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 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:                 13 January 2022 
(f)  In addition to the company in 1(c) above, is the       YES: 
     discloser making 
     disclosures in respect of any other party to the       AVAST PLC 
     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:                1,328,678        0.23%       538,759     0.09% 
 
            Cash-settled 
(2)         derivatives: 
                                   354,830          0.06%       1,513,170   0.26% 
 
            Stock-settled 
            derivatives 
(3)         (including options) 
 and agreements to 
  purchase/sell:                   0                0.00%       2,100       0.00% 
 
 
 TOTAL:                            1,683,508        0.29%       2,054,029   0.35% 
 
                                   Convertible Bond 
Class of relevant security:        US668771AA66 
                                   Interests                    Short Positions 
                                   Number           (%)         Number      (%) 
            Relevant securities 
(1)         owned 
 and/or controlled:                390,000          0.07%       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:                            390,000          0.07%       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       24          26.5875 USD 
USD 0.01 common    Purchase       26          26.5469 USD 
USD 0.01 common    Purchase       32          26.5887 USD 
USD 0.01 common    Purchase       43          26.7430 USD 
USD 0.01 common    Purchase       48          26.6100 USD 
USD 0.01 common    Purchase       48          26.5825 USD 
USD 0.01 common    Purchase       48          26.6400 USD 
USD 0.01 common    Purchase       48          26.5950 USD 
USD 0.01 common    Purchase       48          26.6050 USD 
USD 0.01 common    Purchase       48          26.6025 USD 
USD 0.01 common    Purchase       72          26.6233 USD 
USD 0.01 common    Purchase       96          26.6062 USD 
USD 0.01 common    Purchase       100         26.6700 USD 
USD 0.01 common    Purchase       110         26.6463 USD 
USD 0.01 common    Purchase       112         26.6457 USD 
USD 0.01 common    Purchase       128         26.6235 USD 
USD 0.01 common    Purchase       172         26.6070 USD 
USD 0.01 common    Purchase       178         26.6501 USD 
USD 0.01 common    Purchase       200         26.6325 USD 
USD 0.01 common    Purchase       212         26.6395 USD 
USD 0.01 common    Purchase       242         26.6187 USD 
USD 0.01 common    Purchase       290         26.6131 USD 
USD 0.01 common    Purchase       300         26.7133 USD 
USD 0.01 common    Purchase       310         26.6450 USD 
USD 0.01 common    Purchase       354         26.6351 USD 
USD 0.01 common    Purchase       956         26.5600 USD 
USD 0.01 common    Purchase       1,110       26.6893 USD 
USD 0.01 common    Purchase       1,889       26.6401 USD 
USD 0.01 common    Purchase       3,066       26.6562 USD 
USD 0.01 common    Purchase       4,800       26.6500 USD 
USD 0.01 common    Purchase       5,551       26.6705 USD 
USD 0.01 common    Purchase       6,922       26.5995 USD 
USD 0.01 common    Purchase       7,256       26.5734 USD 
USD 0.01 common    Purchase       8,032       26.6651 USD 
USD 0.01 common    Purchase       17,033      26.6222 USD 
USD 0.01 common    Purchase       30,420      26.6000 USD 
USD 0.01 common    Purchase       78,658      26.6659 USD 
USD 0.01 common    Sale           82          26.7402 USD 
USD 0.01 common    Sale           190         26.7002 USD 
USD 0.01 common    Sale           395         26.6792 USD 
USD 0.01 common    Sale           546         26.7525 USD 
USD 0.01 common    Sale           768         26.6017 USD 
USD 0.01 common    Sale           956         26.5600 USD 
USD 0.01 common    Sale           1,582       26.5881 USD 
USD 0.01 common    Sale           2,074       26.6330 USD 
USD 0.01 common    Sale           3,764       26.6528 USD 
USD 0.01 common    Sale           4,288       26.5986 USD 
USD 0.01 common    Sale           4,446       26.6749 USD 
USD 0.01 common    Sale           4,524       26.6500 USD 
USD 0.01 common    Sale           4,619       26.6975 USD 
USD 0.01 common    Sale           5,023       26.7078 USD 
USD 0.01 common    Sale           6,212       26.6839 USD 
USD 0.01 common    Sale           6,760       26.7136 USD 
USD 0.01 common    Sale           7,256       26.5734 USD 
USD 0.01 common    Sale           12,115      26.6140 USD 
USD 0.01 common    Sale           27,870      26.6000 USD 
USD 0.01 common    Sale           66,266      26.6571 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:                    14 Jan 2022 
                                       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    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/20220114005198/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2022 
 

(END) Dow Jones Newswires

January 14, 2022 06:27 ET (11:27 GMT)

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