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:             12 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      (%) 
(1)  Relevant securities owned 
     and/or controlled:                   1,468,593   0.25%  778,088     0.13% 
 
(2)  Cash-settled 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% 
 
(4) 
     TOTAL:                               1,823,460   0.31%  1,808,510   0.31% 
 
 
 
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         6             25.3100 USD 
USD 0.01 common      Purchase         8             25.3650 USD 
USD 0.01 common      Purchase         10            25.3550 USD 
USD 0.01 common      Purchase         10            25.4050 USD 
USD 0.01 common      Purchase         14            25.3414 USD 
USD 0.01 common      Purchase         36            25.3638 USD 
USD 0.01 common      Purchase         42            25.3900 USD 
USD 0.01 common      Purchase         62            25.6000 USD 
USD 0.01 common      Purchase         100           25.3450 USD 
USD 0.01 common      Purchase         102           25.3544 USD 
USD 0.01 common      Purchase         102           25.3533 USD 
USD 0.01 common      Purchase         104           25.3388 USD 
USD 0.01 common      Purchase         105           25.3752 USD 
USD 0.01 common      Purchase         178           25.6600 USD 
USD 0.01 common      Purchase         200           25.3300 USD 
USD 0.01 common      Purchase         274           25.3218 USD 
USD 0.01 common      Purchase         400           25.5650 USD 
USD 0.01 common      Purchase         419           25.4786 USD 
USD 0.01 common      Purchase         500           25.5080 USD 
USD 0.01 common      Purchase         850           25.3634 USD 
USD 0.01 common      Purchase         910           25.3276 USD 
USD 0.01 common      Purchase         1,516         25.4351 USD 
USD 0.01 common      Purchase         7,568         25.3787 USD 
USD 0.01 common      Purchase         12,726        25.4384 USD 
USD 0.01 common      Purchase         16,383        25.4111 USD 
USD 0.01 common      Purchase         18,900        25.3818 USD 
USD 0.01 common      Purchase         19,748        25.3794 USD 
USD 0.01 common      Purchase         34,317        25.3943 USD 
USD 0.01 common      Purchase         39,374        25.4035 USD 
USD 0.01 common      Purchase         47,306        25.3937 USD 
USD 0.01 common      Purchase         59,979        25.3800 USD 
USD 0.01 common      Purchase         86,305        25.3823 USD 
USD 0.01 common      Sale             5             25.2600 USD 
USD 0.01 common      Sale             10            25.4000 USD 
USD 0.01 common      Sale             14            25.3450 USD 
USD 0.01 common      Sale             20            25.4100 USD 
USD 0.01 common      Sale             20            25.3900 USD 
USD 0.01 common      Sale             26            25.3500 USD 
USD 0.01 common      Sale             50            25.3350 USD 
USD 0.01 common      Sale             100           25.3300 USD 
USD 0.01 common      Sale             100           25.6100 USD 
USD 0.01 common      Sale             100           25.6050 USD 
USD 0.01 common      Sale             100           25.4700 USD 
USD 0.01 common      Sale             100           25.4200 USD 
USD 0.01 common      Sale             158           25.6213 USD 
USD 0.01 common      Sale             198           25.3718 USD 
USD 0.01 common      Sale             200           25.5350 USD 
USD 0.01 common      Sale             200           25.3012 USD 
USD 0.01 common      Sale             210           25.4050 USD 
USD 0.01 common      Sale             238           25.5979 USD 
USD 0.01 common      Sale             256           25.3400 USD 
USD 0.01 common      Sale             300           25.3316 USD 
USD 0.01 common      Sale             300           25.3516 USD 
USD 0.01 common      Sale             300           25.4450 USD 
USD 0.01 common      Sale             300           25.5716 USD 
USD 0.01 common      Sale             378           25.5223 USD 
USD 0.01 common      Sale             379           25.5811 USD 
USD 0.01 common      Sale             400           25.5125 USD 
USD 0.01 common      Sale             400           25.5425 USD 
USD 0.01 common      Sale             400           25.3650 USD 
USD 0.01 common      Sale             414           25.5549 USD 
USD 0.01 common      Sale             500           25.3980 USD 
USD 0.01 common      Sale             500           25.3790 USD 
USD 0.01 common      Sale             500           25.6700 USD 
USD 0.01 common      Sale             500           25.3750 USD 
USD 0.01 common      Sale             600           25.5966 USD 
USD 0.01 common      Sale             668           25.4559 USD 
USD 0.01 common      Sale             717           25.2977 USD 
USD 0.01 common      Sale             1,000         25.3420 USD 
USD 0.01 common      Sale             1,100         25.3745 USD 
USD 0.01 common      Sale             1,183         25.3824 USD 
USD 0.01 common      Sale             1,200         25.3783 USD 
USD 0.01 common      Sale             1,309         25.4016 USD 
USD 0.01 common      Sale             1,671         25.3533 USD 
USD 0.01 common      Sale             6,368         25.3856 USD 
USD 0.01 common      Sale             11,114        25.3879 USD 
USD 0.01 common      Sale             13,018        25.4366 USD 
USD 0.01 common      Sale             14,000        25.3823 USD 
USD 0.01 common      Sale             21,034        25.3801 USD 
USD 0.01 common      Sale             23,277        25.3964 USD 
USD 0.01 common      Sale             34,477        25.3923 USD 
USD 0.01 common      Sale             36,143        25.3893 USD 
USD 0.01 common      Sale             49,745        25.3973 USD 
USD 0.01 common      Sale             59,393        25.3800 USD 
USD 0.01 common      Sale             61,533        25.3819 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:                 13 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/20211013005573/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2021 
 

(END) Dow Jones Newswires

October 13, 2021 06:45 ET (10:45 GMT)

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