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 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   NORTONLIFELOCK INC 
securities this form relates: Use a separate form for each 
offeror/offeree 
(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   7 Oct 2021 
position disclosure, state the latest practicable date 
prior to the disclosure 
(f) In addition to the company in 1(c) above, is the        YES : AVAST PLC 
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" 
 

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:     1,514,391            0.26%       694,352     0.12% 
 
     Cash-settled 
(2)  derivatives: 
                            354,367              0.06%       1,028,322   0.18% 
 
     Stock-settled 
     derivatives 
     (including 
(3)  options) 
     and agreements to 
     purchase/sell:         500                  0.00%       2,100       0.00% 
 
(4) 
     TOTAL:                 1,869,258            0.32%       1,724,774   0.30% 
 
Class of relevant 
security:                   Convertible Bond 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 
     (including 
(3)  options) 
     and agreements to 
     purchase/sell:         0                    0.00%       0           0.00% 
 
(4) 
     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         1             25.6000 USD 
USD 0.01 common      Purchase         4             25.5900 USD 
USD 0.01 common      Purchase         4             25.6050 USD 
USD 0.01 common      Purchase         4             25.5675 USD 
USD 0.01 common      Purchase         11            25.6081 USD 
USD 0.01 common      Purchase         17            25.6950 USD 
USD 0.01 common      Purchase         17            25.6800 USD 
USD 0.01 common      Purchase         23            25.5943 USD 
USD 0.01 common      Purchase         58            25.5853 USD 
USD 0.01 common      Purchase         100           25.6400 USD 
USD 0.01 common      Purchase         101           25.7146 USD 
USD 0.01 common      Purchase         109           25.7115 USD 
USD 0.01 common      Purchase         201           25.5602 USD 
USD 0.01 common      Purchase         202           25.7101 USD 
USD 0.01 common      Purchase         300           25.6866 USD 
USD 0.01 common      Purchase         302           25.7156 USD 
USD 0.01 common      Purchase         310           25.6112 USD 
USD 0.01 common      Purchase         400           25.5350 USD 
USD 0.01 common      Purchase         400           25.6200 USD 
USD 0.01 common      Purchase         506           25.7292 USD 
USD 0.01 common      Purchase         600           25.7033 USD 
USD 0.01 common      Purchase         604           25.6764 USD 
USD 0.01 common      Purchase         1,200         25.6812 USD 
USD 0.01 common      Purchase         1,300         25.5638 USD 
USD 0.01 common      Purchase         1,300         25.6657 USD 
USD 0.01 common      Purchase         1,300         25.6734 USD 
USD 0.01 common      Purchase         1,681         25.5601 USD 
USD 0.01 common      Purchase         1,700         25.6720 USD 
USD 0.01 common      Purchase         1,700         25.6882 USD 
USD 0.01 common      Purchase         2,400         25.6813 USD 
USD 0.01 common      Purchase         2,700         25.6807 USD 
USD 0.01 common      Purchase         2,900         25.6801 USD 
USD 0.01 common      Purchase         3,202         25.6655 USD 
USD 0.01 common      Purchase         3,941         25.6680 USD 
USD 0.01 common      Purchase         5,458         25.6480 USD 
USD 0.01 common      Purchase         5,858         25.7300 USD 
USD 0.01 common      Purchase         6,246         25.7184 USD 
USD 0.01 common      Purchase         9,113         25.6318 USD 
USD 0.01 common      Purchase         11,911        25.6514 USD 
USD 0.01 common      Purchase         12,339        25.6534 USD 
USD 0.01 common      Purchase         13,550        25.5812 USD 
USD 0.01 common      Purchase         15,167        25.6995 USD 
USD 0.01 common      Purchase         15,691        25.6526 USD 
USD 0.01 common      Purchase         16,020        25.7208 USD 
USD 0.01 common      Purchase         39,049        25.7291 USD 
USD 0.01 common      Purchase         92,061        25.6858 USD 
USD 0.01 common      Purchase         105,500       25.7235 USD 
USD 0.01 common      Sale             2             25.5900 USD 
USD 0.01 common      Sale             4             25.6350 USD 
