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             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:             13 September 2021 
(f)  In addition to the company in 1(c) above,          YES: 
     is 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:          1,431,911         0.25%       545,012     0.09% 
 
      Cash-settled 
(2)   derivatives: 
                             160,930           0.03%       1,028,322   0.18% 
 
      Stock-settled 
      derivatives 
(3)   (including options) 
 and agreements to 
  purchase/sell:             500               0.00%       2,100       0.00% 
 
 
 TOTAL:                      1,593,341         0.27%       1,575,434   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 
Convertible Bond     Purchase         4,000       134.1250 USD 
Convertible Bond     Sale             2,000       134.1250 USD 
USD 0.01 common      Purchase         13          26.6900 USD 
USD 0.01 common      Purchase         19          26.6600 USD 
USD 0.01 common      Purchase         26          26.7075 USD 
USD 0.01 common      Purchase         37          26.9700 USD 
USD 0.01 common      Purchase         50          26.7800 USD 
USD 0.01 common      Purchase         64          26.9900 USD 
USD 0.01 common      Purchase         100         26.8750 USD 
USD 0.01 common      Purchase         100         26.8550 USD 
USD 0.01 common      Purchase         100         26.8450 USD 
USD 0.01 common      Purchase         100         26.7700 USD 
USD 0.01 common      Purchase         100         26.5400 USD 
USD 0.01 common      Purchase         100         26.9000 USD 
USD 0.01 common      Purchase         100         26.8950 USD 
USD 0.01 common      Purchase         127         26.9029 USD 
USD 0.01 common      Purchase         200         26.7300 USD 
USD 0.01 common      Purchase         200         26.8150 USD 
USD 0.01 common      Purchase         200         26.8900 USD 
USD 0.01 common      Purchase         200         26.8825 USD 
USD 0.01 common      Purchase         220         23.4170 EUR 
USD 0.01 common      Purchase         250         26.7740 USD 
USD 0.01 common      Purchase         304         27.0795 USD 
USD 0.01 common      Purchase         346         27.0651 USD 
USD 0.01 common      Purchase         373         27.0300 USD 
USD 0.01 common      Purchase         395         26.7768 USD 
USD 0.01 common      Purchase         450         26.7148 USD 
USD 0.01 common      Purchase         483         27.4600 USD 
USD 0.01 common      Purchase         542         26.8549 USD 
USD 0.01 common      Purchase         584         26.7281 USD 
USD 0.01 common      Purchase         593         26.9677 USD 
USD 0.01 common      Purchase         600         26.9291 USD 
USD 0.01 common      Purchase         600         26.9004 USD 
USD 0.01 common      Purchase         643         26.7064 USD 
USD 0.01 common      Purchase         650         26.6050 USD 
USD 0.01 common      Purchase         700         26.8292 USD 
USD 0.01 common      Purchase         797         26.7071 USD 
USD 0.01 common      Purchase         921         26.6205 USD 
USD 0.01 common      Purchase         1,230       27.1295 USD 
USD 0.01 common      Purchase         1,300       27.1269 USD 
USD 0.01 common      Purchase         2,250       26.8151 USD 
USD 0.01 common      Purchase         2,300       27.1310 USD 
USD 0.01 common      Purchase         2,500       26.8506 USD 
USD 0.01 common      Purchase         3,116       27.1307 USD 
USD 0.01 common      Purchase         3,400       27.1058 USD 
USD 0.01 common      Purchase         3,482       27.1258 USD 
USD 0.01 common      Purchase         3,679       26.8072 USD 
USD 0.01 common      Purchase         3,742       26.6943 USD 
USD 0.01 common      Purchase         4,197       27.1043 USD 
USD 0.01 common      Purchase         4,388       26.7976 USD 
USD 0.01 common      Purchase         6,630       27.0942 USD 
USD 0.01 common      Purchase         6,899       27.0934 USD 
USD 0.01 common      Purchase         7,120       26.6100 USD 
USD 0.01 common      Purchase         7,322       26.7533 USD 
USD 0.01 common      Purchase         7,507       27.2600 USD 
USD 0.01 common      Purchase         7,606       26.9699 USD 
USD 0.01 common      Purchase         8,404       27.1079 USD 
USD 0.01 common      Purchase         8,711       26.6413 USD 
USD 0.01 common      Purchase         9,689       26.7308 USD 
USD 0.01 common      Purchase         12,397      26.9157 USD 
USD 0.01 common      Purchase         12,572      27.1105 USD 
USD 0.01 common      Purchase         13,595      27.1139 USD 
USD 0.01 common      Purchase         19,887      26.8744 USD 
USD 0.01 common      Purchase         32,359      26.8247 USD 
