TIDMBARC 
 
 

FORM 8.3 - Amendment to Purchase

 

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 whose       NORTONLIFELOCK INC 
     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:             18 October 2021 
(f)  In addition to the company in 1(c) above, is       YES: 
     the discloser making 
     disclosures in respect of any other party to       AVAST PLC 
     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:          1,558,209           0.27%       967,045     0.17% 
 
      Cash-settled 
(2)   derivatives: 
                             655,267             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:                      2,213,976           0.38%       1,997,467   0.34% 
 
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 
(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         2             25.4900 USD 
USD 0.01 common      Purchase         2             25.5000 USD 
USD 0.01 common      Purchase         3             25.4833 USD 
USD 0.01 common      Purchase         3             25.4866 USD 
USD 0.01 common      Purchase         5             25.4380 USD 
USD 0.01 common      Purchase         5             25.4660 USD 
USD 0.01 common      Purchase         7             25.4685 USD 
USD 0.01 common      Purchase         32            25.6556 USD 
USD 0.01 common      Purchase         44            25.6381 USD 
USD 0.01 common      Purchase         50            25.7089 USD 
USD 0.01 common      Purchase         100           25.6450 USD 
USD 0.01 common      Purchase         100           25.7050 USD 
USD 0.01 common      Purchase         103           25.7229 USD 
USD 0.01 common      Purchase         137           25.5800 USD 
USD 0.01 common      Purchase         200           25.3500 USD 
USD 0.01 common      Purchase         507           25.7215 USD 
USD 0.01 common      Purchase         534           25.6994 USD 
USD 0.01 common      Purchase         699           25.7238 USD 
USD 0.01 common      Purchase         2,178         25.6112 USD 
USD 0.01 common      Purchase         3,531         25.5926 USD 
USD 0.01 common      Purchase         3,673         25.7191 USD 
USD 0.01 common      Purchase         5,250         25.6108 USD 
USD 0.01 common      Purchase         5,250         25.6107 USD 
USD 0.01 common      Purchase         5,685         25.6154 USD 
USD 0.01 common      Purchase         7,953         25.7198 USD 
USD 0.01 common      Purchase         11,330        25.6890 USD 
USD 0.01 common      Purchase         11,913        25.7200 USD 
USD 0.01 common      Purchase         31,283        25.6526 USD 
USD 0.01 common      Purchase         35,644        25.6822 USD 
USD 0.01 common      Purchase         62,145        25.6558 USD 
USD 0.01 common      Purchase         93,841        25.7187 USD 
USD 0.01 common      Sale             44            25.6381 USD 
USD 0.01 common      Sale             67            25.4686 USD 
USD 0.01 common      Sale             102           25.6900 USD 
USD 0.01 common      Sale             157           25.6668 USD 
USD 0.01 common      Sale             200           25.3500 USD 
USD 0.01 common      Sale             200           25.6950 USD 
USD 0.01 common      Sale             200           25.6675 USD 
USD 0.01 common      Sale             214           25.6416 USD 
USD 0.01 common      Sale             294           25.7036 USD 
USD 0.01 common      Sale             300           25.7100 USD 
USD 0.01 common      Sale             300           25.7016 USD 
USD 0.01 common      Sale             313           25.4361 USD 
USD 0.01 common      Sale             327           25.6503 USD 
USD 0.01 common      Sale             331           25.6570 USD 
USD 0.01 common      Sale             338           25.6300 USD 
USD 0.01 common      Sale             350           25.6214 USD 
USD 0.01 common      Sale             450           25.6058 USD 
USD 0.01 common      Sale             534           25.6994 USD 
USD 0.01 common      Sale             543           25.5690 USD 
USD 0.01 common      Sale             600           25.7233 USD 
USD 0.01 common      Sale             605           25.6318 USD 
USD 0.01 common      Sale             700           25.6050 USD 
USD 0.01 common      Sale             700           25.6078 USD 
USD 0.01 common      Sale             707           25.6800 USD 
USD 0.01 common      Sale             729           25.6255 USD 
USD 0.01 common      Sale             750           25.6449 USD 
USD 0.01 common      Sale             803           25.6466 USD 
USD 0.01 common      Sale             937           25.5800 USD 
USD 0.01 common      Sale             1,066         25.6377 USD 
USD 0.01 common      Sale             1,203         25.6390 USD 
USD 0.01 common      Sale             1,376         25.6331 USD 
USD 0.01 common      Sale             1,379         25.6768 USD 
USD 0.01 common      Sale             1,616         25.6284 USD 
USD 0.01 common      Sale             1,663         25.6371 USD 
USD 0.01 common      Sale             2,324         25.5911 USD 
USD 0.01 common      Sale             2,595         25.6123 USD 
USD 0.01 common      Sale             2,722         25.7026 USD 
USD 0.01 common      Sale             2,758         25.7022 USD 
USD 0.01 common      Sale             3,400         25.6132 USD 
USD 0.01 common      Sale             5,250         25.6107 USD 
USD 0.01 common      Sale             7,089         25.6100 USD 
USD 0.01 common      Sale             10,436        25.6867 USD 
USD 0.01 common      Sale             11,334        25.6401 USD 
USD 0.01 common      Sale             16,704        25.6317 USD 
USD 0.01 common      Sale             17,527        25.7200 USD 
USD 0.01 common      Sale             19,349        25.6631 USD 
USD 0.01 common      Sale             25,059        25.7023 USD 
USD 0.01 common      Sale             38,103        25.6659 USD 
USD 0.01 common      Sale             92,236        25.7195 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:                 20 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 positions/dealings       Barclays PLC. 
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/20211020005817/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2021 
 

(END) Dow Jones Newswires

October 20, 2021 11:29 ET (15:29 GMT)

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