USD 0.01 common      Sale             6             25.6700 USD 
USD 0.01 common      Sale             7             25.6042 USD 
USD 0.01 common      Sale             7             25.6128 USD 
USD 0.01 common      Sale             11            25.6300 USD 
USD 0.01 common      Sale             11            25.6681 USD 
USD 0.01 common      Sale             12            25.6341 USD 
USD 0.01 common      Sale             12            25.6000 USD 
USD 0.01 common      Sale             13            25.6161 USD 
USD 0.01 common      Sale             14            25.6371 USD 
USD 0.01 common      Sale             17            25.6950 USD 
USD 0.01 common      Sale             17            25.6800 USD 
USD 0.01 common      Sale             21            25.6247 USD 
USD 0.01 common      Sale             22            25.6445 USD 
USD 0.01 common      Sale             22            25.6404 USD 
USD 0.01 common      Sale             23            25.6569 USD 
USD 0.01 common      Sale             26            25.6457 USD 
USD 0.01 common      Sale             26            25.6253 USD 
USD 0.01 common      Sale             27            25.6459 USD 
USD 0.01 common      Sale             34            25.6697 USD 
USD 0.01 common      Sale             34            25.6852 USD 
USD 0.01 common      Sale             42            25.6521 USD 
USD 0.01 common      Sale             77            25.5100 USD 
USD 0.01 common      Sale             81            25.4300 USD 
USD 0.01 common      Sale             85            25.6443 USD 
USD 0.01 common      Sale             100           25.6400 USD 
USD 0.01 common      Sale             100           25.6200 USD 
USD 0.01 common      Sale             100           25.4500 USD 
USD 0.01 common      Sale             100           25.6500 USD 
USD 0.01 common      Sale             114           25.6390 USD 
USD 0.01 common      Sale             170           25.6794 USD 
USD 0.01 common      Sale             202           25.6899 USD 
USD 0.01 common      Sale             222           25.6100 USD 
USD 0.01 common      Sale             223           25.5473 USD 
USD 0.01 common      Sale             400           25.5662 USD 
USD 0.01 common      Sale             443           25.6150 USD 
USD 0.01 common      Sale             600           25.6550 USD 
USD 0.01 common      Sale             653           25.6740 USD 
USD 0.01 common      Sale             1,322         25.6724 USD 
USD 0.01 common      Sale             1,670         25.6881 USD 
USD 0.01 common      Sale             2,141         25.6435 USD 
USD 0.01 common      Sale             2,448         25.7265 USD 
USD 0.01 common      Sale             3,034         25.6680 USD 
USD 0.01 common      Sale             3,494         25.6644 USD 
USD 0.01 common      Sale             3,508         25.6491 USD 
USD 0.01 common      Sale             5,090         25.7254 USD 
USD 0.01 common      Sale             5,600         25.7268 USD 
USD 0.01 common      Sale             6,317         25.6883 USD 
USD 0.01 common      Sale             10,361        25.6744 USD 
USD 0.01 common      Sale             10,813        25.6232 USD 
USD 0.01 common      Sale             11,641        25.6562 USD 
USD 0.01 common      Sale             12,238        25.6582 USD 
USD 0.01 common      Sale             15,751        25.5783 USD 
USD 0.01 common      Sale             51,718        25.7300 USD 
USD 0.01 common      Sale             55,256        25.6723 USD 
USD 0.01 common      Sale             63,220        25.6922 USD 
USD 0.01 common      Sale             106,218       25.7230 USD 
 

(b) Cash-settled derivative transactions

 
Class of           Product        Nature of dealing    Number of   Price per 
relevant           description                         reference   unit 
security                                               securities 
USD 0.01 common    SWAP           Long                 423         25.5600 USD 
 
 

(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:   8 October 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       NORTONLIFELOCK INC 
securities the disclosure 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/20211008005196/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2021 
 

(END) Dow Jones Newswires

October 08, 2021 06:51 ET (10:51 GMT)

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