TIDMBARC 
 
 

FORM 8.3 - Amendment to Sale and Purchase

 

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 October 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:         1,421,234            0.24%       448,780     0.08% 
 
      Cash-settled 
(2)   derivatives: 
                            178,619              0.03%       1,028,322   0.18% 
 
      Stock-settled 
      derivatives 
(3)   (including options) 
 and agreements to 
  purchase/sell:            500                  0.00%       2,100       0.00% 
 
 
 TOTAL:                     1,600,353            0.28%       1,479,202   0.25% 
 
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 
(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             56              25.7400 USD 
USD 0.01 common      Purchase             100             25.5550 USD 
USD 0.01 common      Purchase             100             25.5350 USD 
USD 0.01 common      Purchase             100             25.6850 USD 
USD 0.01 common      Purchase             171             25.6250 USD 
USD 0.01 common      Purchase             177             25.5575 USD 
USD 0.01 common      Purchase             200             25.6100 USD 
USD 0.01 common      Purchase             200             25.6450 USD 
USD 0.01 common      Purchase             200             25.6650 USD 
USD 0.01 common      Purchase             232             25.3347 USD 
USD 0.01 common      Purchase             300             25.5750 USD 
USD 0.01 common      Purchase             300             25.6500 USD 
USD 0.01 common      Purchase             340             25.4671 USD 
USD 0.01 common      Purchase             400             25.6050 USD 
USD 0.01 common      Purchase             707             25.5593 USD 
USD 0.01 common      Purchase             1,000           25.6510 USD 
USD 0.01 common      Purchase             1,041           25.6215 USD 
USD 0.01 common      Purchase             1,189           25.4625 USD 
USD 0.01 common      Purchase             1,200           25.4812 USD 
USD 0.01 common      Purchase             1,200           25.4991 USD 
USD 0.01 common      Purchase             1,240           25.5013 USD 
USD 0.01 common      Purchase             1,407           25.5463 USD 
USD 0.01 common      Purchase             1,414           25.5193 USD 
USD 0.01 common      Purchase             1,700           25.4911 USD 
USD 0.01 common      Purchase             1,860           25.5130 USD 
USD 0.01 common      Purchase             1,973           25.5216 USD 
USD 0.01 common      Purchase             2,029           25.5179 USD 
USD 0.01 common      Purchase             2,252           25.5198 USD 
USD 0.01 common      Purchase             2,788           25.5701 USD 
USD 0.01 common      Purchase             3,060           25.5537 USD 
USD 0.01 common      Purchase             3,091           25.5239 USD 
USD 0.01 common      Purchase             3,333           25.5110 USD 
USD 0.01 common      Purchase             3,656           25.5446 USD 
USD 0.01 common      Purchase             3,821           25.4831 USD 
USD 0.01 common      Purchase             4,005           25.4292 USD 
USD 0.01 common      Purchase             9,255           25.5402 USD 
USD 0.01 common      Purchase             12,413          25.4478 USD 
USD 0.01 common      Purchase             23,759          25.5302 USD 
USD 0.01 common      Purchase             27,420          25.3779 USD 
USD 0.01 common      Purchase             33,631          25.5559 USD 
USD 0.01 common      Purchase             36,374          25.5077 USD 
USD 0.01 common      Purchase             37,881          25.5612 USD 
USD 0.01 common      Purchase             47,958          25.5019 USD 
USD 0.01 common      Purchase             52,442          25.5620 USD 
USD 0.01 common      Purchase             64,286          25.5600 USD 
USD 0.01 common      Sale                 16              25.7000 USD 
USD 0.01 common      Sale                 25              25.5750 USD 
USD 0.01 common      Sale                 100             25.4500 USD 
USD 0.01 common      Sale                 100             25.3900 USD 
USD 0.01 common      Sale                 100             25.3400 USD 
USD 0.01 common      Sale                 100             25.6500 USD 
USD 0.01 common      Sale                 102             25.3882 USD 
