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 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      (%) 
(1)  Relevant securities owned 
     and/or controlled:              1,854,282        0.32%  303,489     0.05% 
 
(2)  Cash-settled derivatives: 
                                     140,739          0.02%  1,279,498   0.22% 
 
     Stock-settled derivatives 
(3)  (including options) 
     and agreements to 
     purchase/sell:                  500              0.00%  2,100       0.00% 
 
(4) 
     TOTAL:                          1,995,521        0.34%  1,585,087   0.27% 
 
 
 
                             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% 
 
(4) 
     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       14          25.6850 USD 
USD 0.01 common    Purchase       28          25.6775 USD 
USD 0.01 common    Purchase       28          25.6900 USD 
USD 0.01 common    Purchase       29          25.6500 USD 
USD 0.01 common    Purchase       35          25.6790 USD 
USD 0.01 common    Purchase       35          25.6700 USD 
USD 0.01 common    Purchase       100         25.6650 USD 
USD 0.01 common    Purchase       100         25.6550 USD 
USD 0.01 common    Purchase       177         25.6585 USD 
USD 0.01 common    Purchase       209         25.6747 USD 
USD 0.01 common    Purchase       294         25.6750 USD 
USD 0.01 common    Purchase       301         25.8450 USD 
USD 0.01 common    Purchase       393         25.8000 USD 
USD 0.01 common    Purchase       500         25.8010 USD 
USD 0.01 common    Purchase       1,235       25.6937 USD 
USD 0.01 common    Purchase       1,266       25.7132 USD 
USD 0.01 common    Purchase       1,763       25.7641 USD 
USD 0.01 common    Purchase       1,825       25.6617 USD 
USD 0.01 common    Purchase       2,970       25.7140 USD 
USD 0.01 common    Purchase       3,877       25.6793 USD 
USD 0.01 common    Purchase       4,339       25.7098 USD 
USD 0.01 common    Purchase       4,974       25.7582 USD 
USD 0.01 common    Purchase       8,509       25.7556 USD 
USD 0.01 common    Purchase       8,752       25.7624 USD 
USD 0.01 common    Purchase       9,519       25.7689 USD 
USD 0.01 common    Purchase       11,029      25.7314 USD 
USD 0.01 common    Purchase       12,455      25.7849 USD 
USD 0.01 common    Purchase       28,562      25.7082 USD 
USD 0.01 common    Purchase       41,119      25.6797 USD 
USD 0.01 common    Purchase       107,072     25.6800 USD 
USD 0.01 common    Sale           100         25.6500 USD 
USD 0.01 common    Sale           117         25.7950 USD 
USD 0.01 common    Sale           200         25.8700 USD 
USD 0.01 common    Sale           214         25.6840 USD 
USD 0.01 common    Sale           336         25.7450 USD 
USD 0.01 common    Sale           400         25.8337 USD 
USD 0.01 common    Sale           499         25.6978 USD 
USD 0.01 common    Sale           500         25.6725 USD 
USD 0.01 common    Sale           501         25.8450 USD 
USD 0.01 common    Sale           686         25.7775 USD 
USD 0.01 common    Sale           800         25.8531 USD 
USD 0.01 common    Sale           905         25.8421 USD 
USD 0.01 common    Sale           1,001       25.8415 USD 
USD 0.01 common    Sale           1,060       25.8148 USD 
USD 0.01 common    Sale           1,120       25.8016 USD 
USD 0.01 common    Sale           1,138       25.7768 USD 
USD 0.01 common    Sale           1,194       25.8308 USD 
USD 0.01 common    Sale           1,266       25.8320 USD 
USD 0.01 common    Sale           1,625       25.7788 USD 
USD 0.01 common    Sale           1,648       25.8013 USD 
USD 0.01 common    Sale           1,818       25.7921 USD 
USD 0.01 common    Sale           2,789       25.7826 USD 
USD 0.01 common    Sale           3,666       25.8000 USD 
USD 0.01 common    Sale           3,834       25.7217 USD 
USD 0.01 common    Sale           4,445       25.6785 USD 
USD 0.01 common    Sale           7,121       25.7780 USD 
USD 0.01 common    Sale           7,680       25.7636 USD 
USD 0.01 common    Sale           9,248       25.7823 USD 
USD 0.01 common    Sale           17,059      25.7182 USD 
USD 0.01 common    Sale           34,667      25.7099 USD 
USD 0.01 common    Sale           47,202      25.6902 USD 
USD 0.01 common    Sale           106,241     25.6800 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 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/20210727005663/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2021 
 

(END) Dow Jones Newswires

July 27, 2021 08:06 ET (12:06 GMT)

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