TIDMBARC 
 
 

FORM 8.3 - Amendment to Sale

 

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 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       AVAST PLC 
     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:                1,321,705        0.23%       540,911     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:                            1,676,535        0.29%       2,056,181   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         1           26.5500 USD 
USD 0.01 common      Purchase         6           26.7750 USD 
USD 0.01 common      Purchase         9           26.9000 USD 
USD 0.01 common      Purchase         14          26.8700 USD 
USD 0.01 common      Purchase         26          26.8650 USD 
USD 0.01 common      Purchase         26          26.8850 USD 
USD 0.01 common      Purchase         32          26.8900 USD 
USD 0.01 common      Purchase         40          26.5000 USD 
USD 0.01 common      Purchase         55          26.7600 USD 
USD 0.01 common      Purchase         64          26.8875 USD 
USD 0.01 common      Purchase         75          26.8750 USD 
USD 0.01 common      Purchase         78          26.7916 USD 
USD 0.01 common      Purchase         86          26.8950 USD 
USD 0.01 common      Purchase         90          26.8350 USD 
USD 0.01 common      Purchase         91          23.0450 EUR 
USD 0.01 common      Purchase         100         26.7400 USD 
USD 0.01 common      Purchase         112         26.8405 USD 
USD 0.01 common      Purchase         132         26.5983 USD 
USD 0.01 common      Purchase         154         26.8450 USD 
USD 0.01 common      Purchase         170         26.7576 USD 
USD 0.01 common      Purchase         200         26.4400 USD 
USD 0.01 common      Purchase         201         26.6991 USD 
USD 0.01 common      Purchase         211         26.3952 USD 
USD 0.01 common      Purchase         264         26.8804 USD 
USD 0.01 common      Purchase         267         26.3900 USD 
USD 0.01 common      Purchase         418         26.4300 USD 
USD 0.01 common      Purchase         808         26.4124 USD 
USD 0.01 common      Purchase         917         26.6721 USD 
USD 0.01 common      Purchase         2,800       26.8500 USD 
USD 0.01 common      Purchase         3,144       26.7957 USD 
USD 0.01 common      Purchase         5,243       26.8077 USD 
USD 0.01 common      Purchase         8,367       26.7998 USD 
USD 0.01 common      Purchase         8,831       26.8020 USD 
USD 0.01 common      Purchase         15,144      26.6458 USD 
USD 0.01 common      Purchase         33,987      26.8800 USD 
USD 0.01 common      Purchase         75,598      26.7869 USD 
USD 0.01 common      Sale             3           26.3900 USD 
USD 0.01 common      Sale             6           26.7750 USD 
USD 0.01 common      Sale             9           26.9000 USD 
USD 0.01 common      Sale             19          26.5800 USD 
USD 0.01 common      Sale             55          26.7600 USD 
USD 0.01 common      Sale             63          26.8466 USD 
USD 0.01 common      Sale             91          23.0450 EUR 
USD 0.01 common      Sale             100         26.8000 USD 
USD 0.01 common      Sale             110         26.7550 USD 
USD 0.01 common      Sale             110         26.7450 USD 
USD 0.01 common      Sale             110         26.7700 USD 
USD 0.01 common      Sale             155         26.7650 USD 
USD 0.01 common      Sale             203         26.7083 USD 
USD 0.01 common      Sale             228         26.7902 USD 
USD 0.01 common      Sale             231         26.8399 USD 
USD 0.01 common      Sale             335         26.8378 USD 
USD 0.01 common      Sale             412         26.8607 USD 
USD 0.01 common      Sale             600         26.8100 USD 
USD 0.01 common      Sale             600         26.7950 USD 
USD 0.01 common      Sale             701         26.6697 USD 
USD 0.01 common      Sale             800         26.7981 USD 
USD 0.01 common      Sale             982         26.8013 USD 
USD 0.01 common      Sale             1,000       26.7980 USD 
USD 0.01 common      Sale             1,001       26.8046 USD 
USD 0.01 common      Sale             1,188       26.8322 USD 
USD 0.01 common      Sale             1,210       26.7886 USD 
USD 0.01 common      Sale             2,108       26.6545 USD 
USD 0.01 common      Sale             2,800       26.8500 USD 
USD 0.01 common      Sale             3,263       26.8261 USD 
USD 0.01 common      Sale             5,397       26.8726 USD 
USD 0.01 common      Sale             5,481       26.7878 USD 
USD 0.01 common      Sale             5,500       26.8344 USD 
USD 0.01 common      Sale             5,573       26.7879 USD 
USD 0.01 common      Sale             8,598       26.8066 USD 
USD 0.01 common      Sale             16,301      26.7794 USD 
USD 0.01 common      Sale             16,449      26.6407 USD 
USD 0.01 common      Sale             20,975      26.7589 USD 
USD 0.01 common      Sale             21,947      26.7758 USD 
USD 0.01 common      Sale             37,426      26.8800 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:                 19 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/20220119005775/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2022 
 

(END) Dow Jones Newswires

January 19, 2022 11:40 ET (16:40 GMT)

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