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:             16 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)

 
                             Interests                     Short Positions 
                             Number            (%)         Number      (%) 
      Relevant securities 
(1)   owned 
 and/or controlled:          1,434,759         0.25%       552,869     0.10% 
 
      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:                      1,662,189         0.29%       1,583,291   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         5             26.0700 USD 
USD 0.01 common      Purchase         10            26.1400 USD 
USD 0.01 common      Purchase         100           26.1364 USD 
USD 0.01 common      Purchase         100           26.0050 USD 
USD 0.01 common      Purchase         200           26.1150 USD 
USD 0.01 common      Purchase         316           26.0260 USD 
USD 0.01 common      Purchase         670           26.0227 USD 
USD 0.01 common      Purchase         900           25.9777 USD 
USD 0.01 common      Purchase         1,046         26.0703 USD 
USD 0.01 common      Purchase         1,263         25.9944 USD 
USD 0.01 common      Purchase         1,349         25.9702 USD 
USD 0.01 common      Purchase         1,699         26.1000 USD 
USD 0.01 common      Purchase         2,403         26.0330 USD 
USD 0.01 common      Purchase         3,415         26.0982 USD 
USD 0.01 common      Purchase         4,122         25.9968 USD 
USD 0.01 common      Purchase         4,425         26.0035 USD 
USD 0.01 common      Purchase         4,938         25.9962 USD 
USD 0.01 common      Purchase         6,040         26.0891 USD 
USD 0.01 common      Purchase         7,108         25.9217 USD 
USD 0.01 common      Purchase         10,888        26.0649 USD 
USD 0.01 common      Purchase         11,943        26.0672 USD 
USD 0.01 common      Purchase         24,341        26.0911 USD 
USD 0.01 common      Purchase         25,613        25.9500 USD 
USD 0.01 common      Purchase         64,349        25.9200 USD 
USD 0.01 common      Purchase         92,435        25.9499 USD 
USD 0.01 common      Sale             8             25.9700 USD 
USD 0.01 common      Sale             9             26.0900 USD 
USD 0.01 common      Sale             10            26.1400 USD 
USD 0.01 common      Sale             10            26.2500 USD 
USD 0.01 common      Sale             50            26.1300 USD 
USD 0.01 common      Sale             74            25.9397 USD 
USD 0.01 common      Sale             100           26.1150 USD 
USD 0.01 common      Sale             100           26.0550 USD 
USD 0.01 common      Sale             100           25.9900 USD 
USD 0.01 common      Sale             105           25.9250 USD 
USD 0.01 common      Sale             190           26.0573 USD 
USD 0.01 common      Sale             200           26.0475 USD 
USD 0.01 common      Sale             224           26.0825 USD 
USD 0.01 common      Sale             343           26.0837 USD 
USD 0.01 common      Sale             385           26.0948 USD 
USD 0.01 common      Sale             400           26.0725 USD 
USD 0.01 common      Sale             400           26.1037 USD 
USD 0.01 common      Sale             405           26.0700 USD 
USD 0.01 common      Sale             462           25.9581 USD 
USD 0.01 common      Sale             531           25.9842 USD 
USD 0.01 common      Sale             699           26.0857 USD 
USD 0.01 common      Sale             750           25.9573 USD 
USD 0.01 common      Sale             969           25.9480 USD 
USD 0.01 common      Sale             1,046         26.0703 USD 
USD 0.01 common      Sale             1,055         26.0842 USD 
USD 0.01 common      Sale             1,070         25.9596 USD 
USD 0.01 common      Sale             1,073         25.9668 USD 
USD 0.01 common      Sale             1,082         25.9798 USD 
USD 0.01 common      Sale             1,100         26.0809 USD 
USD 0.01 common      Sale             1,291         25.9681 USD 
USD 0.01 common      Sale             1,373         25.9816 USD 
USD 0.01 common      Sale             1,412         26.0132 USD 
USD 0.01 common      Sale             1,446         25.9398 USD 
USD 0.01 common      Sale             1,612         25.9303 USD 
USD 0.01 common      Sale             1,829         26.0768 USD 
USD 0.01 common      Sale             2,219         26.0798 USD 
USD 0.01 common      Sale             2,349         26.0071 USD 
USD 0.01 common      Sale             3,217         26.0993 USD 
USD 0.01 common      Sale             3,320         26.0012 USD 
USD 0.01 common      Sale             3,623         26.0956 USD 
USD 0.01 common      Sale             8,435         26.0617 USD 
USD 0.01 common      Sale             10,053        25.9314 USD 
USD 0.01 common      Sale             18,961        26.0907 USD 
USD 0.01 common      Sale             19,501        26.0355 USD 
USD 0.01 common      Sale             39,513        26.1000 USD 
USD 0.01 common      Sale             70,555        25.9200 USD 
USD 0.01 common      Sale             100,006       25.9521 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:                 17 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. 
 

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/20210917005296/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2021 
 

(END) Dow Jones Newswires

September 17, 2021 08:53 ET (12:53 GMT)

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