TIDMBARC 
 
 

FORM 8.3 - Amendment to Purchase

 

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:                 28 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:           1,919,465               0.33%  305,724     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:                       2,002,504               0.34%  1,587,322   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 
Convertible Bond   Purchase       1,000       132.4375 USD 
Convertible Bond   Sale           2,000       132.4375 USD 
USD 0.01 common    Purchase       10          25.0335 USD 
USD 0.01 common    Purchase       63          25.0100 USD 
USD 0.01 common    Purchase       83          25.2650 USD 
USD 0.01 common    Purchase       100         25.3900 USD 
USD 0.01 common    Purchase       100         25.2600 USD 
USD 0.01 common    Purchase       100         25.3000 USD 
USD 0.01 common    Purchase       200         25.2150 USD 
USD 0.01 common    Purchase       328         25.0000 USD 
USD 0.01 common    Purchase       697         25.3855 USD 
USD 0.01 common    Purchase       801         25.3104 USD 
USD 0.01 common    Purchase       900         25.2355 USD 
USD 0.01 common    Purchase       913         25.3832 USD 
USD 0.01 common    Purchase       1,000       25.3535 USD 
USD 0.01 common    Purchase       1,172       25.5987 USD 
USD 0.01 common    Purchase       1,258       25.5411 USD 
USD 0.01 common    Purchase       1,300       25.3984 USD 
USD 0.01 common    Purchase       1,333       25.2922 USD 
USD 0.01 common    Purchase       1,343       25.2853 USD 
USD 0.01 common    Purchase       1,350       25.2929 USD 
USD 0.01 common    Purchase       1,400       25.4500 USD 
USD 0.01 common    Purchase       1,453       25.3543 USD 
USD 0.01 common    Purchase       1,504       25.3262 USD 
USD 0.01 common    Purchase       1,575       25.3775 USD 
USD 0.01 common    Purchase       1,600       25.6000 USD 
USD 0.01 common    Purchase       1,650       25.4172 USD 
USD 0.01 common    Purchase       1,753       25.5370 USD 
USD 0.01 common    Purchase       1,775       25.4359 USD 
USD 0.01 common    Purchase       1,815       25.5878 USD 
USD 0.01 common    Purchase       1,828       25.4800 USD 
USD 0.01 common    Purchase       1,888       25.4153 USD 
USD 0.01 common    Purchase       1,898       25.3002 USD 
USD 0.01 common    Purchase       2,058       25.2534 USD 
USD 0.01 common    Purchase       2,264       25.5648 USD 
USD 0.01 common    Purchase       2,300       25.5847 USD 
USD 0.01 common    Purchase       2,358       25.2415 USD 
USD 0.01 common    Purchase       2,400       25.4400 USD 
USD 0.01 common    Purchase       2,781       25.4446 USD 
USD 0.01 common    Purchase       3,088       25.5529 USD 
USD 0.01 common    Purchase       3,091       25.5946 USD 
USD 0.01 common    Purchase       3,675       25.1847 USD 
USD 0.01 common    Purchase       3,717       25.5693 USD 
USD 0.01 common    Purchase       3,800       25.5300 USD 
USD 0.01 common    Purchase       4,099       25.4235 USD 
USD 0.01 common    Purchase       4,177       25.3938 USD 
USD 0.01 common    Purchase       4,501       25.3655 USD 
USD 0.01 common    Purchase       4,526       25.4176 USD 
USD 0.01 common    Purchase       4,630       25.4270 USD 
USD 0.01 common    Purchase       5,312       25.2686 USD 
USD 0.01 common    Purchase       5,374       25.3407 USD 
USD 0.01 common    Purchase       5,812       25.2897 USD 
USD 0.01 common    Purchase       7,871       25.2669 USD 
USD 0.01 common    Purchase       8,186       25.2130 USD 
USD 0.01 common    Purchase       8,649       25.2365 USD 
USD 0.01 common    Purchase       10,207      25.4946 USD 
USD 0.01 common    Purchase       10,252      25.4517 USD 
USD 0.01 common    Purchase       14,627      25.3969 USD 
USD 0.01 common    Purchase       17,983      25.2700 USD 
USD 0.01 common    Purchase       19,489      25.1057 USD 
USD 0.01 common    Purchase       19,940      25.3887 USD 
USD 0.01 common    Purchase       20,789      25.2795 USD 
USD 0.01 common    Purchase       21,359      25.2707 USD 
USD 0.01 common    Purchase       23,692      25.5886 USD 
