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:             13 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      (%) 
      Relevant securities 
(1)   owned 
 and/or controlled:          1,482,248         0.25%       759,568     0.13% 
 
      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:                      1,837,115         0.32%       1,789,990   0.31% 
 
                             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         3             25.0650 USD 
USD 0.01 common      Purchase         4             25.1200 USD 
USD 0.01 common      Purchase         6             25.2733 USD 
USD 0.01 common      Purchase         6             25.1333 USD 
USD 0.01 common      Purchase         6             25.1100 USD 
USD 0.01 common      Purchase         16            25.1237 USD 
USD 0.01 common      Purchase         26            25.2688 USD 
USD 0.01 common      Purchase         100           25.1700 USD 
USD 0.01 common      Purchase         100           25.2500 USD 
USD 0.01 common      Purchase         105           25.1714 USD 
USD 0.01 common      Purchase         462           25.3858 USD 
USD 0.01 common      Purchase         500           25.1730 USD 
USD 0.01 common      Purchase         571           25.2388 USD 
USD 0.01 common      Purchase         600           25.4900 USD 
USD 0.01 common      Purchase         607           25.4475 USD 
USD 0.01 common      Purchase         648           25.1917 USD 
USD 0.01 common      Purchase         1,293         25.1324 USD 
USD 0.01 common      Purchase         1,395         25.2727 USD 
USD 0.01 common      Purchase         1,473         25.1113 USD 
USD 0.01 common      Purchase         1,616         25.2370 USD 
USD 0.01 common      Purchase         2,420         25.1736 USD 
USD 0.01 common      Purchase         3,016         25.1712 USD 
USD 0.01 common      Purchase         4,555         25.1646 USD 
USD 0.01 common      Purchase         5,098         25.1691 USD 
USD 0.01 common      Purchase         8,241         25.4594 USD 
USD 0.01 common      Purchase         9,463         25.2736 USD 
USD 0.01 common      Purchase         9,540         25.2643 USD 
USD 0.01 common      Purchase         11,453        25.2895 USD 
USD 0.01 common      Purchase         17,216        25.0804 USD 
USD 0.01 common      Purchase         17,459        25.0809 USD 
USD 0.01 common      Purchase         18,475        25.2737 USD 
USD 0.01 common      Purchase         19,168        25.3200 USD 
USD 0.01 common      Purchase         27,567        25.2387 USD 
USD 0.01 common      Purchase         98,089        25.0800 USD 
USD 0.01 common      Purchase         132,630       25.1707 USD 
USD 0.01 common      Sale             45            25.1711 USD 
USD 0.01 common      Sale             64            25.2000 USD 
USD 0.01 common      Sale             64            25.0750 USD 
USD 0.01 common      Sale             65            25.3400 USD 
USD 0.01 common      Sale             96            25.1283 USD 
USD 0.01 common      Sale             96            25.0916 USD 
USD 0.01 common      Sale             100           25.1700 USD 
USD 0.01 common      Sale             100           25.2450 USD 
USD 0.01 common      Sale             100           25.3250 USD 
USD 0.01 common      Sale             100           25.2200 USD 
USD 0.01 common      Sale             100           25.3000 USD 
USD 0.01 common      Sale             100           25.2550 USD 
USD 0.01 common      Sale             105           25.1714 USD 
USD 0.01 common      Sale             106           25.2920 USD 
USD 0.01 common      Sale             128           25.1400 USD 
USD 0.01 common      Sale             138           25.2510 USD 
USD 0.01 common      Sale             150           25.2833 USD 
USD 0.01 common      Sale             200           25.4500 USD 
USD 0.01 common      Sale             283           25.4200 USD 
USD 0.01 common      Sale             288           25.1444 USD 
USD 0.01 common      Sale             300           25.3150 USD 
USD 0.01 common      Sale             367           25.3626 USD 
USD 0.01 common      Sale             400           25.2075 USD 
USD 0.01 common      Sale             400           25.1875 USD 
USD 0.01 common      Sale             400           25.4900 USD 
USD 0.01 common      Sale             400           25.2612 USD 
USD 0.01 common      Sale             402           25.2599 USD 
USD 0.01 common      Sale             500           25.2150 USD 
USD 0.01 common      Sale             500           25.2470 USD 
USD 0.01 common      Sale             500           25.2540 USD 
USD 0.01 common      Sale             600           25.2525 USD 
USD 0.01 common      Sale             616           25.4018 USD 
USD 0.01 common      Sale             647           25.2565 USD 
USD 0.01 common      Sale             792           25.2405 USD 
USD 0.01 common      Sale             800           25.1900 USD 
USD 0.01 common      Sale             816           25.2917 USD 
USD 0.01 common      Sale             824           25.2336 USD 
USD 0.01 common      Sale             900           25.5200 USD 
USD 0.01 common      Sale             947           25.3010 USD 
USD 0.01 common      Sale             976           25.2328 USD 
USD 0.01 common      Sale             1,473         25.1113 USD 
USD 0.01 common      Sale             1,662         25.1810 USD 
USD 0.01 common      Sale             4,266         25.2172 USD 
USD 0.01 common      Sale             5,847         25.4649 USD 
USD 0.01 common      Sale             6,080         25.3111 USD 
USD 0.01 common      Sale             6,340         25.2870 USD 
USD 0.01 common      Sale             9,710         25.3200 USD 
USD 0.01 common      Sale             12,161        25.2668 USD 
USD 0.01 common      Sale             18,335        25.2795 USD 
USD 0.01 common      Sale             35,624        25.0808 USD 
USD 0.01 common      Sale             37,576        25.2243 USD 
USD 0.01 common      Sale             98,089        25.0800 USD 
USD 0.01 common      Sale             142,193       25.1733 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:                 14 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/20211014005579/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2021 
 

(END) Dow Jones Newswires

October 14, 2021 07:08 ET (11:08 GMT)

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