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:                 29 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:           2,006,087               0.35%  305,978     0.05% 
 
      Cash-settled 
(2)   derivatives: 
                              82,539                  0.01%  1,279,498   0.22% 
 
      Stock-settled 
      derivatives (including 
(3)   options) 
 and agreements to 
  purchase/sell:              500                     0.00%  2,100       0.00% 
 
 
 TOTAL:                       2,089,126               0.36%  1,587,576   0.27% 
 
                              Convertible Bond 
Class of relevant security:   US668771AA66 
                              Interests                      Short Positions 
                              Number                  (%)    Number      (%) 
      Relevant securities 
(1)   owned 
 and/or controlled:           128,000                 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:                       128,000                 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       48          24.6300 USD 
USD 0.01 common    Purchase       48          24.8533 USD 
USD 0.01 common    Purchase       75          25.0400 USD 
USD 0.01 common    Purchase       84          24.9000 USD 
USD 0.01 common    Purchase       87          24.6487 USD 
USD 0.01 common    Purchase       97          24.8055 USD 
USD 0.01 common    Purchase       100         25.0350 USD 
USD 0.01 common    Purchase       100         24.7100 USD 
USD 0.01 common    Purchase       113         25.0355 USD 
USD 0.01 common    Purchase       116         24.8524 USD 
USD 0.01 common    Purchase       118         24.6922 USD 
USD 0.01 common    Purchase       166         24.6332 USD 
USD 0.01 common    Purchase       177         24.7381 USD 
USD 0.01 common    Purchase       210         24.7838 USD 
USD 0.01 common    Purchase       255         24.9594 USD 
USD 0.01 common    Purchase       290         24.7342 USD 
USD 0.01 common    Purchase       503         25.0865 USD 
USD 0.01 common    Purchase       600         24.9200 USD 
USD 0.01 common    Purchase       1,345       24.6875 USD 
USD 0.01 common    Purchase       1,366       24.7812 USD 
USD 0.01 common    Purchase       2,080       25.2700 USD 
USD 0.01 common    Purchase       3,123       25.0600 USD 
USD 0.01 common    Purchase       3,640       24.7391 USD 
USD 0.01 common    Purchase       5,202       24.8558 USD 
USD 0.01 common    Purchase       7,079       24.8003 USD 
USD 0.01 common    Purchase       11,004      24.7895 USD 
USD 0.01 common    Purchase       11,108      24.7837 USD 
USD 0.01 common    Purchase       14,299      24.8198 USD 
USD 0.01 common    Purchase       18,316      24.7818 USD 
USD 0.01 common    Purchase       20,062      24.8401 USD 
USD 0.01 common    Purchase       21,577      24.7007 USD 
USD 0.01 common    Purchase       22,670      24.9770 USD 
USD 0.01 common    Purchase       35,386      24.6200 USD 
USD 0.01 common    Purchase       39,414      24.6222 USD 
USD 0.01 common    Purchase       42,194      24.7945 USD 
USD 0.01 common    Purchase       43,824      24.8649 USD 
USD 0.01 common    Purchase       68,184      24.9199 USD 
USD 0.01 common    Purchase       179,423     24.7742 USD 
USD 0.01 common    Sale           4           24.9200 USD 
USD 0.01 common    Sale           50          24.6600 USD 
USD 0.01 common    Sale           100         25.2400 USD 
USD 0.01 common    Sale           100         25.0100 USD 
USD 0.01 common    Sale           100         24.6150 USD 
USD 0.01 common    Sale           101         24.9750 USD 
USD 0.01 common    Sale           130         25.0038 USD 
USD 0.01 common    Sale           137         24.9686 USD 
USD 0.01 common    Sale           200         24.9900 USD 
USD 0.01 common    Sale           200         25.0200 USD 
USD 0.01 common    Sale           200         25.2750 USD 
USD 0.01 common    Sale           255         24.9594 USD 
USD 0.01 common    Sale           280         24.6700 USD 
USD 0.01 common    Sale           300         25.0000 USD 
USD 0.01 common    Sale           300         24.9933 USD 
USD 0.01 common    Sale           400         24.9203 USD 
USD 0.01 common    Sale           425         24.9549 USD 
USD 0.01 common    Sale           435         24.8362 USD 
USD 0.01 common    Sale           503         25.0865 USD 
USD 0.01 common    Sale           573         24.7327 USD 
USD 0.01 common    Sale           599         24.9967 USD 
USD 0.01 common    Sale           836         24.8900 USD 
USD 0.01 common    Sale           1,012       24.8498 USD 
USD 0.01 common    Sale           1,100       24.7000 USD 
USD 0.01 common    Sale           1,114       24.9403 USD 
USD 0.01 common    Sale           1,229       24.8849 USD 
USD 0.01 common    Sale           1,269       24.9298 USD 
USD 0.01 common    Sale           1,594       24.9087 USD 
USD 0.01 common    Sale           1,686       24.8762 USD 
USD 0.01 common    Sale           1,826       24.7120 USD 
USD 0.01 common    Sale           1,859       24.9476 USD 
USD 0.01 common    Sale           1,947       24.9324 USD 
USD 0.01 common    Sale           1,965       24.9259 USD 
USD 0.01 common    Sale           1,970       25.0120 USD 
USD 0.01 common    Sale           2,080       25.2700 USD 
USD 0.01 common    Sale           2,937       24.7359 USD 
USD 0.01 common    Sale           3,103       24.6823 USD 
USD 0.01 common    Sale           6,611       24.7706 USD 
USD 0.01 common    Sale           8,516       24.8679 USD 
USD 0.01 common    Sale           9,041       24.8025 USD 
USD 0.01 common    Sale           9,801       24.6457 USD 
USD 0.01 common    Sale           10,000      24.6743 USD 
USD 0.01 common    Sale           10,234      24.6317 USD 
USD 0.01 common    Sale           15,362      24.6746 USD 
USD 0.01 common    Sale           18,316      24.7818 USD 
USD 0.01 common    Sale           35,787      24.6200 USD 
USD 0.01 common    Sale           69,688      24.8576 USD 
USD 0.01 common    Sale           84,461      24.8795 USD 
USD 0.01 common    Sale           234,461     24.7857 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:                       30 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/20210730005320/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2021 
 

(END) Dow Jones Newswires

July 30, 2021 08:02 ET (12:02 GMT)

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