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:             15 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:                   1,579,029   0.27%  886,125     0.15% 
 
(2)  Cash-settled 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% 
 
(4) 
     TOTAL:                               2,220,696   0.38%  1,916,547   0.33% 
 
 
 
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         2           25.3250 USD 
USD 0.01 common      Purchase         4           25.4150 USD 
USD 0.01 common      Purchase         7           25.2500 USD 
USD 0.01 common      Purchase         7           25.2950 USD 
USD 0.01 common      Purchase         14          25.2875 USD 
USD 0.01 common      Purchase         14          25.2200 USD 
USD 0.01 common      Purchase         14          25.2671 USD 
USD 0.01 common      Purchase         14          25.2925 USD 
USD 0.01 common      Purchase         21          25.2266 USD 
USD 0.01 common      Purchase         21          25.2516 USD 
USD 0.01 common      Purchase         26          25.2630 USD 
USD 0.01 common      Purchase         28          25.2575 USD 
USD 0.01 common      Purchase         35          25.2750 USD 
USD 0.01 common      Purchase         41          25.3047 USD 
USD 0.01 common      Purchase         45          25.4031 USD 
USD 0.01 common      Purchase         53          25.4200 USD 
USD 0.01 common      Purchase         71          25.3301 USD 
USD 0.01 common      Purchase         76          25.3394 USD 
USD 0.01 common      Purchase         76          25.3018 USD 
USD 0.01 common      Purchase         85          25.2369 USD 
USD 0.01 common      Purchase         100         25.2150 USD 
USD 0.01 common      Purchase         100         25.3196 USD 
USD 0.01 common      Purchase         112         25.3114 USD 
USD 0.01 common      Purchase         116         25.3129 USD 
USD 0.01 common      Purchase         124         25.3535 USD 
USD 0.01 common      Purchase         140         25.3172 USD 
USD 0.01 common      Purchase         144         25.3327 USD 
USD 0.01 common      Purchase         148         25.3448 USD 
USD 0.01 common      Purchase         160         25.3385 USD 
USD 0.01 common      Purchase         230         25.2563 USD 
USD 0.01 common      Purchase         234         21.8447 EUR 
USD 0.01 common      Purchase         249         25.2650 USD 
USD 0.01 common      Purchase         669         25.3733 USD 
USD 0.01 common      Purchase         900         25.2400 USD 
USD 0.01 common      Purchase         979         25.2840 USD 
USD 0.01 common      Purchase         1,126       25.3555 USD 
USD 0.01 common      Purchase         1,200       25.3950 USD 
USD 0.01 common      Purchase         1,316       25.2732 USD 
USD 0.01 common      Purchase         1,427       25.2999 USD 
USD 0.01 common      Purchase         1,805       25.3900 USD 
USD 0.01 common      Purchase         2,200       25.2877 USD 
USD 0.01 common      Purchase         2,528       25.3211 USD 
USD 0.01 common      Purchase         2,684       25.3748 USD 
USD 0.01 common      Purchase         2,691       25.3061 USD 
USD 0.01 common      Purchase         2,718       25.2762 USD 
USD 0.01 common      Purchase         3,748       25.2960 USD 
USD 0.01 common      Purchase         4,918       25.3346 USD 
USD 0.01 common      Purchase         6,112       25.4051 USD 
USD 0.01 common      Purchase         10,059      25.3739 USD 
USD 0.01 common      Purchase         13,970      25.3471 USD 
USD 0.01 common      Purchase         16,096      25.3317 USD 
USD 0.01 common      Purchase         28,050      25.3017 USD 
USD 0.01 common      Purchase         37,389      25.3880 USD 
USD 0.01 common      Purchase         44,129      25.3119 USD 
USD 0.01 common      Purchase         64,139      25.3000 USD 
USD 0.01 common      Sale             1           25.3400 USD 
USD 0.01 common      Sale             1           25.2550 USD 
USD 0.01 common      Sale             24          25.3470 USD 
USD 0.01 common      Sale             25          25.4772 USD 
USD 0.01 common      Sale             34          25.2755 USD 
USD 0.01 common      Sale             34          25.2857 USD 
USD 0.01 common      Sale             35          25.3008 USD 
USD 0.01 common      Sale             36          25.3211 USD 
USD 0.01 common      Sale             44          25.3756 USD 
USD 0.01 common      Sale             53          25.4200 USD 
USD 0.01 common      Sale             55          25.3600 USD 
USD 0.01 common      Sale             59          25.3918 USD 
USD 0.01 common      Sale             73          25.3261 USD 
USD 0.01 common      Sale             85          25.2369 USD 
USD 0.01 common      Sale             100         25.2400 USD 
USD 0.01 common      Sale             100         25.2700 USD 
USD 0.01 common      Sale             107         25.2200 USD 
USD 0.01 common      Sale             200         25.2800 USD 
USD 0.01 common      Sale             234         21.8447 EUR 
USD 0.01 common      Sale             236         25.3760 USD 
USD 0.01 common      Sale             301         25.2697 USD 
USD 0.01 common      Sale             364         25.2842 USD 
USD 0.01 common      Sale             400         25.3087 USD 
USD 0.01 common      Sale             578         25.3900 USD 
USD 0.01 common      Sale             616         25.3476 USD 
USD 0.01 common      Sale             651         25.3495 USD 
USD 0.01 common      Sale             950         25.3724 USD 
USD 0.01 common      Sale             1,015       25.3913 USD 
USD 0.01 common      Sale             2,468       25.3808 USD 
USD 0.01 common      Sale             3,052       25.4074 USD 
USD 0.01 common      Sale             3,999       25.3133 USD 
USD 0.01 common      Sale             7,174       25.3571 USD 
USD 0.01 common      Sale             10,060      25.3691 USD 
USD 0.01 common      Sale             11,003      25.3016 USD 
USD 0.01 common      Sale             16,187      25.3230 USD 
USD 0.01 common      Sale             17,286      25.3398 USD 
USD 0.01 common      Sale             25,207      25.3000 USD 
USD 0.01 common      Sale             27,463      25.3017 USD 
USD 0.01 common      Sale             37,523      25.3876 USD 
USD 0.01 common      Sale             40,030      25.3113 USD 
USD 0.01 common      Sale             40,788      25.3005 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:                 18 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/20211018005429/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2021 
 

(END) Dow Jones Newswires

October 18, 2021 06:08 ET (10:08 GMT)

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