Form 8.3 - NORTONLIFELOCK INC

·9 min read

LONDON, September 28, 2021--(BUSINESS WIRE)--

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 interests and short positions disclosed, if different from 1(a):

The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.

(c) Name of offeror/offeree in relation to whose relevant securities this form relates:

Use a separate form for each offeror/offeree

NORTONLIFELOCK INC

(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:

For an opening position disclosure, state the latest practicable date prior to the disclosure

27 Sept 2021

(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer?

If it is a cash offer or possible cash offer, state "N/A"

YES : 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:

1,479,470

0.25%

458,542

0.08%

(2)

Cash-settled derivatives:

159,730

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%

(4)

TOTAL:

1,639,700

0.28%

1,488,964

0.26%

Class of relevant security:

Convertible Bond US668771AA66

Interests

Short Positions

Number

(%)

Number

(%)

(1)

Relevant securities owned

and/or controlled:

146,000

0.03%

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%

(4)

TOTAL:

146,000

0.03%

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

25.5200 USD

USD 0.01 common

Purchase

5

25.8350 USD

USD 0.01 common

Purchase

5

25.8500 USD

USD 0.01 common

Purchase

7

25.7021 USD

USD 0.01 common

Purchase

7

25.7678 USD

USD 0.01 common

Purchase

17

25.8132 USD

USD 0.01 common

Purchase

18

25.7077 USD

USD 0.01 common

Purchase

18

25.6736 USD

USD 0.01 common

Purchase

22

25.6800 USD

USD 0.01 common

Purchase

27

25.6700 USD

USD 0.01 common

Purchase

38

25.8200 USD

USD 0.01 common

Purchase

49

25.6661 USD

USD 0.01 common

Purchase

53

25.6326 USD

USD 0.01 common

Purchase

61

25.6630 USD

USD 0.01 common

Purchase

63

25.5400 USD

USD 0.01 common

Purchase

100

25.7700 USD

USD 0.01 common

Purchase

110

25.7365 USD

USD 0.01 common

Purchase

113

25.6300 USD

USD 0.01 common

Purchase

114

25.6435 USD

USD 0.01 common

Purchase

143

21.9693 EUR

USD 0.01 common

Purchase

199

25.8111 USD

USD 0.01 common

Purchase

224

25.5300 USD

USD 0.01 common

Purchase

300

25.6733 USD

USD 0.01 common

Purchase

400

25.7350 USD

USD 0.01 common

Purchase

441

25.7831 USD

USD 0.01 common

Purchase

524

25.5493 USD

USD 0.01 common

Purchase

568

25.5482 USD

USD 0.01 common

Purchase

600

25.5466 USD

USD 0.01 common

Purchase

643

25.7086 USD

USD 0.01 common

Purchase

713

25.5500 USD

USD 0.01 common

Purchase

800

25.8075 USD

USD 0.01 common

Purchase

1,100

25.5272 USD

USD 0.01 common

Purchase

1,100

25.5454 USD

USD 0.01 common

Purchase

1,107

25.5498 USD

USD 0.01 common

Purchase

1,192

25.5449 USD

USD 0.01 common

Purchase

1,603

25.5432 USD

USD 0.01 common

Purchase

1,624

25.5451 USD

USD 0.01 common

Purchase

2,000

25.5470 USD

USD 0.01 common

Purchase

2,296

25.7109 USD

USD 0.01 common

Purchase

2,521

25.7104 USD

USD 0.01 common

Purchase

3,015

25.5286 USD

USD 0.01 common

Purchase

3,134

25.8121 USD

USD 0.01 common

Purchase

3,800

25.8166 USD

USD 0.01 common

Purchase

4,555

25.6844 USD

USD 0.01 common

Purchase

5,468

25.7257 USD

USD 0.01 common

Purchase

6,449

