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:             19 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:                1,274,778        0.22%       585,257     0.10% 
 
            Cash-settled 
(2)         derivatives: 
                                   473,807          0.08%       1,513,170   0.26% 
 
            Stock-settled 
            derivatives 
(3)         (including options) 
 and agreements to 
  purchase/sell:                   0                0.00%       2,100       0.00% 
 
 
 TOTAL:                            1,748,585        0.30%       2,100,527   0.36% 
 
                                   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         3           23.5250 EUR 
USD 0.01 common      Purchase         23          26.5404 USD 
USD 0.01 common      Purchase         39          26.7700 USD 
USD 0.01 common      Purchase         41          26.8860 USD 
USD 0.01 common      Purchase         41          26.4402 USD 
USD 0.01 common      Purchase         48          26.4000 USD 
USD 0.01 common      Purchase         72          26.4333 USD 
USD 0.01 common      Purchase         96          26.4712 USD 
USD 0.01 common      Purchase         100         23.5500 EUR 
USD 0.01 common      Purchase         100         26.3300 USD 
USD 0.01 common      Purchase         100         26.7300 USD 
USD 0.01 common      Purchase         127         26.4857 USD 
USD 0.01 common      Purchase         136         26.3483 USD 
USD 0.01 common      Purchase         177         26.5692 USD 
USD 0.01 common      Purchase         179         26.4308 USD 
USD 0.01 common      Purchase         200         26.5000 USD 
USD 0.01 common      Purchase         230         26.4374 USD 
USD 0.01 common      Purchase         246         26.4131 USD 
USD 0.01 common      Purchase         248         26.3808 USD 
USD 0.01 common      Purchase         254         26.5973 USD 
USD 0.01 common      Purchase         272         26.5763 USD 
USD 0.01 common      Purchase         400         26.4812 USD 
USD 0.01 common      Purchase         409         26.3726 USD 
USD 0.01 common      Purchase         502         26.5584 USD 
USD 0.01 common      Purchase         689         26.4300 USD 
USD 0.01 common      Purchase         1,043       26.4968 USD 
USD 0.01 common      Purchase         1,333       26.9100 USD 
USD 0.01 common      Purchase         1,429       26.4674 USD 
USD 0.01 common      Purchase         2,257       26.4796 USD 
USD 0.01 common      Purchase         3,570       26.3605 USD 
USD 0.01 common      Purchase         3,860       26.4998 USD 
USD 0.01 common      Purchase         6,713       26.3600 USD 
USD 0.01 common      Purchase         7,550       26.7500 USD 
USD 0.01 common      Purchase         7,691       26.5143 USD 
USD 0.01 common      Purchase         9,492       26.5026 USD 
USD 0.01 common      Purchase         9,623       26.4555 USD 
USD 0.01 common      Purchase         24,156      26.3910 USD 
USD 0.01 common      Purchase         27,966      26.5163 USD 
USD 0.01 common      Purchase         41,811      26.3928 USD 
USD 0.01 common      Purchase         47,978      26.5277 USD 
USD 0.01 common      Purchase         68,934      26.4009 USD 
USD 0.01 common      Sale             3           23.5250 EUR 
USD 0.01 common      Sale             28          26.8300 USD 
USD 0.01 common      Sale             51          26.4900 USD 
USD 0.01 common      Sale             82          26.8860 USD 
USD 0.01 common      Sale             100         26.3300 USD 
USD 0.01 common      Sale             100         23.5500 EUR 
USD 0.01 common      Sale             100         26.6500 USD 
USD 0.01 common      Sale             177         26.5033 USD 
USD 0.01 common      Sale             182         26.3800 USD 
USD 0.01 common      Sale             195         26.3861 USD 
USD 0.01 common      Sale             200         26.6600 USD 
USD 0.01 common      Sale             200         26.5850 USD 
USD 0.01 common      Sale             314         26.5666 USD 
USD 0.01 common      Sale             314         26.3900 USD 
USD 0.01 common      Sale             322         26.6134 USD 
USD 0.01 common      Sale             351         26.4613 USD 
USD 0.01 common      Sale             402         26.3902 USD 
USD 0.01 common      Sale             502         26.6172 USD 
USD 0.01 common      Sale             548         26.3816 USD 
USD 0.01 common      Sale             615         26.4339 USD 
USD 0.01 common      Sale             852         26.4359 USD 
USD 0.01 common      Sale             852         26.5477 USD 
USD 0.01 common      Sale             954         26.6632 USD 
USD 0.01 common      Sale             1,252       26.4084 USD 
USD 0.01 common      Sale             1,333       26.9100 USD 
USD 0.01 common      Sale             1,455       26.4208 USD 
USD 0.01 common      Sale             1,600       26.7046 USD 
USD 0.01 common      Sale             1,642       26.4077 USD 
USD 0.01 common      Sale             3,074       26.4123 USD 
USD 0.01 common      Sale             3,486       26.4182 USD 
USD 0.01 common      Sale             4,003       26.6173 USD 
USD 0.01 common      Sale             4,022       26.4034 USD 
USD 0.01 common      Sale             4,210       26.6824 USD 
USD 0.01 common      Sale             4,538       26.4603 USD 
USD 0.01 common      Sale             4,883       26.3927 USD 
USD 0.01 common      Sale             4,918       26.4029 USD 
USD 0.01 common      Sale             5,104       26.4761 USD 
USD 0.01 common      Sale             6,017       26.5517 USD 
USD 0.01 common      Sale             7,529       26.3696 USD 
USD 0.01 common      Sale             7,802       26.3600 USD 
USD 0.01 common      Sale             8,337       26.4620 USD 
USD 0.01 common      Sale             9,623       26.4555 USD 
USD 0.01 common      Sale             15,100      26.7500 USD 
USD 0.01 common      Sale             16,688      26.3628 USD 
USD 0.01 common      Sale             27,059      26.4142 USD 
USD 0.01 common      Sale             30,515      26.5158 USD 
USD 0.01 common      Sale             38,429      26.4985 USD 
USD 0.01 common      Sale             55,306      26.3901 USD 
 

(b) Cash-settled derivative transactions

 
Class of           Product        Nature of dealing    Number of   Price per 
relevant           description                         reference   unit 
security                                               securities 
USD 0.01 common    SWAP           Long                 1,977       26.6409 USD 
 

(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:                 20 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/20220120005634/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2022 
 

(END) Dow Jones Newswires

January 20, 2022 09:51 ET (14:51 GMT)

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