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: 22 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: 1,503,420 0.26% 545,635 0.09%
Cash-settled
(2) derivatives:
217,930 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: 1,721,850 0.30% 1,576,057 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 6 24.9358 USD
USD 0.01 common Purchase 11 24.9800 USD
USD 0.01 common Purchase 38 24.9350 USD
USD 0.01 common Purchase 38 24.9450 USD
USD 0.01 common Purchase 39 24.9628 USD
USD 0.01 common Purchase 57 24.9516 USD
USD 0.01 common Purchase 57 24.9550 USD
USD 0.01 common Purchase 57 24.9650 USD
USD 0.01 common Purchase 65 24.9115 USD
USD 0.01 common Purchase 123 24.9890 USD
USD 0.01 common Purchase 139 24.9600 USD
USD 0.01 common Purchase 190 24.9610 USD
USD 0.01 common Purchase 200 25.1000 USD
USD 0.01 common Purchase 200 25.0000 USD
USD 0.01 common Purchase 201 24.9200 USD
USD 0.01 common Purchase 231 25.1067 USD
USD 0.01 common Purchase 301 25.1498 USD
USD 0.01 common Purchase 338 24.9744 USD
USD 0.01 common Purchase 494 24.9919 USD
USD 0.01 common Purchase 500 25.1460 USD
USD 0.01 common Purchase 584 25.1700 USD
USD 0.01 common Purchase 800 25.1375 USD
USD 0.01 common Purchase 1,003 24.9500 USD
USD 0.01 common Purchase 1,060 25.1282 USD
USD 0.01 common Purchase 1,335 25.0467 USD
USD 0.01 common Purchase 1,510 25.1307 USD
USD 0.01 common Purchase 1,600 25.0543 USD
USD 0.01 common Purchase 1,793 25.1044 USD
USD 0.01 common Purchase 2,100 25.1500 USD
USD 0.01 common Purchase 2,123 25.0088 USD
USD 0.01 common Purchase 2,161 24.9571 USD
USD 0.01 common Purchase 2,700 25.1262 USD
USD 0.01 common Purchase 2,909 25.0665 USD
USD 0.01 common Purchase 2,911 25.1257 USD
USD 0.01 common Purchase 3,000 25.0020 USD
USD 0.01 common Purchase 3,507 25.0457 USD
USD 0.01 common Purchase 4,288 25.1228 USD
USD 0.01 common Purchase 8,852 24.9547 USD
USD 0.01 common Purchase 11,216 25.1346 USD
USD 0.01 common Purchase 13,772 25.0268 USD
USD 0.01 common Purchase 16,448 25.0050 USD
USD 0.01 common Purchase 17,278 24.9802 USD
USD 0.01 common Purchase 20,290 24.9872 USD
USD 0.01 common Purchase 20,500 24.9401 USD
USD 0.01 common Purchase 24,516 25.0074 USD
USD 0.01 common Purchase 58,171 24.9400 USD
USD 0.01 common Purchase 69,934 24.9796 USD
USD 0.01 common Sale 10 24.9700 USD
USD 0.01 common Sale 75 24.9300 USD
USD 0.01 common Sale 93 25.1300 USD
USD 0.01 common Sale 100 25.1600 USD
USD 0.01 common Sale 100 25.1400 USD
USD 0.01 common Sale 105 24.9104 USD
USD 0.01 common Sale 161 24.9867 USD
USD 0.01 common Sale 200 24.8650 USD
USD 0.01 common Sale 200 24.9950 USD
USD 0.01 common Sale 200 25.1000 USD
USD 0.01 common Sale 300 24.9716 USD
USD 0.01 common Sale 300 25.0100 USD
USD 0.01 common Sale 304 24.9567 USD
USD 0.01 common Sale 327 24.9324 USD
USD 0.01 common Sale 474 25.0696 USD
USD 0.01 common Sale 500 24.9520 USD
USD 0.01 common Sale 511 24.9610 USD
USD 0.01 common Sale 523 25.0000 USD
USD 0.01 common Sale 585 25.1700 USD
USD 0.01 common Sale 668 24.9783 USD
USD 0.01 common Sale 700 24.9828 USD
USD 0.01 common Sale 721 25.1548 USD
USD 0.01 common Sale 744 24.9538 USD
USD 0.01 common Sale 800 24.9600 USD
USD 0.01 common Sale 816 24.9740 USD
USD 0.01 common Sale 825 25.1554 USD
USD 0.01 common Sale 926 24.9405 USD
USD 0.01 common Sale 1,000 25.1605 USD
USD 0.01 common Sale 1,000 25.1465 USD
USD 0.01 common Sale 1,001 25.1470 USD
USD 0.01 common Sale 1,086 24.9464 USD
USD 0.01 common Sale 1,088 24.9601 USD
USD 0.01 common Sale 1,300 25.1530 USD
USD 0.01 common Sale 1,500 25.1318 USD
USD 0.01 common Sale 1,502 25.1357 USD
USD 0.01 common Sale 1,541 25.1177 USD
USD 0.01 common Sale 1,646 25.1419 USD
USD 0.01 common Sale 3,808 25.0020 USD
USD 0.01 common Sale 4,172 25.1426 USD
USD 0.01 common Sale 4,437 25.1354 USD
USD 0.01 common Sale 5,043 24.9540 USD
USD 0.01 common Sale 11,833 24.9947 USD
USD 0.01 common Sale 16,445 24.9846 USD
USD 0.01 common Sale 20,351 25.0048 USD
USD 0.01 common Sale 21,078 24.9409 USD
USD 0.01 common Sale 29,823 25.0144 USD
USD 0.01 common Sale 54,322 24.9400 USD
USD 0.01 common Sale 90,494 24.9857 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: 23 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/20210923005457/en/
CONTACT:
BARCLAYS PLC
SOURCE: BARCLAYS PLC
Copyright Business Wire 2021
(END) Dow Jones Newswires
September 23, 2021 06:12 ET (10:12 GMT)
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