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:                 20 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:           1,891,996               0.33%  183,630     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:                       1,916,835               0.33%  1,465,228   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       100         26.0250 USD 
USD 0.01 common    Purchase       100         25.8600 USD 
USD 0.01 common    Purchase       200         25.8000 USD 
USD 0.01 common    Purchase       200         25.9000 USD 
USD 0.01 common    Purchase       200         25.8550 USD 
USD 0.01 common    Purchase       200         25.8150 USD 
USD 0.01 common    Purchase       243         26.0241 USD 
USD 0.01 common    Purchase       300         25.8700 USD 
USD 0.01 common    Purchase       500         25.8460 USD 
USD 0.01 common    Purchase       503         25.9494 USD 
USD 0.01 common    Purchase       546         25.8570 USD 
USD 0.01 common    Purchase       600         26.0283 USD 
USD 0.01 common    Purchase       830         25.8500 USD 
USD 0.01 common    Purchase       1,124       25.8504 USD 
USD 0.01 common    Purchase       1,406       25.8714 USD 
USD 0.01 common    Purchase       1,740       25.8478 USD 
USD 0.01 common    Purchase       1,816       25.8475 USD 
USD 0.01 common    Purchase       1,988       25.9025 USD 
USD 0.01 common    Purchase       2,122       25.8495 USD 
USD 0.01 common    Purchase       2,382       25.9442 USD 
USD 0.01 common    Purchase       3,421       26.1000 USD 
USD 0.01 common    Purchase       4,144       25.8740 USD 
USD 0.01 common    Purchase       4,581       25.9080 USD 
USD 0.01 common    Purchase       5,468       25.8697 USD 
USD 0.01 common    Purchase       5,712       25.9132 USD 
USD 0.01 common    Purchase       5,940       25.8064 USD 
USD 0.01 common    Purchase       7,457       25.8505 USD 
USD 0.01 common    Purchase       7,736       25.8119 USD 
USD 0.01 common    Purchase       8,664       25.8085 USD 
USD 0.01 common    Purchase       8,708       25.8634 USD 
USD 0.01 common    Purchase       9,256       25.8783 USD 
USD 0.01 common    Purchase       12,343      25.8668 USD 
USD 0.01 common    Purchase       20,831      25.8140 USD 
USD 0.01 common    Purchase       22,962      25.9018 USD 
USD 0.01 common    Purchase       56,980      25.8324 USD 
USD 0.01 common    Purchase       84,424      25.8100 USD 
USD 0.01 common    Purchase       143,005     25.8464 USD 
USD 0.01 common    Sale           2           26.0500 USD 
USD 0.01 common    Sale           6           25.9450 USD 
USD 0.01 common    Sale           12          25.9150 USD 
USD 0.01 common    Sale           36          25.9075 USD 
USD 0.01 common    Sale           39          25.9246 USD 
USD 0.01 common    Sale           57          25.9442 USD 
USD 0.01 common    Sale           69          25.9443 USD 
USD 0.01 common    Sale           70          25.8600 USD 
USD 0.01 common    Sale           74          25.9562 USD 
USD 0.01 common    Sale           78          25.9957 USD 
USD 0.01 common    Sale           82          25.8500 USD 
USD 0.01 common    Sale           127         25.8477 USD 
USD 0.01 common    Sale           138         25.8027 USD 
USD 0.01 common    Sale           176         25.9168 USD 
USD 0.01 common    Sale           199         25.9600 USD 
USD 0.01 common    Sale           200         25.9800 USD 
USD 0.01 common    Sale           221         25.9219 USD 
USD 0.01 common    Sale           300         25.9300 USD 
USD 0.01 common    Sale           300         25.8700 USD 
USD 0.01 common    Sale           300         25.9500 USD 
USD 0.01 common    Sale           323         25.9546 USD 
USD 0.01 common    Sale           403         25.9716 USD 
USD 0.01 common    Sale           425         25.9744 USD 
USD 0.01 common    Sale           476         25.8566 USD 
USD 0.01 common    Sale           500         25.9720 USD 
USD 0.01 common    Sale           554         25.9978 USD 
USD 0.01 common    Sale           600         25.9400 USD 
USD 0.01 common    Sale           600         26.0283 USD 
USD 0.01 common    Sale           611         25.8883 USD 
USD 0.01 common    Sale           700         25.9728 USD 
USD 0.01 common    Sale           1,299       25.8055 USD 
USD 0.01 common    Sale           1,380       25.8058 USD 
USD 0.01 common    Sale           1,491       25.8288 USD 
USD 0.01 common    Sale           1,543       25.9872 USD 
USD 0.01 common    Sale           1,589       25.8691 USD 
USD 0.01 common    Sale           1,637       25.9953 USD 
USD 0.01 common    Sale           1,716       26.0132 USD 
USD 0.01 common    Sale           2,002       25.9803 USD 
USD 0.01 common    Sale           2,076       25.8382 USD 
USD 0.01 common    Sale           2,082       25.9434 USD 
USD 0.01 common    Sale           3,435       26.0988 USD 
USD 0.01 common    Sale           3,584       25.8966 USD 
USD 0.01 common    Sale           3,939       25.9824 USD 
USD 0.01 common    Sale           4,868       25.8611 USD 
USD 0.01 common    Sale           5,705       25.9209 USD 
USD 0.01 common    Sale           5,940       25.8064 USD 
USD 0.01 common    Sale           10,258      25.8417 USD 
USD 0.01 common    Sale           11,342      25.9325 USD 
USD 0.01 common    Sale           18,555      25.8617 USD 
USD 0.01 common    Sale           21,174      25.8174 USD 
USD 0.01 common    Sale           56,980      25.8324 USD 
USD 0.01 common    Sale           88,150      25.8100 USD 
USD 0.01 common    Sale           169,906     25.8496 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 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/20210721005519/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2021 
 

(END) Dow Jones Newswires

July 21, 2021 07:57 ET (11:57 GMT)

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