.01 common      Sale             200           25.2200 USD 
USD 0.01 common      Sale             308           25.1800 USD 
USD 0.01 common      Sale             400           25.2075 USD 
USD 0.01 common      Sale             500           25.1540 USD 
USD 0.01 common      Sale             502           25.2166 USD 
USD 0.01 common      Sale             580           25.1865 USD 
USD 0.01 common      Sale             800           25.1412 USD 
USD 0.01 common      Sale             800           25.1325 USD 
USD 0.01 common      Sale             846           25.2015 USD 
USD 0.01 common      Sale             900           25.0527 USD 
USD 0.01 common      Sale             906           25.1899 USD 
USD 0.01 common      Sale             925           25.2399 USD 
USD 0.01 common      Sale             1,000         25.1710 USD 
USD 0.01 common      Sale             1,100         25.0627 USD 
USD 0.01 common      Sale             1,187         25.1755 USD 
USD 0.01 common      Sale             1,255         25.1293 USD 
USD 0.01 common      Sale             1,500         25.0823 USD 
USD 0.01 common      Sale             1,639         25.1419 USD 
USD 0.01 common      Sale             1,800         25.1069 USD 
USD 0.01 common      Sale             1,820         25.1696 USD 
USD 0.01 common      Sale             1,900         25.1205 USD 
USD 0.01 common      Sale             1,920         25.0981 USD 
USD 0.01 common      Sale             2,200         25.0820 USD 
USD 0.01 common      Sale             2,537         25.1564 USD 
USD 0.01 common      Sale             2,943         25.2192 USD 
USD 0.01 common      Sale             2,998         25.2068 USD 
USD 0.01 common      Sale             3,227         25.1841 USD 
USD 0.01 common      Sale             3,417         25.1187 USD 
USD 0.01 common      Sale             3,910         25.1642 USD 
USD 0.01 common      Sale             4,402         25.1713 USD 
USD 0.01 common      Sale             4,512         25.2064 USD 
USD 0.01 common      Sale             4,903         25.2495 USD 
USD 0.01 common      Sale             5,265         25.1400 USD 
USD 0.01 common      Sale             7,459         25.1694 USD 
USD 0.01 common      Sale             8,520         25.2242 USD 
USD 0.01 common      Sale             22,526        25.2083 USD 
USD 0.01 common      Sale             28,111        25.2499 USD 
USD 0.01 common      Sale             30,874        25.2500 USD 
USD 0.01 common      Sale             34,131        25.1903 USD 
USD 0.01 common      Sale             39,577        25.1664 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:                 7 Oct 2021 
                                    Large Holdings Regulatory 
Contact name:                       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                          Barclays PLC. 
positions/dealings 
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/20211007005512/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2021 
 

(END) Dow Jones Newswires

October 07, 2021 06:41 ET (10:41 GMT)

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