25.7642 USD

USD 0.01 common

Purchase

6,752

25.8141 USD

USD 0.01 common

Purchase

11,196

25.8065 USD

USD 0.01 common

Purchase

11,742

25.5441 USD

USD 0.01 common

Purchase

29,283

25.7467 USD

USD 0.01 common

Purchase

31,433

25.7336 USD

USD 0.01 common

Purchase

58,595

25.8085 USD

USD 0.01 common

Purchase

63,772

25.8100 USD

USD 0.01 common

Sale

61

25.8200 USD

USD 0.01 common

Sale

63

25.5400 USD

USD 0.01 common

Sale

100

25.7200 USD

USD 0.01 common

Sale

100

25.5800 USD

USD 0.01 common

Sale

100

25.8150 USD

USD 0.01 common

Sale

110

25.8140 USD

USD 0.01 common

Sale

119

25.8036 USD

USD 0.01 common

Sale

121

25.8303 USD

USD 0.01 common

Sale

124

25.8500 USD

USD 0.01 common

Sale

127

25.5755 USD

USD 0.01 common

Sale

143

21.9693 EUR

USD 0.01 common

Sale

167

25.6958 USD

USD 0.01 common

Sale

186

25.8210 USD

USD 0.01 common

Sale

191

25.8013 USD

USD 0.01 common

Sale

204

25.8083 USD

USD 0.01 common

Sale

214

25.7906 USD

USD 0.01 common

Sale

224

25.5300 USD

USD 0.01 common

Sale

254

25.8193 USD

USD 0.01 common

Sale

294

25.6504 USD

USD 0.01 common

Sale

341

25.8031 USD

USD 0.01 common

Sale

400

25.8050 USD

USD 0.01 common

Sale

401

25.8096 USD

USD 0.01 common

Sale

428

25.8154 USD

USD 0.01 common

Sale

484

25.7761 USD

USD 0.01 common

Sale

500

25.8040 USD

USD 0.01 common

Sale

511

25.8118 USD

USD 0.01 common

Sale

526

25.8395 USD

USD 0.01 common

Sale

595

25.7993 USD

USD 0.01 common

Sale

600

25.8000 USD

USD 0.01 common

Sale

641

25.8179 USD

USD 0.01 common

Sale

676

25.8275 USD

USD 0.01 common

Sale

752

25.6811 USD

USD 0.01 common

Sale

867

25.7503 USD

USD 0.01 common

Sale

958

25.7087 USD

USD 0.01 common

Sale

1,000

25.6871 USD

USD 0.01 common

Sale

1,000

25.5250 USD

USD 0.01 common

Sale

1,092

25.6937 USD

USD 0.01 common

Sale

1,388

25.7951 USD

USD 0.01 common

Sale

1,600

25.7837 USD

USD 0.01 common

Sale

2,000

25.8089 USD

USD 0.01 common

Sale

2,100

25.8014 USD

USD 0.01 common

Sale

2,124

25.7643 USD

USD 0.01 common

Sale

2,600

25.8104 USD

USD 0.01 common

Sale

2,750

25.7109 USD

USD 0.01 common

Sale

2,976

25.7393 USD

USD 0.01 common

Sale

3,251

25.6979 USD

USD 0.01 common

Sale

6,036

25.8061 USD

USD 0.01 common

Sale

7,690

25.7698 USD

USD 0.01 common

Sale

9,042

25.8300 USD

USD 0.01 common

Sale

9,196

25.7650 USD

USD 0.01 common

Sale

10,515

25.8102 USD

USD 0.01 common

Sale

12,347

25.7664 USD

USD 0.01 common

Sale

14,093

25.7343 USD

USD 0.01 common

Sale

30,371

25.7424 USD

USD 0.01 common

Sale

52,081

25.8100 USD

USD 0.01 common

Sale

67,032

25.8082 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:

28 Sept 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

Full name of person making disclosure:

Barclays PLC.

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

NORTONLIFELOCK INC

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.

View source version on businesswire.com: https://www.businesswire.com/news/home/20210928005718/en/

Contacts

BARCLAYS PLC

Our goal is to create a safe and engaging place for users to connect over interests and passions. In order to improve our community experience, we are temporarily suspending article commenting