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:             25 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:                   1,550,543   0.27%  972,610     0.17% 
 
(2)  Cash-settled 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% 
 
(4) 
     TOTAL:                               2,107,310   0.36%  2,003,032   0.34% 
 
 
 
Class of relevant 
security:                   Convertible Bond 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 
     (including 
(3)  options) 
     and agreements to 
     purchase/sell:         0                  0.00%         0          0.00% 
 
(4) 
     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 
USD 0.01 common      Purchase         4           26.7300 USD 
USD 0.01 common      Purchase         9           26.7500 USD 
USD 0.01 common      Purchase         70          26.8500 USD 
USD 0.01 common      Purchase         70          26.8250 USD 
USD 0.01 common      Purchase         72          26.7000 USD 
USD 0.01 common      Purchase         80          22.9900 EUR 
USD 0.01 common      Purchase         100         26.7350 USD 
USD 0.01 common      Purchase         198         26.6397 USD 
USD 0.01 common      Purchase         200         26.7375 USD 
USD 0.01 common      Purchase         200         26.6200 USD 
USD 0.01 common      Purchase         200         26.7175 USD 
USD 0.01 common      Purchase         230         26.7386 USD 
USD 0.01 common      Purchase         300         26.7333 USD 
USD 0.01 common      Purchase         300         26.7366 USD 
USD 0.01 common      Purchase         400         26.5400 USD 
USD 0.01 common      Purchase         1,078       26.6501 USD 
USD 0.01 common      Purchase         1,300       26.7441 USD 
USD 0.01 common      Purchase         1,490       26.6634 USD 
USD 0.01 common      Purchase         2,108       26.7376 USD 
USD 0.01 common      Purchase         3,145       26.7192 USD 
USD 0.01 common      Purchase         3,279       26.6657 USD 
USD 0.01 common      Purchase         4,753       26.7443 USD 
USD 0.01 common      Purchase         5,688       26.7425 USD 
USD 0.01 common      Purchase         10,684      26.6835 USD 
USD 0.01 common      Purchase         14,410      26.7217 USD 
USD 0.01 common      Purchase         17,892      26.7241 USD 
USD 0.01 common      Purchase         23,362      26.7197 USD 
USD 0.01 common      Purchase         25,549      26.6700 USD 
USD 0.01 common      Purchase         90,618      26.7195 USD 
USD 0.01 common      Sale             34          26.7035 USD 
USD 0.01 common      Sale             40          26.8215 USD 
USD 0.01 common      Sale             70          26.8500 USD 
USD 0.01 common      Sale             80          22.9900 EUR 
USD 0.01 common      Sale             100         26.7400 USD 
USD 0.01 common      Sale             400         26.5400 USD 
USD 0.01 common      Sale             400         26.6900 USD 
USD 0.01 common      Sale             407         26.7110 USD 
USD 0.01 common      Sale             445         26.6755 USD 
USD 0.01 common      Sale             540         26.7133 USD 
USD 0.01 common      Sale             600         26.7200 USD 
USD 0.01 common      Sale             859         26.6950 USD 
USD 0.01 common      Sale             1,100       26.7618 USD 
USD 0.01 common      Sale             1,100       26.7336 USD 
USD 0.01 common      Sale             1,203       26.7505 USD 
USD 0.01 common      Sale             1,762       26.6622 USD 
USD 0.01 common      Sale             1,814       26.7394 USD 
USD 0.01 common      Sale             2,149       26.7720 USD 
USD 0.01 common      Sale             2,335       26.7242 USD 
USD 0.01 common      Sale             3,265       26.6303 USD 
USD 0.01 common      Sale             3,279       26.6657 USD 
USD 0.01 common      Sale             3,536       26.7317 USD 
USD 0.01 common      Sale             3,549       26.7547 USD 
USD 0.01 common      Sale             4,001       26.7043 USD 
USD 0.01 common      Sale             6,592       26.7280 USD 
USD 0.01 common      Sale             9,040       26.6733 USD 
USD 0.01 common      Sale             12,910      26.7208 USD 
USD 0.01 common      Sale             17,042      26.7268 USD 
USD 0.01 common      Sale             21,035      26.7300 USD 
USD 0.01 common      Sale             25,174      26.6700 USD 
USD 0.01 common      Sale             82,553      26.7190 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:                 26 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/20211026005741/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2021 
 

(END) Dow Jones Newswires

October 26, 2021 08:26 ET (12:26 GMT)

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