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:                 27 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:           1,882,743               0.32%  301,164     0.05% 
 
      Cash-settled 
(2)   derivatives: 
                              140,739                 0.02%  1,279,498   0.22% 
 
      Stock-settled 
      derivatives (including 
(3)   options) 
 and agreements to 
  purchase/sell:              500                     0.00%  2,100       0.00% 
 
 
 TOTAL:                       2,023,982               0.35%  1,582,762   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% 
 
 
 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       30          25.4900 USD 
USD 0.01 common    Purchase       55          25.4400 USD 
USD 0.01 common    Purchase       87          25.4303 USD 
USD 0.01 common    Purchase       100         25.5000 USD 
USD 0.01 common    Purchase       100         25.5700 USD 
USD 0.01 common    Purchase       100         25.5500 USD 
USD 0.01 common    Purchase       200         25.4850 USD 
USD 0.01 common    Purchase       200         25.5225 USD 
USD 0.01 common    Purchase       200         25.4675 USD 
USD 0.01 common    Purchase       300         25.4433 USD 
USD 0.01 common    Purchase       300         25.2900 USD 
USD 0.01 common    Purchase       310         25.5209 USD 
USD 0.01 common    Purchase       400         25.4950 USD 
USD 0.01 common    Purchase       400         25.4350 USD 
USD 0.01 common    Purchase       400         25.4662 USD 
USD 0.01 common    Purchase       454         25.4685 USD 
USD 0.01 common    Purchase       600         25.3266 USD 
USD 0.01 common    Purchase       640         25.4965 USD 
USD 0.01 common    Purchase       661         25.4750 USD 
USD 0.01 common    Purchase       700         25.5171 USD 
USD 0.01 common    Purchase       700         25.4657 USD 
USD 0.01 common    Purchase       803         25.5196 USD 
USD 0.01 common    Purchase       898         25.5188 USD 
USD 0.01 common    Purchase       900         25.4000 USD 
USD 0.01 common    Purchase       1,459       25.5120 USD 
USD 0.01 common    Purchase       1,592       25.7300 USD 
USD 0.01 common    Purchase       1,600       25.4084 USD 
USD 0.01 common    Purchase       2,903       25.4196 USD 
USD 0.01 common    Purchase       3,624       25.5122 USD 
USD 0.01 common    Purchase       3,968       25.4227 USD 
USD 0.01 common    Purchase       4,072       25.4800 USD 
USD 0.01 common    Purchase       4,428       25.4905 USD 
USD 0.01 common    Purchase       4,695       25.4725 USD 
USD 0.01 common    Purchase       4,929       25.5174 USD 
USD 0.01 common    Purchase       5,012       25.4802 USD 
USD 0.01 common    Purchase       5,730       25.4408 USD 
USD 0.01 common    Purchase       6,422       25.5130 USD 
USD 0.01 common    Purchase       8,519       25.4783 USD 
USD 0.01 common    Purchase       8,763       25.4367 USD 
USD 0.01 common    Purchase       10,085      25.4373 USD 
USD 0.01 common    Purchase       11,803      25.4798 USD 
USD 0.01 common    Purchase       15,503      25.4323 USD 
USD 0.01 common    Purchase       16,346      25.4661 USD 
USD 0.01 common    Purchase       18,030      25.4610 USD 
USD 0.01 common    Purchase       21,757      25.5018 USD 
USD 0.01 common    Purchase       31,839      25.4706 USD 
USD 0.01 common    Purchase       38,394      25.4787 USD 
USD 0.01 common    Purchase       47,036      25.4999 USD 
USD 0.01 common    Purchase       72,723      25.4632 USD 
USD 0.01 common    Purchase       74,547      25.4911 USD 
USD 0.01 common    Sale           1           25.4600 USD 
USD 0.01 common    Sale           83          25.5150 USD 
USD 0.01 common    Sale           100         25.5100 USD 
USD 0.01 common    Sale           100         25.5000 USD 
USD 0.01 common    Sale           179         25.3032 USD 
USD 0.01 common    Sale           200         25.4975 USD 
USD 0.01 common    Sale           200         25.4775 USD 
USD 0.01 common    Sale           200         25.4950 USD 
USD 0.01 common    Sale           200         25.4750 USD 
USD 0.01 common    Sale           300         25.4700 USD 
USD 0.01 common    Sale           322         25.4958 USD 
USD 0.01 common    Sale           452         25.5015 USD 
USD 0.01 common    Sale           474         25.4567 USD 
USD 0.01 common    Sale           500         25.4840 USD 
USD 0.01 common    Sale           600         25.3500 USD 
USD 0.01 common    Sale           690         25.4984 USD 
USD 0.01 common    Sale           713         25.3950 USD 
USD 0.01 common    Sale           747         25.4678 USD 
USD 0.01 common    Sale           911         25.4698 USD 
USD 0.01 common    Sale           934         25.3294 USD 
USD 0.01 common    Sale           1,052       25.3542 USD 
USD 0.01 common    Sale           1,055       25.4900 USD 
USD 0.01 common    Sale           1,300       25.4811 USD 
USD 0.01 common    Sale           1,300       25.4653 USD 
USD 0.01 common    Sale           1,400       25.4568 USD 
USD 0.01 common    Sale           1,530       25.4801 USD 
USD 0.01 common    Sale           1,600       25.3315 USD 
USD 0.01 common    Sale           1,842       25.3410 USD 
USD 0.01 common    Sale           1,900       25.3300 USD 
USD 0.01 common    Sale           1,900       25.4865 USD 
USD 0.01 common    Sale           2,140       25.3388 USD 
USD 0.01 common    Sale           2,227       25.4210 USD 
USD 0.01 common    Sale           2,577       25.3353 USD 
USD 0.01 common    Sale           3,501       25.4777 USD 
USD 0.01 common    Sale           4,706       25.4870 USD 
USD 0.01 common    Sale           4,800       25.3981 USD 
USD 0.01 common    Sale           4,885       25.4846 USD 
USD 0.01 common    Sale           5,276       25.3321 USD 
USD 0.01 common    Sale           6,096       25.4798 USD 
USD 0.01 common    Sale           6,197       25.4864 USD 
USD 0.01 common    Sale           6,700       25.3685 USD 
USD 0.01 common    Sale           6,965       25.4827 USD 
USD 0.01 common    Sale           7,381       25.4659 USD 
USD 0.01 common    Sale           8,580       25.4800 USD 
USD 0.01 common    Sale           11,720      25.4795 USD 
USD 0.01 common    Sale           11,761      25.3779 USD 
USD 0.01 common    Sale           17,106      25.5057 USD 
USD 0.01 common    Sale           25,180      25.4007 USD 
USD 0.01 common    Sale           26,037      25.4706 USD 
USD 0.01 common    Sale           26,225      25.4571 USD 
USD 0.01 common    Sale           32,812      25.4154 USD 
USD 0.01 common    Sale           39,159      25.4500 USD 
USD 0.01 common    Sale           50,672      25.4986 USD 
USD 0.01 common    Sale           104,519     25.4534 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:                       28 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/20210728005667/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2021 
 

(END) Dow Jones Newswires

July 28, 2021 10:13 ET (14:13 GMT)

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