USD 0.01 common      Purchase         46,412      27.0084 USD 
USD 0.01 common      Purchase         56,808      27.1196 USD 
USD 0.01 common      Purchase         114,887     26.7294 USD 
USD 0.01 common      Purchase         128,433     26.7567 USD 
USD 0.01 common      Sale             1           26.7700 USD 
USD 0.01 common      Sale             1           26.7100 USD 
USD 0.01 common      Sale             1           26.6700 USD 
USD 0.01 common      Sale             2           26.6300 USD 
USD 0.01 common      Sale             4           26.6550 USD 
USD 0.01 common      Sale             6           26.5916 USD 
USD 0.01 common      Sale             6           26.5700 USD 
USD 0.01 common      Sale             6           26.7016 USD 
USD 0.01 common      Sale             12          26.7133 USD 
USD 0.01 common      Sale             17          26.6900 USD 
USD 0.01 common      Sale             28          26.7207 USD 
USD 0.01 common      Sale             66          26.6716 USD 
USD 0.01 common      Sale             66          26.8216 USD 
USD 0.01 common      Sale             100         26.6750 USD 
USD 0.01 common      Sale             100         26.8900 USD 
USD 0.01 common      Sale             102         27.1048 USD 
USD 0.01 common      Sale             103         27.0947 USD 
USD 0.01 common      Sale             120         27.1391 USD 
USD 0.01 common      Sale             143         26.7946 USD 
USD 0.01 common      Sale             143         26.7876 USD 
USD 0.01 common      Sale             150         26.9650 USD 
USD 0.01 common      Sale             165         26.7813 USD 
USD 0.01 common      Sale             165         26.7933 USD 
USD 0.01 common      Sale             200         27.1900 USD 
USD 0.01 common      Sale             220         23.4170 EUR 
USD 0.01 common      Sale             253         26.8604 USD 
USD 0.01 common      Sale             304         26.9503 USD 
USD 0.01 common      Sale             308         26.8403 USD 
USD 0.01 common      Sale             351         26.7781 USD 
USD 0.01 common      Sale             407         26.8454 USD 
USD 0.01 common      Sale             500         26.9025 USD 
USD 0.01 common      Sale             521         27.0623 USD 
USD 0.01 common      Sale             561         26.8323 USD 
USD 0.01 common      Sale             584         26.7281 USD 
USD 0.01 common      Sale             700         27.0785 USD 
USD 0.01 common      Sale             706         27.2100 USD 
USD 0.01 common      Sale             1,230       27.1295 USD 
USD 0.01 common      Sale             1,760       26.7695 USD 
USD 0.01 common      Sale             2,000       27.1275 USD 
USD 0.01 common      Sale             2,100       27.1097 USD 
USD 0.01 common      Sale             2,314       27.0715 USD 
USD 0.01 common      Sale             2,330       27.1204 USD 
USD 0.01 common      Sale             2,496       27.1663 USD 
USD 0.01 common      Sale             2,591       26.6800 USD 
USD 0.01 common      Sale             2,795       26.6833 USD 
USD 0.01 common      Sale             2,812       27.0986 USD 
USD 0.01 common      Sale             3,000       27.1156 USD 
USD 0.01 common      Sale             3,106       27.1749 USD 
USD 0.01 common      Sale             5,106       27.1005 USD 
USD 0.01 common      Sale             5,196       27.1013 USD 
USD 0.01 common      Sale             5,983       27.0562 USD 
USD 0.01 common      Sale             6,699       26.8369 USD 
USD 0.01 common      Sale             7,300       27.1291 USD 
USD 0.01 common      Sale             7,493       26.9700 USD 
USD 0.01 common      Sale             7,542       27.2600 USD 
USD 0.01 common      Sale             7,606       26.9699 USD 
USD 0.01 common      Sale             8,124       26.6176 USD 
USD 0.01 common      Sale             9,268       27.0375 USD 
USD 0.01 common      Sale             9,534       27.1106 USD 
USD 0.01 common      Sale             11,497      26.9010 USD 
USD 0.01 common      Sale             13,199      26.8534 USD 
USD 0.01 common      Sale             13,865      27.1224 USD 
USD 0.01 common      Sale             18,063      26.8486 USD 
USD 0.01 common      Sale             30,679      26.6100 USD 
USD 0.01 common      Sale             90,205      26.6126 USD 
USD 0.01 common      Sale             134,025     26.7328 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                          Barclays PLC. 
positions/dealings 
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/20210916005511/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2021 
 

(END) Dow Jones Newswires

September 16, 2021 09:22 ET (13:22 GMT)

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