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 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:                 26 October 2021 
(f)  In addition to the company in 1(c) above, is the       YES: 
     discloser making 
     disclosures in respect of any other party to the       AVAST PLC 
     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:         1,595,924            0.27%       1,059,921   0.18% 
 
      Cash-settled 
(2)   derivatives: 
                            733,267              0.13%       1,028,322   0.18% 
 
      Stock-settled 
      derivatives 
(3)   (including options) 
 and agreements to 
  purchase/sell:            500                  0.00%       2,100       0.00% 
 
 
 TOTAL:                     2,329,691            0.40%       2,090,343   0.36% 
 
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 
(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 
USD 0.01 common    Purchase       1           26.6700 USD 
USD 0.01 common    Purchase       5           26.5100 USD 
USD 0.01 common    Purchase       58          26.4551 USD 
USD 0.01 common    Purchase       100         26.5650 USD 
USD 0.01 common    Purchase       200         26.5400 USD 
USD 0.01 common    Purchase       200         26.5600 USD 
USD 0.01 common    Purchase       280         26.4335 USD 
USD 0.01 common    Purchase       656         26.5127 USD 
USD 0.01 common    Purchase       700         26.4464 USD 
USD 0.01 common    Purchase       700         26.3942 USD 
USD 0.01 common    Purchase       712         26.5943 USD 
USD 0.01 common    Purchase       1,368       26.4373 USD 
USD 0.01 common    Purchase       1,711       26.4951 USD 
USD 0.01 common    Purchase       2,700       26.4548 USD 
USD 0.01 common    Purchase       2,704       26.4814 USD 
USD 0.01 common    Purchase       3,498       26.4540 USD 
USD 0.01 common    Purchase       5,986       26.4720 USD 
USD 0.01 common    Purchase       11,421      26.4798 USD 
USD 0.01 common    Purchase       12,697      26.5231 USD 
USD 0.01 common    Purchase       18,109      26.3500 USD 
USD 0.01 common    Purchase       20,174      26.5682 USD 
USD 0.01 common    Purchase       20,729      26.3612 USD 
USD 0.01 common    Purchase       21,259      26.3582 USD 
USD 0.01 common    Purchase       61,427      26.4465 USD 
USD 0.01 common    Purchase       91,060      26.3505 USD 
USD 0.01 common    Sale           53          26.6513 USD 
USD 0.01 common    Sale           100         26.7200 USD 
USD 0.01 common    Sale           100         26.5650 USD 
USD 0.01 common    Sale           100         26.5400 USD 
USD 0.01 common    Sale           119         26.4289 USD 
USD 0.01 common    Sale           175         26.3959 USD 
USD 0.01 common    Sale           200         26.5600 USD 
USD 0.01 common    Sale           200         26.4250 USD 
USD 0.01 common    Sale           200         26.5000 USD 
USD 0.01 common    Sale           271         26.5063 USD 
USD 0.01 common    Sale           304         26.4166 USD 
USD 0.01 common    Sale           570         26.7600 USD 
USD 0.01 common    Sale           600         26.6133 USD 
USD 0.01 common    Sale           1,300       26.5469 USD 
USD 0.01 common    Sale           1,314       26.5807 USD 
USD 0.01 common    Sale           1,334       26.4143 USD 
USD 0.01 common    Sale           1,847       26.6252 USD 
USD 0.01 common    Sale           2,544       26.4853 USD 
USD 0.01 common    Sale           3,272       26.4658 USD 
USD 0.01 common    Sale           4,624       26.4873 USD 
USD 0.01 common    Sale           12,137      26.5960 USD 
USD 0.01 common    Sale           14,598      26.5019 USD 
USD 0.01 common    Sale           15,521      26.4701 USD 
USD 0.01 common    Sale           16,188      26.4779 USD 
USD 0.01 common    Sale           21,544      26.3592 USD 
USD 0.01 common    Sale           37,245      26.3500 USD 
USD 0.01 common    Sale           50,305      26.4403 USD 
USD 0.01 common    Sale           90,566      26.3501 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:                    27 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/20211027005490/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2021 
 

(END) Dow Jones Newswires

October 27, 2021 06:04 ET (10:04 GMT)

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