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:                 16 July 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:           1,964,962               0.34%  183,743     0.03% 
 
      Cash-settled 
(2)   derivatives: 
                              24,339                  0.00%  1,279,498   0.22% 
 
      Stock-settled 
      derivatives (including 
(3)   options) 
 and agreements to 
  purchase/sell:              500                     0.00%  2,100       0.00% 
 
 
 TOTAL:                       1,989,801               0.34%  1,465,341   0.25% 
 
                              Convertible Bond 
Class of relevant security:   US668771AA66 
                              Interests                      Short Positions 
                              Number                  (%)    Number      (%) 
      Relevant securities 
(1)   owned 
 and/or controlled:           129,000                 0.02%  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% 
 
 
 TOTAL:                       129,000                 0.02%  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           26.0050 USD 
USD 0.01 common    Purchase       4           26.1325 USD 
USD 0.01 common    Purchase       6           26.2300 USD 
USD 0.01 common    Purchase       10          26.1130 USD 
USD 0.01 common    Purchase       12          26.1916 USD 
USD 0.01 common    Purchase       16          26.1812 USD 
USD 0.01 common    Purchase       21          26.1557 USD 
USD 0.01 common    Purchase       23          26.2060 USD 
USD 0.01 common    Purchase       43          26.1930 USD 
USD 0.01 common    Purchase       55          26.1727 USD 
USD 0.01 common    Purchase       64          26.1808 USD 
USD 0.01 common    Purchase       100         26.3300 USD 
USD 0.01 common    Purchase       100         26.2950 USD 
USD 0.01 common    Purchase       116         26.1759 USD 
USD 0.01 common    Purchase       200         26.3250 USD 
USD 0.01 common    Purchase       212         26.3400 USD 
USD 0.01 common    Purchase       245         26.0987 USD 
USD 0.01 common    Purchase       310         26.2012 USD 
USD 0.01 common    Purchase       400         26.0800 USD 
USD 0.01 common    Purchase       400         26.2350 USD 
USD 0.01 common    Purchase       467         26.3200 USD 
USD 0.01 common    Purchase       700         26.3257 USD 
USD 0.01 common    Purchase       800         26.3112 USD 
USD 0.01 common    Purchase       800         26.1075 USD 
USD 0.01 common    Purchase       817         26.3287 USD 
USD 0.01 common    Purchase       1,100       26.3263 USD 
USD 0.01 common    Purchase       1,114       26.3255 USD 
USD 0.01 common    Purchase       1,234       26.1462 USD 
USD 0.01 common    Purchase       1,344       26.2527 USD 
USD 0.01 common    Purchase       1,469       26.0113 USD 
USD 0.01 common    Purchase       1,741       26.3188 USD 
USD 0.01 common    Purchase       1,828       26.0360 USD 
USD 0.01 common    Purchase       2,128       26.2423 USD 
USD 0.01 common    Purchase       2,566       26.1439 USD 
USD 0.01 common    Purchase       2,849       26.3262 USD 
USD 0.01 common    Purchase       3,646       26.1464 USD 
USD 0.01 common    Purchase       5,118       26.1797 USD 
USD 0.01 common    Purchase       5,213       26.2294 USD 
USD 0.01 common    Purchase       7,472       26.2103 USD 
USD 0.01 common    Purchase       9,560       26.0106 USD 
USD 0.01 common    Purchase       14,191      26.1335 USD 
USD 0.01 common    Purchase       14,303      26.2086 USD 
USD 0.01 common    Purchase       23,701      26.0033 USD 
USD 0.01 common    Purchase       26,494      26.0100 USD 
USD 0.01 common    Purchase       28,026      26.0053 USD 
USD 0.01 common    Purchase       29,310      26.0087 USD 
USD 0.01 common    Purchase       41,672      26.0779 USD 
USD 0.01 common    Purchase       96,583      26.1013 USD 
USD 0.01 common    Purchase       100,000     26.3001 USD 
USD 0.01 common    Purchase       104,687     26.1083 USD 
USD 0.01 common    Purchase       501,200     26.2819 USD 
USD 0.01 common    Purchase       908,112     26.2140 USD 
USD 0.01 common    Sale           2           26.0950 USD 
USD 0.01 common    Sale           4           26.0600 USD 
USD 0.01 common    Sale           100         26.3200 USD 
USD 0.01 common    Sale           120         26.2958 USD 
