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:                 23 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:           1,835,056               0.32%  238,320     0.04% 
 
      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:                       1,859,895               0.32%  1,519,918   0.26% 
 
                              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       26          25.6950 USD 
USD 0.01 common    Purchase       51          25.7650 USD 
USD 0.01 common    Purchase       58          25.7237 USD 
USD 0.01 common    Purchase       100         25.7350 USD 
USD 0.01 common    Purchase       102         25.7275 USD 
USD 0.01 common    Purchase       123         25.7100 USD 
USD 0.01 common    Purchase       151         25.7366 USD 
USD 0.01 common    Purchase       167         25.7630 USD 
USD 0.01 common    Purchase       200         25.8350 USD 
USD 0.01 common    Purchase       200         25.7750 USD 
USD 0.01 common    Purchase       300         25.7733 USD 
USD 0.01 common    Purchase       400         25.7987 USD 
USD 0.01 common    Purchase       400         25.7912 USD 
USD 0.01 common    Purchase       402         25.7400 USD 
USD 0.01 common    Purchase       405         25.6836 USD 
USD 0.01 common    Purchase       497         25.7950 USD 
USD 0.01 common    Purchase       566         25.6603 USD 
USD 0.01 common    Purchase       595         25.7757 USD 
USD 0.01 common    Purchase       600         25.7816 USD 
USD 0.01 common    Purchase       600         25.7875 USD 
USD 0.01 common    Purchase       637         25.8000 USD 
USD 0.01 common    Purchase       700         25.7692 USD 
USD 0.01 common    Purchase       800         25.7881 USD 
USD 0.01 common    Purchase       951         25.7450 USD 
USD 0.01 common    Purchase       1,000       25.7755 USD 
USD 0.01 common    Purchase       1,007       25.7850 USD 
USD 0.01 common    Purchase       1,200       25.6358 USD 
USD 0.01 common    Purchase       1,211       25.6717 USD 
USD 0.01 common    Purchase       1,251       25.7700 USD 
USD 0.01 common    Purchase       1,384       25.7797 USD 
USD 0.01 common    Purchase       2,213       25.7851 USD 
USD 0.01 common    Purchase       2,314       25.8073 USD 
USD 0.01 common    Purchase       3,962       25.7805 USD 
USD 0.01 common    Purchase       7,573       25.7804 USD 
USD 0.01 common    Purchase       13,409      25.7598 USD 
USD 0.01 common    Purchase       16,366      25.7800 USD 
USD 0.01 common    Purchase       16,700      25.7557 USD 
USD 0.01 common    Purchase       18,005      25.7380 USD 
USD 0.01 common    Purchase       18,577      25.7724 USD 
USD 0.01 common    Purchase       20,183      25.7478 USD 
USD 0.01 common    Purchase       20,995      25.7761 USD 
USD 0.01 common    Purchase       42,221      25.7775 USD 
USD 0.01 common    Purchase       91,850      25.7779 USD 
USD 0.01 common    Sale           6           25.5366 USD 
USD 0.01 common    Sale           32          25.7300 USD 
USD 0.01 common    Sale           32          25.7200 USD 
USD 0.01 common    Sale           40          25.7265 USD 
USD 0.01 common    Sale           57          25.7500 USD 
USD 0.01 common    Sale           95          25.7100 USD 
USD 0.01 common    Sale           100         25.6800 USD 
USD 0.01 common    Sale           100         25.7750 USD 
USD 0.01 common    Sale           156         25.7900 USD 
USD 0.01 common    Sale           160         25.7520 USD 
USD 0.01 common    Sale           161         25.9000 USD 
USD 0.01 common    Sale           166         25.7702 USD 
USD 0.01 common    Sale           224         25.7328 USD 
USD 0.01 common    Sale           238         25.7600 USD 
USD 0.01 common    Sale           424         25.7613 USD 
USD 0.01 common    Sale           437         25.7253 USD 
USD 0.01 common    Sale           450         25.8011 USD 
USD 0.01 common    Sale           464         25.7063 USD 
USD 0.01 common    Sale           468         25.7710 USD 
USD 0.01 common    Sale           497         25.7950 USD 
USD 0.01 common    Sale           540         25.7753 USD 
USD 0.01 common    Sale           571         25.7694 USD 
USD 0.01 common    Sale           600         25.7740 USD 
USD 0.01 common    Sale           837         25.7529 USD 
USD 0.01 common    Sale           880         25.7422 USD 
USD 0.01 common    Sale           1,000       25.7630 USD 
USD 0.01 common    Sale           1,993       25.7677 USD 
USD 0.01 common    Sale           6,019       25.7659 USD 
USD 0.01 common    Sale           6,737       25.7364 USD 
USD 0.01 common    Sale           11,281      25.7732 USD 
USD 0.01 common    Sale           12,670      25.7752 USD 
USD 0.01 common    Sale           14,277      25.7749 USD 
USD 0.01 common    Sale           14,421      25.7771 USD 
USD 0.01 common    Sale           14,471      25.7597 USD 
USD 0.01 common    Sale           14,609      25.7585 USD 
USD 0.01 common    Sale           14,714      25.7814 USD 
USD 0.01 common    Sale           21,116      25.7303 USD 
USD 0.01 common    Sale           22,000      25.7601 USD 
USD 0.01 common    Sale           27,891      25.7800 USD 
USD 0.01 common    Sale           101,913     25.7792 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 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/20210726005462/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2021 
 

(END) Dow Jones Newswires

July 26, 2021 08:46 ET (12:46 GMT)

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