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   11 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:     1,468,764            0.25%       714,756     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:                 1,823,631            0.31%       1,745,178   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% 
                                                                         0 
 

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         12            25.8800 USD 
USD 0.01 common      Purchase         19            25.6968 USD 
USD 0.01 common      Purchase         25            25.7800 USD 
USD 0.01 common      Purchase         251           25.6101 USD 
USD 0.01 common      Purchase         262           25.6387 USD 
USD 0.01 common      Purchase         481           25.7018 USD 
USD 0.01 common      Purchase         603           25.7600 USD 
USD 0.01 common      Purchase         627           25.6224 USD 
USD 0.01 common      Purchase         1,072         25.7864 USD 
USD 0.01 common      Purchase         1,282         25.8628 USD 
USD 0.01 common      Purchase         2,042         25.6312 USD 
USD 0.01 common      Purchase         2,412         25.6394 USD 
USD 0.01 common      Purchase         2,600         25.8000 USD 
USD 0.01 common      Purchase         3,022         25.7966 USD 
USD 0.01 common      Purchase         6,801         25.8707 USD 
USD 0.01 common      Purchase         9,393         25.6381 USD 
USD 0.01 common      Purchase         22,798        25.6114 USD 
USD 0.01 common      Purchase         38,909        25.5900 USD 
USD 0.01 common      Purchase         43,958        25.8304 USD 
USD 0.01 common      Sale             2             25.2200 USD 
USD 0.01 common      Sale             20            25.6550 USD 
USD 0.01 common      Sale             21            25.6600 USD 
USD 0.01 common      Sale             26            25.6450 USD 
USD 0.01 common      Sale             50            25.7425 USD 
USD 0.01 common      Sale             52            25.5950 USD 
USD 0.01 common      Sale             52            25.6050 USD 
USD 0.01 common      Sale             53            25.7803 USD 
USD 0.01 common      Sale             57            25.6712 USD 
USD 0.01 common      Sale             68            25.6650 USD 
USD 0.01 common      Sale             70            25.6545 USD 
USD 0.01 common      Sale             70            25.6850 USD 
USD 0.01 common      Sale             91            25.7350 USD 
USD 0.01 common      Sale             92            25.9633 USD 
USD 0.01 common      Sale             100           25.7894 USD 
USD 0.01 common      Sale             112           25.8220 USD 
USD 0.01 common      Sale             126           25.9298 USD 
USD 0.01 common      Sale             140           25.6700 USD 
USD 0.01 common      Sale             182           25.7472 USD 
USD 0.01 common      Sale             200           25.9050 USD 
USD 0.01 common      Sale             200           25.7725 USD 
USD 0.01 common      Sale             200           25.9825 USD 
USD 0.01 common      Sale             236           25.7879 USD 
USD 0.01 common      Sale             255           25.8351 USD 
USD 0.01 common      Sale             366           25.9377 USD 
USD 0.01 common      Sale             401           25.8646 USD 
USD 0.01 common      Sale             421           25.8844 USD 
USD 0.01 common      Sale             481           25.7018 USD 
USD 0.01 common      Sale             500           25.8980 USD 
USD 0.01 common      Sale             505           25.8384 USD 
USD 0.01 common      Sale             600           25.8366 USD 
USD 0.01 common      Sale             617           25.5907 USD 
USD 0.01 common      Sale             1,300         25.8000 USD 
USD 0.01 common      Sale             1,410         25.5933 USD 
USD 0.01 common      Sale             1,493         25.9107 USD 
USD 0.01 common      Sale             1,858         25.5929 USD 
USD 0.01 common      Sale             2,262         25.7829 USD 
USD 0.01 common      Sale             2,431         25.8059 USD 
USD 0.01 common      Sale             6,801         25.8707 USD 
USD 0.01 common      Sale             15,568        25.7268 USD 
USD 0.01 common      Sale             15,656        25.6103 USD 
USD 0.01 common      Sale             24,748        25.6138 USD 
USD 0.01 common      Sale             25,400        25.8826 USD 
USD 0.01 common      Sale             35,368        25.5900 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:   12 Oct 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/20211012005647/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2021 
 

(END) Dow Jones Newswires

October 12, 2021 08:16 ET (12:16 GMT)

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