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             NORTONLIFELOCK INC 
     whose 
     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:             15 September 2021 
(f)  In addition to the company in 1(c) above, is       YES: 
     the discloser making 
     disclosures in respect of any other party          AVAST PLC 
     to the 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:          1,463,674         0.25%       529,818     0.09% 
 
      Cash-settled 
(2)   derivatives: 
                             226,930           0.04%       1,028,322   0.18% 
 
      Stock-settled 
      derivatives 
(3)   (including options) 
 and agreements to 
  purchase/sell:             500               0.00%       2,100       0.00% 
 
 
 TOTAL:                      1,691,104         0.29%       1,560,240   0.27% 
 
                             Convertible Bond 
Class of relevant security:  US668771AA66 
                             Interests                     Short Positions 
                             Number            (%)         Number      (%) 
      Relevant securities 
(1)   owned 
 and/or controlled:          141,000           0.02%       0           0.00% 
 
      Cash-settled 
(2)   derivatives: 
                             0                 0.00%       0           0.00% 
 
      Stock-settled 
      derivatives 
(3)   (including options) 
 and agreements to 
  purchase/sell:             0                 0.00%       0           0.00% 
 
 
 TOTAL:                      141,000           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         17            26.2600 USD 
USD 0.01 common      Purchase         17            26.3250 USD 
USD 0.01 common      Purchase         55            26.1771 USD 
USD 0.01 common      Purchase         84            26.2650 USD 
USD 0.01 common      Purchase         93            26.2700 USD 
USD 0.01 common      Purchase         100           26.2450 USD 
USD 0.01 common      Purchase         131           26.2389 USD 
USD 0.01 common      Purchase         200           26.2400 USD 
USD 0.01 common      Purchase         200           26.2356 USD 
USD 0.01 common      Purchase         210           26.2469 USD 
USD 0.01 common      Purchase         217           26.2377 USD 
USD 0.01 common      Purchase         221           26.1931 USD 
USD 0.01 common      Purchase         300           26.1700 USD 
USD 0.01 common      Purchase         305           26.2434 USD 
USD 0.01 common      Purchase         318           26.2960 USD 
USD 0.01 common      Purchase         390           26.2441 USD 
USD 0.01 common      Purchase         488           26.1773 USD 
USD 0.01 common      Purchase         508           26.2588 USD 
USD 0.01 common      Purchase         509           26.1469 USD 
USD 0.01 common      Purchase         676           26.2465 USD 
USD 0.01 common      Purchase         728           26.1797 USD 
USD 0.01 common      Purchase         758           26.1536 USD 
USD 0.01 common      Purchase         836           26.2009 USD 
USD 0.01 common      Purchase         900           26.2411 USD 
USD 0.01 common      Purchase         1,167         26.2181 USD 
USD 0.01 common      Purchase         1,174         26.2412 USD 
USD 0.01 common      Purchase         1,355         26.1905 USD 
USD 0.01 common      Purchase         1,407         26.1612 USD 
USD 0.01 common      Purchase         1,533         26.2068 USD 
USD 0.01 common      Purchase         1,571         26.1473 USD 
USD 0.01 common      Purchase         1,939         26.1566 USD 
USD 0.01 common      Purchase         2,665         26.2567 USD 
USD 0.01 common      Purchase         2,745         26.1542 USD 
USD 0.01 common      Purchase         3,082         26.2270 USD 
USD 0.01 common      Purchase         3,991         26.2209 USD 
USD 0.01 common      Purchase         4,094         26.2544 USD 
USD 0.01 common      Purchase         4,287         26.2007 USD 
USD 0.01 common      Purchase         5,175         26.1287 USD 
USD 0.01 common      Purchase         8,653         26.2569 USD 
USD 0.01 common      Purchase         9,187         26.2029 USD 
USD 0.01 common      Purchase         10,237        26.1812 USD 
USD 0.01 common      Purchase         11,893        26.1987 USD 
