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:             21 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:          1,554,047         0.27%       972,880     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:                      2,110,814         0.36%       2,003,302   0.34% 
 
                             Convertible Bond 
Class of relevant security:  US668771AA66 
                             Interests                     Short Positions 
                             Number            (%)         Number      (%) 
      Relevant securities 
(1)   owned 
 and/or controlled:          361,000           0.06%       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:                      361,000           0.06%       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 
Convertible Bond     Purchase         430,000       130.4375 USD 
Convertible Bond     Sale             215,000       130.4375 USD 
USD 0.01 common      Purchase         1             26.1900 USD 
USD 0.01 common      Purchase         1             26.1800 USD 
USD 0.01 common      Purchase         1             26.2250 USD 
USD 0.01 common      Purchase         1             26.2200 USD 
USD 0.01 common      Purchase         2             26.2675 USD 
USD 0.01 common      Purchase         3             26.2033 USD 
USD 0.01 common      Purchase         7             26.2257 USD 
USD 0.01 common      Purchase         14            26.2821 USD 
USD 0.01 common      Purchase         20            26.2400 USD 
USD 0.01 common      Purchase         52            26.2950 USD 
USD 0.01 common      Purchase         100           26.2000 USD 
USD 0.01 common      Purchase         144           26.1915 USD 
USD 0.01 common      Purchase         224           26.1720 USD 
USD 0.01 common      Purchase         302           26.2100 USD 
USD 0.01 common      Purchase         400           26.2600 USD 
USD 0.01 common      Purchase         493           26.2517 USD 
USD 0.01 common      Purchase         500           26.0330 USD 
USD 0.01 common      Purchase         906           26.2964 USD 
USD 0.01 common      Purchase         1,205         26.2998 USD 
USD 0.01 common      Purchase         1,797         26.2169 USD 
USD 0.01 common      Purchase         2,234         26.2900 USD 
USD 0.01 common      Purchase         2,274         26.0620 USD 
USD 0.01 common      Purchase         3,885         26.2043 USD 
USD 0.01 common      Purchase         4,731         26.1779 USD 
USD 0.01 common      Purchase         5,540         26.2469 USD 
USD 0.01 common      Purchase         6,747         26.1882 USD 
USD 0.01 common      Purchase         12,646        26.2594 USD 
USD 0.01 common      Purchase         12,793        26.2727 USD 
USD 0.01 common      Purchase         84,101        26.2119 USD 
USD 0.01 common      Sale             16            26.2050 USD 
USD 0.01 common      Sale             16            26.2400 USD 
USD 0.01 common      Sale             16            26.2250 USD 
USD 0.01 common      Sale             16            26.2550 USD 
USD 0.01 common      Sale             22            26.2390 USD 
USD 0.01 common      Sale             23            26.2734 USD 
USD 0.01 common      Sale             36            26.2650 USD 
USD 0.01 common      Sale             43            26.2487 USD 
USD 0.01 common      Sale             64            26.2712 USD 
USD 0.01 common      Sale             68            26.2639 USD 
USD 0.01 common      Sale             72            26.2450 USD 
USD 0.01 common      Sale             96            26.2325 USD 
USD 0.01 common      Sale             100           26.2000 USD 
USD 0.01 common      Sale             108           26.0329 USD 
USD 0.01 common      Sale             112           26.2535 USD 
USD 0.01 common      Sale             123           26.2718 USD 
USD 0.01 common      Sale             159           26.2500 USD 
USD 0.01 common      Sale             201           26.1298 USD 
USD 0.01 common      Sale             300           26.0566 USD 
USD 0.01 common      Sale             344           26.1911 USD 
USD 0.01 common      Sale             359           26.0500 USD 
USD 0.01 common      Sale             400           26.1675 USD 
USD 0.01 common      Sale             400           26.0525 USD 
USD 0.01 common      Sale             422           26.0552 USD 
USD 0.01 common      Sale             424           26.1307 USD 
USD 0.01 common      Sale             500           26.0660 USD 
USD 0.01 common      Sale             500           26.0330 USD 
USD 0.01 common      Sale             527           26.2022 USD 
USD 0.01 common      Sale             550           26.2200 USD 
USD 0.01 common      Sale             600           26.1060 USD 
USD 0.01 common      Sale             600           26.1900 USD 
USD 0.01 common      Sale             800           26.0693 USD 
USD 0.01 common      Sale             852           26.2012 USD 
USD 0.01 common      Sale             900           26.0544 USD 
USD 0.01 common      Sale             918           26.1977 USD 
USD 0.01 common      Sale             931           26.2148 USD 
USD 0.01 common      Sale             1,036         26.1871 USD 
USD 0.01 common      Sale             1,100         26.0540 USD 
USD 0.01 common      Sale             1,187         26.1885 USD 
USD 0.01 common      Sale             1,211         26.1771 USD 
USD 0.01 common      Sale             1,257         26.2216 USD 
USD 0.01 common      Sale             1,931         26.0510 USD 
USD 0.01 common      Sale             2,077         26.2032 USD 
USD 0.01 common      Sale             2,163         26.2970 USD 
USD 0.01 common      Sale             2,172         26.2160 USD 
USD 0.01 common      Sale             2,404         26.1967 USD 
USD 0.01 common      Sale             2,406         26.2900 USD 
USD 0.01 common      Sale             3,021         26.1923 USD 
USD 0.01 common      Sale             3,092         26.2215 USD 
USD 0.01 common      Sale             3,100         26.0546 USD 
USD 0.01 common      Sale             4,327         26.1938 USD 
USD 0.01 common      Sale             5,123         26.2434 USD 
USD 0.01 common      Sale             5,499         26.1867 USD 
USD 0.01 common      Sale             7,594         26.1569 USD 
USD 0.01 common      Sale             10,538        26.2853 USD 
USD 0.01 common      Sale             11,637        26.2656 USD 
USD 0.01 common      Sale             66,682        26.2164 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:                 22 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/20211022005174/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2021 
 

(END) Dow Jones Newswires

October 22, 2021 06:13 ET (10:13 GMT)

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