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:                 18 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:                1,292,409        0.22%       574,469     0.10% 
 
            Cash-settled 
(2)         derivatives: 
                                   471,830          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:                            1,764,239        0.30%       2,089,739   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        10          26.8400 USD 
USD 0.01 common     Purchase        10          26.7700 USD 
USD 0.01 common     Purchase        13          23.2500 EUR 
USD 0.01 common     Purchase        20          26.7650 USD 
USD 0.01 common     Purchase        20          26.7975 USD 
USD 0.01 common     Purchase        40          26.7837 USD 
USD 0.01 common     Purchase        50          26.8060 USD 
USD 0.01 common     Purchase        52          26.7873 USD 
USD 0.01 common     Purchase        68          26.8100 USD 
USD 0.01 common     Purchase        74          26.7766 USD 
USD 0.01 common     Purchase        98          26.7000 USD 
USD 0.01 common     Purchase        100         26.7400 USD 
USD 0.01 common     Purchase        100         26.5300 USD 
USD 0.01 common     Purchase        100         26.6400 USD 
USD 0.01 common     Purchase        177         22.8488 EUR 
USD 0.01 common     Purchase        200         26.7850 USD 
USD 0.01 common     Purchase        220         26.7959 USD 
USD 0.01 common     Purchase        220         26.8000 USD 
USD 0.01 common     Purchase        285         26.7736 USD 
USD 0.01 common     Purchase        322         26.7573 USD 
USD 0.01 common     Purchase        349         26.7435 USD 
USD 0.01 common     Purchase        400         26.5112 USD 
USD 0.01 common     Purchase        642         26.7555 USD 
USD 0.01 common     Purchase        700         26.5685 USD 
USD 0.01 common     Purchase        928         26.7450 USD 
USD 0.01 common     Purchase        1,100       26.5190 USD 
USD 0.01 common     Purchase        1,300       26.7023 USD 
USD 0.01 common     Purchase        2,012       26.8020 USD 
USD 0.01 common     Purchase        2,307       26.7840 USD 
USD 0.01 common     Purchase        2,945       26.6373 USD 
USD 0.01 common     Purchase        3,300       26.7800 USD 
USD 0.01 common     Purchase        5,000       26.5762 USD 
USD 0.01 common     Purchase        6,804       26.7535 USD 
USD 0.01 common     Purchase        7,500       26.5660 USD 
USD 0.01 common     Purchase        10,925      26.7689 USD 
USD 0.01 common     Purchase        11,740      26.7713 USD 
USD 0.01 common     Purchase        43,230      26.7600 USD 
USD 0.01 common     Purchase        55,822      26.7256 USD 
USD 0.01 common     Purchase        63,375      26.7591 USD 
USD 0.01 common     Purchase        66,776      26.7999 USD 
USD 0.01 common     Sale            13          26.7300 USD 
USD 0.01 common     Sale            13          23.2500 EUR 
USD 0.01 common     Sale            20          26.8050 USD 
USD 0.01 common     Sale            25          26.8400 USD 
USD 0.01 common     Sale            47          26.7659 USD 
USD 0.01 common     Sale            64          26.7777 USD 
USD 0.01 common     Sale            100         26.4700 USD 
USD 0.01 common     Sale            145         26.7527 USD 
USD 0.01 common     Sale            145         26.7365 USD 
USD 0.01 common     Sale            170         26.7783 USD 
USD 0.01 common     Sale            177         22.8488 EUR 
USD 0.01 common     Sale            196         26.7381 USD 
USD 0.01 common     Sale            200         26.7650 USD 
USD 0.01 common     Sale            200         26.7950 USD 
USD 0.01 common     Sale            220         26.7031 USD 
USD 0.01 common     Sale            321         26.7305 USD 
USD 0.01 common     Sale            390         26.7850 USD 
USD 0.01 common     Sale            402         26.7890 USD 
USD 0.01 common     Sale            467         26.7952 USD 
USD 0.01 common     Sale            500         26.8300 USD 
USD 0.01 common     Sale            525         26.7357 USD 
USD 0.01 common     Sale            700         26.8100 USD 
USD 0.01 common     Sale            854         26.8189 USD 
USD 0.01 common     Sale            923         26.7339 USD 
USD 0.01 common     Sale            1,113       26.7534 USD 
USD 0.01 common     Sale            1,136       26.7576 USD 
USD 0.01 common     Sale            1,602       26.8318 USD 
USD 0.01 common     Sale            1,669       26.8202 USD 
USD 0.01 common     Sale            1,965       26.5891 USD 
USD 0.01 common     Sale            3,345       26.7800 USD 
USD 0.01 common     Sale            3,516       26.7824 USD 
USD 0.01 common     Sale            3,923       26.7542 USD 
USD 0.01 common     Sale            7,500       26.5660 USD 
USD 0.01 common     Sale            7,500       26.5661 USD 
USD 0.01 common     Sale            7,577       26.7622 USD 
USD 0.01 common     Sale            7,662       26.7840 USD 
USD 0.01 common     Sale            13,249      26.8027 USD 
USD 0.01 common     Sale            18,524      26.7739 USD 
USD 0.01 common     Sale            39,642      26.8000 USD 
USD 0.01 common     Sale            59,452      26.7259 USD 
USD 0.01 common     Sale            101,950     26.7600 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:                    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: 
 
 
 

View source version on businesswire.com: https://www.businesswire.com/news/home/20220120005814/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2022 
 

(END) Dow Jones Newswires

January 20, 2022 12:08 ET (17:08 GMT)

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