USD 0.01 common    Purchase       30,486      25.4831 USD 
USD 0.01 common    Purchase       40,178      25.2855 USD 
USD 0.01 common    Purchase       45,138      25.2544 USD 
USD 0.01 common    Purchase       49,887      25.3965 USD 
USD 0.01 common    Purchase       101,972     25.2999 USD 
USD 0.01 common    Purchase       335,366     25.4957 USD 
USD 0.01 common    Sale           3           25.0000 USD 
USD 0.01 common    Sale           20          25.0100 USD 
USD 0.01 common    Sale           99          25.2833 USD 
USD 0.01 common    Sale           100         25.2600 USD 
USD 0.01 common    Sale           100         25.2550 USD 
USD 0.01 common    Sale           100         25.1600 USD 
USD 0.01 common    Sale           130         25.4065 USD 
USD 0.01 common    Sale           200         25.3350 USD 
USD 0.01 common    Sale           219         25.2604 USD 
USD 0.01 common    Sale           232         25.1859 USD 
USD 0.01 common    Sale           278         25.2941 USD 
USD 0.01 common    Sale           380         25.0920 USD 
USD 0.01 common    Sale           423         25.6222 USD 
USD 0.01 common    Sale           515         25.6200 USD 
USD 0.01 common    Sale           517         25.2446 USD 
USD 0.01 common    Sale           578         25.1913 USD 
USD 0.01 common    Sale           639         25.1476 USD 
USD 0.01 common    Sale           678         25.1757 USD 
USD 0.01 common    Sale           679         25.1238 USD 
USD 0.01 common    Sale           794         25.1695 USD 
USD 0.01 common    Sale           800         25.3675 USD 
USD 0.01 common    Sale           900         25.6000 USD 
USD 0.01 common    Sale           1,056       25.1976 USD 
USD 0.01 common    Sale           1,081       25.6103 USD 
USD 0.01 common    Sale           1,156       25.1592 USD 
USD 0.01 common    Sale           1,158       25.1839 USD 
USD 0.01 common    Sale           1,200       25.3333 USD 
USD 0.01 common    Sale           1,296       25.6354 USD 
USD 0.01 common    Sale           1,379       25.6384 USD 
USD 0.01 common    Sale           1,464       25.4800 USD 
USD 0.01 common    Sale           1,517       25.1596 USD 
USD 0.01 common    Sale           1,700       25.6376 USD 
USD 0.01 common    Sale           1,740       25.6242 USD 
USD 0.01 common    Sale           2,206       25.3944 USD 
USD 0.01 common    Sale           2,500       25.4050 USD 
USD 0.01 common    Sale           2,634       25.6071 USD 
USD 0.01 common    Sale           3,045       25.4750 USD 
USD 0.01 common    Sale           3,152       25.5637 USD 
USD 0.01 common    Sale           3,361       25.5258 USD 
USD 0.01 common    Sale           3,594       25.2700 USD 
USD 0.01 common    Sale           3,600       25.5465 USD 
USD 0.01 common    Sale           3,904       25.5438 USD 
USD 0.01 common    Sale           4,990       25.2693 USD 
USD 0.01 common    Sale           7,087       25.3193 USD 
USD 0.01 common    Sale           8,408       25.2765 USD 
USD 0.01 common    Sale           8,729       25.1551 USD 
USD 0.01 common    Sale           9,874       25.3847 USD 
USD 0.01 common    Sale           10,172      25.6010 USD 
USD 0.01 common    Sale           19,940      25.3888 USD 
USD 0.01 common    Sale           22,847      25.3816 USD 
USD 0.01 common    Sale           25,400      25.4000 USD 
USD 0.01 common    Sale           27,040      25.3922 USD 
USD 0.01 common    Sale           28,881      25.6314 USD 
USD 0.01 common    Sale           31,176      25.2689 USD 
USD 0.01 common    Sale           36,865      25.3575 USD 
USD 0.01 common    Sale           39,122      25.2957 USD 
USD 0.01 common    Sale           40,013      25.3994 USD 
USD 0.01 common    Sale           44,439      25.3801 USD 
USD 0.01 common    Sale           69,895      25.2260 USD 
USD 0.01 common    Sale           86,758      25.2581 USD 
USD 0.01 common    Sale           318,272     25.5075 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/20210730005376/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2021 
 

(END) Dow Jones Newswires

July 30, 2021 09:23 ET (13:23 GMT)

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