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:             11 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:                1,326,488        0.23%       532,288     0.09% 
 
            Cash-settled 
(2)         derivatives: 
                                   274,830          0.05%       1,513,170   0.26% 
 
            Stock-settled 
            derivatives 
(3)         (including options) 
 and agreements to 
  purchase/sell:                   0                0.00%       2,100       0.00% 
 
 
 TOTAL:                            1,601,318        0.28%       2,047,558   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         8           26.7600 USD 
USD 0.01 common      Purchase         8           26.7550 USD 
USD 0.01 common      Purchase         10          26.8750 USD 
USD 0.01 common      Purchase         16          26.8400 USD 
USD 0.01 common      Purchase         16          26.7425 USD 
USD 0.01 common      Purchase         16          26.7900 USD 
USD 0.01 common      Purchase         24          26.8287 USD 
USD 0.01 common      Purchase         31          26.8700 USD 
USD 0.01 common      Purchase         31          26.8200 USD 
USD 0.01 common      Purchase         57          26.8314 USD 
USD 0.01 common      Purchase         69          26.8617 USD 
USD 0.01 common      Purchase         108         26.8300 USD 
USD 0.01 common      Purchase         116         26.8562 USD 
USD 0.01 common      Purchase         119         26.6427 USD 
USD 0.01 common      Purchase         150         23.8161 EUR 
USD 0.01 common      Purchase         152         26.7040 USD 
USD 0.01 common      Purchase         184         26.7101 USD 
USD 0.01 common      Purchase         200         26.6650 USD 
USD 0.01 common      Purchase         204         26.7500 USD 
USD 0.01 common      Purchase         393         26.7630 USD 
USD 0.01 common      Purchase         451         26.8558 USD 
USD 0.01 common      Purchase         496         26.8680 USD 
USD 0.01 common      Purchase         800         26.7237 USD 
USD 0.01 common      Purchase         802         26.8011 USD 
USD 0.01 common      Purchase         955         26.8803 USD 
USD 0.01 common      Purchase         2,500       26.8600 USD 
USD 0.01 common      Purchase         3,331       26.8880 USD 
USD 0.01 common      Purchase         4,821       26.8895 USD 
USD 0.01 common      Purchase         5,214       26.7934 USD 
USD 0.01 common      Purchase         5,306       26.8114 USD 
USD 0.01 common      Purchase         5,493       26.8131 USD 
USD 0.01 common      Purchase         8,382       26.8882 USD 
USD 0.01 common      Purchase         8,460       26.8638 USD 
USD 0.01 common      Purchase         21,189      26.8660 USD 
USD 0.01 common      Purchase         21,904      26.8900 USD 
USD 0.01 common      Purchase         35,855      26.7844 USD 
USD 0.01 common      Purchase         37,737      26.7742 USD 
USD 0.01 common      Sale             4           26.7500 USD 
USD 0.01 common      Sale             23          26.8000 USD 
USD 0.01 common      Sale             27          26.8625 USD 
USD 0.01 common      Sale             31          26.8200 USD 
USD 0.01 common      Sale             34          26.8875 USD 
USD 0.01 common      Sale             34          26.8750 USD 
USD 0.01 common      Sale             44          26.8615 USD 
USD 0.01 common      Sale             51          26.8733 USD 
USD 0.01 common      Sale             51          26.8633 USD 
USD 0.01 common      Sale             68          26.8712 USD 
USD 0.01 common      Sale             69          26.8617 USD 
USD 0.01 common      Sale             76          26.7040 USD 
USD 0.01 common      Sale             83          26.8700 USD 
USD 0.01 common      Sale             85          26.8630 USD 
USD 0.01 common      Sale             102         26.8650 USD 
USD 0.01 common      Sale             150         23.8161 EUR 
USD 0.01 common      Sale             200         26.6200 USD 
USD 0.01 common      Sale             208         26.7502 USD 
USD 0.01 common      Sale             442         26.8490 USD 
USD 0.01 common      Sale             445         26.8140 USD 
USD 0.01 common      Sale             652         26.8319 USD 
USD 0.01 common      Sale             728         26.8159 USD 
USD 0.01 common      Sale             2,123       26.8221 USD 
USD 0.01 common      Sale             2,188       26.8323 USD 
USD 0.01 common      Sale             2,300       26.8817 USD 
USD 0.01 common      Sale             2,500       26.8600 USD 
USD 0.01 common      Sale             3,147       26.7722 USD 
USD 0.01 common      Sale             3,331       26.8880 USD 
USD 0.01 common      Sale             3,348       26.8012 USD 
USD 0.01 common      Sale             3,511       26.7909 USD 
USD 0.01 common      Sale             4,949       26.8089 USD 
USD 0.01 common      Sale             5,037       26.7939 USD 
USD 0.01 common      Sale             7,100       26.8899 USD 
USD 0.01 common      Sale             8,382       26.8882 USD 
USD 0.01 common      Sale             21,904      26.8900 USD 
USD 0.01 common      Sale             41,290      26.7683 USD 
USD 0.01 common      Sale             50,815      26.8266 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:                 13 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/20220113005709/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2022 
 

(END) Dow Jones Newswires

January 13, 2022 12:02 ET (17:02 GMT)

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