LONDON--(BUSINESS WIRE)--
FORM 8.3 - Amendment to Sale and 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: | 14 September 2021 |
| (f) | In addition to the company in 1(c) above, is the discloser making | YES: |
| disclosures in respect of any other party to the offer? | AVAST PLC |
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 | (%) | ||
(1) |
Relevant securities owned | ||||
| and/or controlled: | 1,430,293 |
0.25% |
505,515 |
0.09% |
|
(2) |
Cash-settled derivatives: | ||||
160,930 |
0.03% |
1,028,322 |
0.18% |
||
(3) |
Stock-settled derivatives (including options) | ||||
| and agreements to purchase/sell: | 500 |
0.00% |
2,100 |
0.00% |
|
| TOTAL: | 1,591,723 |
0.27% |
1,535,937 |
0.26% |
|
| Class of relevant security: | Convertible Bond US668771AA66 | ||||
| Interests | Short Positions | ||||
| Number | (%) | Number | (%) | ||
(1) |
Relevant securities owned | ||||
| and/or controlled: | 141,000 |
0.02% |
0 |
0.00% |
|
(2) |
Cash-settled derivatives: | ||||
0 |
0.00% |
0 |
0.00% |
||
(3) |
Stock-settled derivatives (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 |
8 |
26.1750 USD |
USD 0.01 common |
Purchase |
10 |
26.2200 USD |
USD 0.01 common |
Purchase |
11 |
26.1577 USD |
USD 0.01 common |
Purchase |
100 |
26.2300 USD |
USD 0.01 common |
Purchase |
100 |
26.2050 USD |
USD 0.01 common |
Purchase |
102 |
26.2090 USD |
USD 0.01 common |
Purchase |
115 |
26.1405 USD |
USD 0.01 common |
Purchase |
125 |
26.1660 USD |
USD 0.01 common |
Purchase |
200 |
26.3600 USD |
USD 0.01 common |
Purchase |
200 |
26.2550 USD |
USD 0.01 common |
Purchase |
200 |
26.1125 USD |
USD 0.01 common |
Purchase |
200 |
26.2350 USD |
USD 0.01 common |
Purchase |
201 |
26.2000 USD |
USD 0.01 common |
Purchase |
216 |
26.1500 USD |
USD 0.01 common |
Purchase |
250 |
26.1850 USD |
USD 0.01 common |
Purchase |
299 |
26.2100 USD |
USD 0.01 common |
Purchase |
300 |
26.1966 USD |
USD 0.01 common |
Purchase |
312 |
26.2123 USD |
USD 0.01 common |
Purchase |
400 |
26.2125 USD |
USD 0.01 common |
Purchase |
400 |
26.2825 USD |
USD 0.01 common |
Purchase |
400 |
26.1775 USD |
USD 0.01 common |
Purchase |
419 |
26.1200 USD |
USD 0.01 common |
Purchase |
435 |
26.1900 USD |
USD 0.01 common |
Purchase |
493 |
26.1530 USD |
USD 0.01 common |
Purchase |
500 |
26.1220 USD |
USD 0.01 common |
Purchase |
500 |
26.1600 USD |
USD 0.01 common |
Purchase |
508 |
26.1518 USD |
USD 0.01 common |
Purchase |
600 |
26.1883 USD |
USD 0.01 common |
Purchase |
600 |
26.3300 USD |
USD 0.01 common |
Purchase |
625 |
26.1280 USD |
USD 0.01 common |
Purchase |
724 |
26.1865 USD |
USD 0.01 common |
Purchase |
742 |
26.1691 USD |
USD 0.01 common |
Purchase |
900 |
26.2600 USD |
USD 0.01 common |
Purchase |
1,110 |
26.1888 USD |
USD 0.01 common |
Purchase |
1,500 |
26.1950 USD |
USD 0.01 common |
Purchase |
1,557 |
26.1769 USD |
USD 0.01 common |
Purchase |
2,800 |
26.2033 USD |
USD 0.01 common |
Purchase |
3,047 |
26.2044 USD |
USD 0.01 common |
Purchase |
4,691 |
26.2608 USD |
USD 0.01 common |
Purchase |
4,754 |
26.2274 USD |
USD 0.01 common |
Purchase |
5,892 |
26.6200 USD |
USD 0.01 common |
Purchase |
8,033 |
26.1754 USD |
USD 0.01 common |
Purchase |
11,450 |
26.3000 USD |
USD 0.01 common |
Purchase |
12,994 |
26.2424 USD |
