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:             20 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:          1,570,930         0.27%       968,311     0.17% 
 
      Cash-settled 
(2)   derivatives: 
                             556,267           0.10%       1,028,322   0.18% 
 
      Stock-settled 
      derivatives 
(3)   (including options) 
 and agreements to 
  purchase/sell:             500               0.00%       2,100       0.00% 
 
 
 TOTAL:                      2,127,697         0.37%       1,998,733   0.34% 
 
                             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             25.9433 USD 
USD 0.01 common      Purchase         4             25.9600 USD 
USD 0.01 common      Purchase         6             25.9483 USD 
USD 0.01 common      Purchase         9             25.9366 USD 
USD 0.01 common      Purchase         10            25.9690 USD 
USD 0.01 common      Purchase         19            26.0900 USD 
USD 0.01 common      Purchase         19            25.9357 USD 
USD 0.01 common      Purchase         42            25.9688 USD 
USD 0.01 common      Purchase         50            25.9050 USD 
USD 0.01 common      Purchase         58            26.1387 USD 
USD 0.01 common      Purchase         60            25.9083 USD 
USD 0.01 common      Purchase         70            26.0121 USD 
USD 0.01 common      Purchase         85            25.9461 USD 
USD 0.01 common      Purchase         95            25.9163 USD 
USD 0.01 common      Purchase         101           26.0441 USD 
USD 0.01 common      Purchase         102           25.9642 USD 
USD 0.01 common      Purchase         115           25.9293 USD 
USD 0.01 common      Purchase         118           25.9534 USD 
USD 0.01 common      Purchase         135           25.9492 USD 
USD 0.01 common      Purchase         145           26.0098 USD 
USD 0.01 common      Purchase         151           25.9874 USD 
USD 0.01 common      Purchase         153           25.7554 USD 
USD 0.01 common      Purchase         185           25.9545 USD 
USD 0.01 common      Purchase         200           26.0425 USD 
USD 0.01 common      Purchase         200           25.9300 USD 
USD 0.01 common      Purchase         211           26.0390 USD 
USD 0.01 common      Purchase         400           25.9800 USD 
USD 0.01 common      Purchase         405           26.0436 USD 
USD 0.01 common      Purchase         504           26.0992 USD 
USD 0.01 common      Purchase         600           25.9633 USD 
USD 0.01 common      Purchase         654           26.1279 USD 
USD 0.01 common      Purchase         700           26.0428 USD 
USD 0.01 common      Purchase         1,145         26.0246 USD 
USD 0.01 common      Purchase         1,275         25.9400 USD 
USD 0.01 common      Purchase         1,491         26.0240 USD 
USD 0.01 common      Purchase         1,694         25.9762 USD 
USD 0.01 common      Purchase         2,109         26.0967 USD 
USD 0.01 common      Purchase         2,259         26.0657 USD 
USD 0.01 common      Purchase         2,372         26.0076 USD 
USD 0.01 common      Purchase         2,396         25.9945 USD 
USD 0.01 common      Purchase         2,922         25.9827 USD 
USD 0.01 common      Purchase         3,234         26.1300 USD 
USD 0.01 common      Purchase         3,623         26.0617 USD 
USD 0.01 common      Purchase         4,438         26.0060 USD 
USD 0.01 common      Purchase         5,503         25.8200 USD 
USD 0.01 common      Purchase         11,251        26.0194 USD 
USD 0.01 common      Purchase         31,339        26.0784 USD 
USD 0.01 common      Purchase         32,635        26.0074 USD 
USD 0.01 common      Sale             4             25.9175 USD 
USD 0.01 common      Sale             17            26.0761 USD 
USD 0.01 common      Sale             30            26.0200 USD 
USD 0.01 common      Sale             37            26.1400 USD 
USD 0.01 common      Sale             44            26.0400 USD 
USD 0.01 common      Sale             44            26.1000 USD 
USD 0.01 common      Sale             44            26.1100 USD 
USD 0.01 common      Sale             47            26.1128 USD 
USD 0.01 common      Sale             63            26.0900 USD 
USD 0.01 common      Sale             88            26.0950 USD 
USD 0.01 common      Sale             90            26.0333 USD 
USD 0.01 common      Sale             94            26.0857 USD 
USD 0.01 common      Sale             120           26.0725 USD 
USD 0.01 common      Sale             144           26.1105 USD 
USD 0.01 common      Sale             150           26.0800 USD 
USD 0.01 common      Sale             200           26.0475 USD 
USD 0.01 common      Sale             200           26.0300 USD 
USD 0.01 common      Sale             255           26.0417 USD 
USD 0.01 common      Sale             276           26.1250 USD 
USD 0.01 common      Sale             290           26.0600 USD 
USD 0.01 common      Sale             290           26.0500 USD 
USD 0.01 common      Sale             300           26.0566 USD 
USD 0.01 common      Sale             300           26.0416 USD 
USD 0.01 common      Sale             346           26.1213 USD 
USD 0.01 common      Sale             348           26.1013 USD 
USD 0.01 common      Sale             352           26.0298 USD 
USD 0.01 common      Sale             401           26.0594 USD 
USD 0.01 common      Sale             430           26.1200 USD 
USD 0.01 common      Sale             615           26.0586 USD 
USD 0.01 common      Sale             654           26.1279 USD 
USD 0.01 common      Sale             666           26.0592 USD 
USD 0.01 common      Sale             742           25.9400 USD 
USD 0.01 common      Sale             900           26.0961 USD 
USD 0.01 common      Sale             908           26.0905 USD 
USD 0.01 common      Sale             1,252         26.0396 USD 
USD 0.01 common      Sale             1,571         25.9870 USD 
USD 0.01 common      Sale             1,804         26.0439 USD 
USD 0.01 common      Sale             2,396         25.9945 USD 
USD 0.01 common      Sale             2,567         26.0118 USD 
USD 0.01 common      Sale             3,266         26.1300 USD 
USD 0.01 common      Sale             3,358         26.1232 USD 
USD 0.01 common      Sale             3,428         26.0775 USD 
USD 0.01 common      Sale             5,013         25.9904 USD 
USD 0.01 common      Sale             5,503         25.8200 USD 
USD 0.01 common      Sale             6,547         26.1184 USD 
USD 0.01 common      Sale             10,825        26.1081 USD 
USD 0.01 common      Sale             12,751        26.0166 USD 
USD 0.01 common      Sale             15,419        26.0514 USD 
USD 0.01 common      Sale             29,826        25.9805 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:                 21 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/20211021005512/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2021 
 

(END) Dow Jones Newswires

October 21, 2021 06:33 ET (10:33 GMT)

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