USD 0.01 common      Sale                 112             25.5564 USD 
USD 0.01 common      Sale                 171             25.6250 USD 
USD 0.01 common      Sale                 200             25.7050 USD 
USD 0.01 common      Sale                 344             25.3891 USD 
USD 0.01 common      Sale                 580             25.5500 USD 
USD 0.01 common      Sale                 600             25.5208 USD 
USD 0.01 common      Sale                 600             25.3633 USD 
USD 0.01 common      Sale                 693             25.5537 USD 
USD 0.01 common      Sale                 707             25.5593 USD 
USD 0.01 common      Sale                 707             25.5594 USD 
USD 0.01 common      Sale                 762             25.5726 USD 
USD 0.01 common      Sale                 800             25.3262 USD 
USD 0.01 common      Sale                 900             25.4544 USD 
USD 0.01 common      Sale                 901             25.4018 USD 
USD 0.01 common      Sale                 985             25.5425 USD 
USD 0.01 common      Sale                 1,000           25.6510 USD 
USD 0.01 common      Sale                 1,045           25.4469 USD 
USD 0.01 common      Sale                 1,200           25.4070 USD 
USD 0.01 common      Sale                 1,257           25.5190 USD 
USD 0.01 common      Sale                 1,278           25.4979 USD 
USD 0.01 common      Sale                 1,425           25.5107 USD 
USD 0.01 common      Sale                 1,555           25.4277 USD 
USD 0.01 common      Sale                 1,770           25.4860 USD 
USD 0.01 common      Sale                 2,070           25.4980 USD 
USD 0.01 common      Sale                 2,326           25.4734 USD 
USD 0.01 common      Sale                 2,450           25.4015 USD 
USD 0.01 common      Sale                 2,560           25.4906 USD 
USD 0.01 common      Sale                 2,574           25.6006 USD 
USD 0.01 common      Sale                 2,641           25.4794 USD 
USD 0.01 common      Sale                 2,656           25.5629 USD 
USD 0.01 common      Sale                 2,826           25.4783 USD 
USD 0.01 common      Sale                 3,201           25.5452 USD 
USD 0.01 common      Sale                 3,456           25.5353 USD 
USD 0.01 common      Sale                 3,520           25.5072 USD 
USD 0.01 common      Sale                 3,701           25.4914 USD 
USD 0.01 common      Sale                 4,049           25.4913 USD 
USD 0.01 common      Sale                 4,319           25.5179 USD 
USD 0.01 common      Sale                 4,547           25.4942 USD 
USD 0.01 common      Sale                 5,105           25.3963 USD 
USD 0.01 common      Sale                 5,836           25.5598 USD 
USD 0.01 common      Sale                 5,952           25.4700 USD 
USD 0.01 common      Sale                 7,485           25.4610 USD 
USD 0.01 common      Sale                 10,909          25.4438 USD 
USD 0.01 common      Sale                 15,114          25.3554 USD 
USD 0.01 common      Sale                 16,913          25.4712 USD 
USD 0.01 common      Sale                 21,083          25.5865 USD 
USD 0.01 common      Sale                 25,033          25.5459 USD 
USD 0.01 common      Sale                 34,761          25.5427 USD 
USD 0.01 common      Sale                 38,881          25.5628 USD 
USD 0.01 common      Sale                 39,262          25.5506 USD 
USD 0.01 common      Sale                 44,632          25.5600 USD 
USD 0.01 common      Sale                 59,288          25.5405 USD 
NB: The below transactions which were previously disclosed have been cancelled 
Class of relevant    Purchase/sale        Number of       Price per unit 
security                                  securities 
USD 0.01 common      Sale                 1,170           25.5600 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               219         25.2200 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 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 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/20211008005412/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2021 
 

(END) Dow Jones Newswires

October 08, 2021 11:58 ET (15:58 GMT)

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