USD 0.01 common |
Purchase |
13,165 |
26.3049 USD |
USD 0.01 common |
Purchase |
18,160 |
26.2096 USD |
USD 0.01 common |
Purchase |
18,238 |
26.2136 USD |
USD 0.01 common |
Purchase |
41,294 |
26.1800 USD |
USD 0.01 common |
Purchase |
49,683 |
26.1799 USD |
USD 0.01 common |
Purchase |
50,957 |
26.2094 USD |
USD 0.01 common |
Sale |
2 |
26.4200 USD |
USD 0.01 common |
Sale |
3 |
26.1450 USD |
USD 0.01 common |
Sale |
3 |
26.2050 USD |
USD 0.01 common |
Sale |
3 |
26.1600 USD |
USD 0.01 common |
Sale |
6 |
26.1150 USD |
USD 0.01 common |
Sale |
9 |
26.1633 USD |
USD 0.01 common |
Sale |
11 |
26.1709 USD |
USD 0.01 common |
Sale |
12 |
26.1200 USD |
USD 0.01 common |
Sale |
15 |
26.1580 USD |
USD 0.01 common |
Sale |
16 |
26.1659 USD |
USD 0.01 common |
Sale |
27 |
26.1344 USD |
USD 0.01 common |
Sale |
27 |
26.1222 USD |
USD 0.01 common |
Sale |
82 |
26.5478 USD |
USD 0.01 common |
Sale |
100 |
26.3200 USD |
USD 0.01 common |
Sale |
100 |
26.3850 USD |
USD 0.01 common |
Sale |
103 |
26.3319 USD |
USD 0.01 common |
Sale |
300 |
26.2433 USD |
USD 0.01 common |
Sale |
500 |
26.5700 USD |
USD 0.01 common |
Sale |
500 |
26.3480 USD |
USD 0.01 common |
Sale |
600 |
26.3300 USD |
USD 0.01 common |
Sale |
714 |
26.6200 USD |
USD 0.01 common |
Sale |
742 |
26.1691 USD |
USD 0.01 common |
Sale |
787 |
26.2463 USD |
USD 0.01 common |
Sale |
910 |
26.1896 USD |
USD 0.01 common |
Sale |
2,254 |
26.1700 USD |
USD 0.01 common |
Sale |
2,926 |
26.3245 USD |
USD 0.01 common |
Sale |
6,125 |
26.6032 USD |
USD 0.01 common |
Sale |
6,782 |
26.1826 USD |
USD 0.01 common |
Sale |
9,639 |
26.2966 USD |
USD 0.01 common |
Sale |
11,764 |
26.2313 USD |
USD 0.01 common |
Sale |
18,040 |
26.2208 USD |
USD 0.01 common |
Sale |
19,260 |
26.2097 USD |
USD 0.01 common |
Sale |
21,722 |
26.1795 USD |
USD 0.01 common |
Sale |
22,828 |
26.3000 USD |
USD 0.01 common |
Sale |
25,258 |
26.1764 USD |
USD 0.01 common |
Sale |
43,267 |
26.1800 USD |
USD 0.01 common |
Sale |
55,247 |
26.2089 USD |
(b) Cash-settled derivative transactions
Class of relevant security |
Product description e.g. CFD |
Nature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short position |
Number of reference securities |
Price per unit |
|
|
|
|
|
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class of relevant security |
Product description e.g. call option |
Writing, purchasing, selling, varying etc. |
Number of securities to which option relates |
Exercise price per unit |
Type e.g. American, European etc. |
Expiry date |
Option money paid/ received per unit |
|
|
|
|
|
|
|
|
(ii) Exercise
Class of relevant security |
Product description e.g. call option |
Exercising/ exercised against |
Number of securities |
Exercise price per unit |
|
|
|
|
|
(d) Other dealings (including subscribing for new securities)
Class of relevant security |
Nature of dealing e.g. subscription, conversion |
Details |
Price per unit (if applicable) |
|
|
|
|
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 |
|||
| 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 common |
Call Options |
Purchased |
500 |
27.0000 |
American |
21 Jan 2022 |
USD 0.01 common |
Put Options |
Purchased |
-2,100 |
30.0000 |
American |
21 Jan 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.