USD 0.01 common      Purchase         12,800        26.1593 USD 
USD 0.01 common      Purchase         13,789        26.2237 USD 
USD 0.01 common      Purchase         15,565        26.1650 USD 
USD 0.01 common      Purchase         16,348        26.2299 USD 
USD 0.01 common      Purchase         33,696        26.2500 USD 
USD 0.01 common      Purchase         39,644        26.2479 USD 
USD 0.01 common      Purchase         72,160        26.2213 USD 
USD 0.01 common      Sale             1             26.1400 USD 
USD 0.01 common      Sale             1             26.1500 USD 
USD 0.01 common      Sale             1             26.1900 USD 
USD 0.01 common      Sale             2             26.1750 USD 
USD 0.01 common      Sale             2             26.1650 USD 
USD 0.01 common      Sale             3             26.1566 USD 
USD 0.01 common      Sale             3             26.1700 USD 
USD 0.01 common      Sale             3             26.1733 USD 
USD 0.01 common      Sale             3             26.1816 USD 
USD 0.01 common      Sale             3             26.1666 USD 
USD 0.01 common      Sale             4             26.2350 USD 
USD 0.01 common      Sale             5             26.1800 USD 
USD 0.01 common      Sale             5             26.2200 USD 
USD 0.01 common      Sale             8             26.2375 USD 
USD 0.01 common      Sale             8             26.2450 USD 
USD 0.01 common      Sale             9             26.1755 USD 
USD 0.01 common      Sale             12            26.2366 USD 
USD 0.01 common      Sale             17            26.2400 USD 
USD 0.01 common      Sale             20            26.2320 USD 
USD 0.01 common      Sale             44            26.2359 USD 
USD 0.01 common      Sale             46            26.2419 USD 
USD 0.01 common      Sale             50            26.2030 USD 
USD 0.01 common      Sale             51            26.2284 USD 
USD 0.01 common      Sale             55            26.2454 USD 
USD 0.01 common      Sale             65            26.2046 USD 
USD 0.01 common      Sale             85            26.1991 USD 
USD 0.01 common      Sale             90            26.1969 USD 
USD 0.01 common      Sale             100           26.2900 USD 
USD 0.01 common      Sale             150           26.1913 USD 
USD 0.01 common      Sale             168           26.2295 USD 
USD 0.01 common      Sale             170           26.2067 USD 
USD 0.01 common      Sale             190           26.2060 USD 
USD 0.01 common      Sale             200           26.1550 USD 
USD 0.01 common      Sale             239           26.2100 USD 
USD 0.01 common      Sale             435           26.2085 USD 
USD 0.01 common      Sale             603           26.2480 USD 
USD 0.01 common      Sale             1,384         26.2083 USD 
USD 0.01 common      Sale             1,588         26.2215 USD 
USD 0.01 common      Sale             1,729         26.1842 USD 
USD 0.01 common      Sale             2,407         26.2269 USD 
USD 0.01 common      Sale             2,428         26.1615 USD 
USD 0.01 common      Sale             3,082         26.2435 USD 
USD 0.01 common      Sale             3,423         26.2196 USD 
USD 0.01 common      Sale             5,175         26.1287 USD 
USD 0.01 common      Sale             7,881         26.2095 USD 
USD 0.01 common      Sale             9,002         26.1782 USD 
USD 0.01 common      Sale             11,749        26.1860 USD 
USD 0.01 common      Sale             12,825        26.2322 USD 
USD 0.01 common      Sale             18,089        26.2264 USD 
USD 0.01 common      Sale             33,806        26.2500 USD 
USD 0.01 common      Sale             38,303        26.2493 USD 
USD 0.01 common      Sale             98,140        26.2250 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:                 16 Sep 2021 
                                    Large Holdings Regulatory 
Contact name:                       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/20210916005460/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2021 
 

(END) Dow Jones Newswires

September 16, 2021 08:16 ET (12:16 GMT)

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