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:             14 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:          1,516,033         0.26%       886,075     0.15% 
 
      Cash-settled 
(2)   derivatives: 
                             641,167           0.11%       1,028,322   0.18% 
 
      Stock-settled 
      derivatives 
(3)   (including options) 
 and agreements to 
  purchase/sell:             500               0.00%       2,100       0.00% 
 
 
 TOTAL:                      2,157,700         0.37%       1,916,497   0.33% 
 
                             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         52            25.1917 USD 
USD 0.01 common      Purchase         63            25.2883 USD 
USD 0.01 common      Purchase         64            25.2650 USD 
USD 0.01 common      Purchase         65            25.2897 USD 
USD 0.01 common      Purchase         84            25.2950 USD 
USD 0.01 common      Purchase         93            25.3103 USD 
USD 0.01 common      Purchase         100           25.2400 USD 
USD 0.01 common      Purchase         100           25.4150 USD 
USD 0.01 common      Purchase         100           25.3300 USD 
USD 0.01 common      Purchase         103           25.2954 USD 
USD 0.01 common      Purchase         158           25.2800 USD 
USD 0.01 common      Purchase         170           25.2888 USD 
USD 0.01 common      Purchase         251           25.2855 USD 
USD 0.01 common      Purchase         300           25.3000 USD 
USD 0.01 common      Purchase         650           25.2686 USD 
USD 0.01 common      Purchase         1,000         25.3200 USD 
USD 0.01 common      Purchase         1,300         25.2369 USD 
USD 0.01 common      Purchase         1,300         25.3138 USD 
USD 0.01 common      Purchase         1,843         25.2182 USD 
USD 0.01 common      Purchase         1,850         25.2945 USD 
USD 0.01 common      Purchase         2,220         25.2864 USD 
USD 0.01 common      Purchase         2,785         25.2208 USD 
USD 0.01 common      Purchase         2,900         25.2903 USD 
USD 0.01 common      Purchase         3,395         25.3078 USD 
USD 0.01 common      Purchase         4,188         25.3053 USD 
USD 0.01 common      Purchase         8,695         25.3418 USD 
USD 0.01 common      Purchase         9,026         25.3086 USD 
USD 0.01 common      Purchase         9,573         25.2782 USD 
USD 0.01 common      Purchase         10,654        25.2893 USD 
USD 0.01 common      Purchase         14,045        25.2784 USD 
USD 0.01 common      Purchase         15,443        25.2973 USD 
USD 0.01 common      Purchase         48,150        25.2899 USD 
USD 0.01 common      Purchase         53,091        25.2916 USD 
USD 0.01 common      Purchase         63,451        25.2926 USD 
USD 0.01 common      Purchase         177,254       25.2900 USD 
USD 0.01 common      Sale             1             25.3600 USD 
USD 0.01 common      Sale             3             25.3666 USD 
USD 0.01 common      Sale             12            25.2600 USD 
USD 0.01 common      Sale             52            25.1917 USD 
USD 0.01 common      Sale             79            25.2800 USD 
USD 0.01 common      Sale             185           25.2950 USD 
USD 0.01 common      Sale             200           25.3000 USD 
USD 0.01 common      Sale             408           25.3307 USD 
USD 0.01 common      Sale             576           25.2874 USD 
USD 0.01 common      Sale             1,854         25.3091 USD 
USD 0.01 common      Sale             2,315         25.2784 USD 
USD 0.01 common      Sale             5,321         25.3036 USD 
USD 0.01 common      Sale             8,151         25.2990 USD 
USD 0.01 common      Sale             10,859        25.2975 USD 
USD 0.01 common      Sale             12,322        25.3183 USD 
USD 0.01 common      Sale             16,537        25.3022 USD 
USD 0.01 common      Sale             18,195        25.2793 USD 
USD 0.01 common      Sale             48,515        25.2899 USD 
USD 0.01 common      Sale             57,761        25.2932 USD 
USD 0.01 common      Sale             62,518        25.2851 USD 
USD 0.01 common      Sale             190,016       25.2900 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:                 15 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/20211015005291/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2021 
 

(END) Dow Jones Newswires

October 15, 2021 07:18 ET (11:18 GMT)

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