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

 
Class of relevant        Full name of discloser:        Barclays PLC. 
security: 
 
(b)                      Owner or controller of 
                         interest and short 
                         positions disclosed, if 
                         different from 1(a): 
(c)                      Name of offeror/offeree        NORTONLIFELOCK INC 
                         in relation to 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                  08 October 2021 
                         held/dealing 
                         undertaken: 
(f)                      In addition to the             YES: 
                         company in 1(c) above, 
                         is the discloser 
                         making 
                         disclosures in respect         AVAST PLC 
                         of any other party 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:          1,479,327         0.25%       713,164     0.12% 
 
      Cash-settled 
(2)   derivatives: 
                             354,367           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:                      1,834,194         0.32%       1,743,586   0.30% 
 
                             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         8           25.6925 USD 
USD 0.01 common      Purchase         39          25.7800 USD 
USD 0.01 common      Purchase         57          25.8201 USD 
USD 0.01 common      Purchase         78          25.6200 USD 
USD 0.01 common      Purchase         100         25.8500 USD 
USD 0.01 common      Purchase         100         22.2650 EUR 
USD 0.01 common      Purchase         100         25.8186 USD 
USD 0.01 common      Purchase         101         25.8125 USD 
USD 0.01 common      Purchase         120         25.7940 USD 
USD 0.01 common      Purchase         128         25.8140 USD 
USD 0.01 common      Purchase         136         25.7652 USD 
USD 0.01 common      Purchase         167         25.8190 USD 
USD 0.01 common      Purchase         196         25.8177 USD 
USD 0.01 common      Purchase         233         25.8074 USD 
USD 0.01 common      Purchase         269         25.7994 USD 
USD 0.01 common      Purchase         300         25.6333 USD 
USD 0.01 common      Purchase         394         25.7675 USD 
USD 0.01 common      Purchase         437         25.6734 USD 
USD 0.01 common      Purchase         1,003       25.7369 USD 
USD 0.01 common      Purchase         2,552       25.7137 USD 
USD 0.01 common      Purchase         2,835       25.7472 USD 
USD 0.01 common      Purchase         3,609       25.7632 USD 
USD 0.01 common      Purchase         4,404       25.7214 USD 
USD 0.01 common      Purchase         4,519       25.7392 USD 
USD 0.01 common      Purchase         8,649       25.7162 USD 
USD 0.01 common      Purchase         9,553       25.7375 USD 
USD 0.01 common      Purchase         20,736      25.7180 USD 
USD 0.01 common      Purchase         25,296      25.6700 USD 
USD 0.01 common      Purchase         32,953      25.6791 USD 
USD 0.01 common      Purchase         36,100      25.8015 USD 
USD 0.01 common      Purchase         46,300      25.8299 USD 
USD 0.01 common      Purchase         49,741      25.6712 USD 
USD 0.01 common      Purchase         79,337      25.7338 USD 
USD 0.01 common      Sale             9           25.7100 USD 
USD 0.01 common      Sale             21          25.6800 USD 
USD 0.01 common      Sale             21          25.7200 USD 
USD 0.01 common      Sale             28          25.6750 USD 
USD 0.01 common      Sale             30          25.6825 USD 
USD 0.01 common      Sale             39          25.7800 USD 
USD 0.01 common      Sale             45          25.6650 USD 
USD 0.01 common      Sale             55          25.6769 USD 
USD 0.01 common      Sale             55          25.6781 USD 
USD 0.01 common      Sale             100         22.2650 EUR 
USD 0.01 common      Sale             100         25.7900 USD 
USD 0.01 common      Sale             105         25.6542 USD 
USD 0.01 common      Sale             105         25.6850 USD 
USD 0.01 common      Sale             115         25.6950 USD 
USD 0.01 common      Sale             144         25.7019 USD 
USD 0.01 common      Sale             200         25.8300 USD 
USD 0.01 common      Sale             221         25.6930 USD 
USD 0.01 common      Sale             530         25.7066 USD 
USD 0.01 common      Sale             533         25.6756 USD 
USD 0.01 common      Sale             600         25.7558 USD 
USD 0.01 common      Sale             621         25.6600 USD 
USD 0.01 common      Sale             690         25.6993 USD 
USD 0.01 common      Sale             700         25.7685 USD 
USD 0.01 common      Sale             700         25.6821 USD 
USD 0.01 common      Sale             714         25.7165 USD 
USD 0.01 common      Sale             778         25.7016 USD 
USD 0.01 common      Sale             800         25.7775 USD 
USD 0.01 common      Sale             850         25.6664 USD 
USD 0.01 common      Sale             864         25.7913 USD 
USD 0.01 common      Sale             878         25.7430 USD 
USD 0.01 common      Sale             899         25.7643 USD 
USD 0.01 common      Sale             937         25.7134 USD 
USD 0.01 common      Sale             944         25.7532 USD 
USD 0.01 common      Sale             1,016       25.7018 USD 
USD 0.01 common      Sale             1,128       25.7223 USD 
USD 0.01 common      Sale             1,306       25.7597 USD 
USD 0.01 common      Sale             1,351       25.7045 USD 
USD 0.01 common      Sale             1,497       25.7320 USD 
USD 0.01 common      Sale             1,588       25.7292 USD 
USD 0.01 common      Sale             1,763       25.7313 USD 
USD 0.01 common      Sale             1,965       25.6996 USD 
USD 0.01 common      Sale             2,400       25.7241 USD 
USD 0.01 common      Sale             2,435       25.7348 USD 
USD 0.01 common      Sale             2,767       25.7179 USD 
USD 0.01 common      Sale             2,904       25.7244 USD 
USD 0.01 common      Sale             3,411       25.7521 USD 
USD 0.01 common      Sale             3,682       25.7189 USD 
USD 0.01 common      Sale             4,288       25.7749 USD 
USD 0.01 common      Sale             4,466       25.7150 USD 
USD 0.01 common      Sale             4,803       25.7752 USD 
USD 0.01 common      Sale             4,899       25.7664 USD 
USD 0.01 common      Sale             4,915       25.7593 USD 
USD 0.01 common      Sale             4,949       25.8031 USD 
USD 0.01 common      Sale             6,005       25.7628 USD 
USD 0.01 common      Sale             6,634       25.7437 USD 
USD 0.01 common      Sale             7,455       25.6784 USD 
USD 0.01 common      Sale             8,803       25.7169 USD 
USD 0.01 common      Sale             21,401      25.6700 USD 
USD 0.01 common      Sale             21,476      25.8146 USD 
USD 0.01 common      Sale             31,458      25.6773 USD 
USD 0.01 common      Sale             46,623      25.8291 USD 
USD 0.01 common      Sale             49,693      25.6777 USD 
USD 0.01 common      Sale             54,844      25.7311 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:                 11 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.

 

View source version on businesswire.com: https://www.businesswire.com/news/home/20211011005291/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2021 
 

(END) Dow Jones Newswires

October 11, 2021 06:10 ET (10:10 GMT)

Barclays (LSE:BARC)
Historical Stock Chart
From Nov 2021 to Dec 2021 Click Here for more Barclays Charts.
Barclays (LSE:BARC)
Historical Stock Chart
From Dec 2020 to Dec 2021 Click Here for more Barclays Charts.