USD 0.01 common    Sale           199         26.2100 USD 
USD 0.01 common    Sale           200         26.1525 USD 
USD 0.01 common    Sale           300         26.1300 USD 
USD 0.01 common    Sale           300         26.0650 USD 
USD 0.01 common    Sale           360         26.1516 USD 
USD 0.01 common    Sale           400         26.1700 USD 
USD 0.01 common    Sale           400         26.2175 USD 
USD 0.01 common    Sale           557         26.2269 USD 
USD 0.01 common    Sale           577         26.2450 USD 
USD 0.01 common    Sale           600         26.0366 USD 
USD 0.01 common    Sale           672         26.1779 USD 
USD 0.01 common    Sale           700         26.3100 USD 
USD 0.01 common    Sale           700         26.2042 USD 
USD 0.01 common    Sale           797         26.2049 USD 
USD 0.01 common    Sale           828         26.2244 USD 
USD 0.01 common    Sale           900         26.2933 USD 
USD 0.01 common    Sale           975         26.2030 USD 
USD 0.01 common    Sale           1,000       26.1500 USD 
USD 0.01 common    Sale           1,027       26.1519 USD 
USD 0.01 common    Sale           1,101       26.2300 USD 
USD 0.01 common    Sale           1,234       26.1462 USD 
USD 0.01 common    Sale           1,300       26.2536 USD 
USD 0.01 common    Sale           1,400       26.0857 USD 
USD 0.01 common    Sale           1,500       26.2046 USD 
USD 0.01 common    Sale           1,700       26.2141 USD 
USD 0.01 common    Sale           1,800       26.1517 USD 
USD 0.01 common    Sale           1,867       26.2027 USD 
USD 0.01 common    Sale           1,882       26.1461 USD 
USD 0.01 common    Sale           2,102       26.2218 USD 
USD 0.01 common    Sale           2,382       26.1598 USD 
USD 0.01 common    Sale           2,602       26.0576 USD 
USD 0.01 common    Sale           2,707       26.2000 USD 
USD 0.01 common    Sale           2,783       26.2047 USD 
USD 0.01 common    Sale           3,200       26.0506 USD 
USD 0.01 common    Sale           4,440       26.0780 USD 
USD 0.01 common    Sale           4,521       26.0614 USD 
USD 0.01 common    Sale           5,051       26.0281 USD 
USD 0.01 common    Sale           5,173       26.1502 USD 
USD 0.01 common    Sale           5,602       25.9900 USD 
USD 0.01 common    Sale           5,955       26.0293 USD 
USD 0.01 common    Sale           6,135       26.0266 USD 
USD 0.01 common    Sale           6,476       26.1670 USD 
USD 0.01 common    Sale           7,344       26.2543 USD 
USD 0.01 common    Sale           7,700       26.0414 USD 
USD 0.01 common    Sale           9,560       26.0106 USD 
USD 0.01 common    Sale           10,100      26.1487 USD 
USD 0.01 common    Sale           11,256      26.0066 USD 
USD 0.01 common    Sale           11,301      26.1994 USD 
USD 0.01 common    Sale           14,817      26.2163 USD 
USD 0.01 common    Sale           18,234      26.0618 USD 
USD 0.01 common    Sale           20,244      26.1475 USD 
USD 0.01 common    Sale           21,634      26.0182 USD 
USD 0.01 common    Sale           23,381      26.0445 USD 
USD 0.01 common    Sale           23,857      26.0993 USD 
USD 0.01 common    Sale           24,234      26.0084 USD 
USD 0.01 common    Sale           25,170      26.0038 USD 
USD 0.01 common    Sale           35,075      26.1889 USD 
USD 0.01 common    Sale           37,893      26.2532 USD 
USD 0.01 common    Sale           39,362      26.1712 USD 
USD 0.01 common    Sale           39,623      26.0142 USD 
USD 0.01 common    Sale           42,637      26.0100 USD 
USD 0.01 common    Sale           61,204      26.0559 USD 
USD 0.01 common    Sale           100,000     26.3001 USD 
USD 0.01 common    Sale           102,600     26.3108 USD 
USD 0.01 common    Sale           149,142     26.0386 USD 
USD 0.01 common    Sale           178,506     26.2481 USD 
USD 0.01 common    Sale           341,262     26.2740 USD 
USD 0.01 common    Sale           501,200     26.2819 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:                       19 Jul 2021 
Contact name:                             Large Holdings Regulatory 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/20210719005469/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2021 
 

(END) Dow Jones Newswires

July 19, 2021 09:09 ET (13:09 GMT)

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