FORM 8.3 |
Amendment to Sale |
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PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY |
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A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR |
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MORE |
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Rule 8.3 of the Takeover Code (the "Code") |
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1. |
KEY INFORMATION |
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(a) |
Full name of discloser: |
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Barclays PLC. |
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(b) |
Owner or controller of interest and short |
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positions disclosed, if different from 1(a): |
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(c) |
Name of offeror/offeree in relation to whose |
NORTONLIFELOCK INC |
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relevant securities this form relates: |
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(d) |
If an exempt fund manager connected with an |
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offeror/offeree, state this and specify identity of |
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offeror/offeree: |
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(e) |
Date position held/dealing undertaken: |
01 August 2022 |
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(f) |
In addition to the company in 1(c) above, is the discloser making |
YES: |
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disclosures in respect of any other party to the offer? |
AVAST PLC |
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2. |
POSITIONS OF THE PERSON MAKING THE DISCLOSURE |
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(a) |
Interests and short positions in the relevant securities of the offeror or offeree |
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to which the disclosure relates following the dealing (if any) |
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Class of relevant security: |
USD 0.01 common |
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Interests |
Short Positions |
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Number |
(%) |
Number |
(%) |
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(1) |
Relevant securities owned |
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and/or controlled: |
1,274,398 |
0.22% |
1,369,025 |
0.24% |
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(2) |
Cash-settled derivatives: |
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2,050,723 |
0.36% |
3,757,122 |
0.66% |
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(3) |
Stock-settled derivatives (including options) |
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and agreements to purchase/sell: |
56,100 |
0.01% |
132,900 |
0.02% |
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TOTAL: |
3,381,221 |
0.59% |
5,259,047 |
0.92% |
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Class of relevant security: |
Convertible Bond US668771AB40 |
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Interests |
Short Positions |
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Number |
(%) |
Number |
(%) |
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(1) |
Relevant securities owned |
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and/or controlled: |
4,916,000 |
0.86% |
0 |
0.00% |
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(2) |
Cash-settled derivatives: |
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0 |
0.00% |
0 |
0.00% |
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(3) |
Stock-settled derivatives (including options) |
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and agreements to purchase/sell: |
0 |
0.00% |
0 |
0.00% |
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TOTAL: |
4,916,000 |
0.86% |
0 |
0.00% |
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(b) |
Rights to subscribe for new securities (including directors and other executive |
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options) |
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Class of relevant security in relation to |
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which subscription right exists |
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Details, including nature of the rights |
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concerned and relevant percentages: |
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3. |
DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE |
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(a) |
Purchases and sales |
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Class of relevant |
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Purchase/sale |
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Number of |
Price per unit |
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security |
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securities |
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USD 0.01 common |
Purchase |
1 |
24.4500 USD |
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USD 0.01 common |
Purchase |
55 |
25.0000 USD |
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USD 0.01 common |
Purchase |
100 |
24.9750 USD |
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USD 0.01 common |
Purchase |
100 |
24.7800 USD |
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USD 0.01 common |
Purchase |
150 |
24.7606 USD |
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USD 0.01 common |
Purchase |
166 |
24.7601 USD |
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USD 0.01 common |
Purchase |
200 |
24.9300 USD |
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USD 0.01 common |
Purchase |
200 |
24.8550 USD |
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USD 0.01 common |
Purchase |
200 |
24.8050 USD |
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USD 0.01 common |
Purchase |
233 |
24.4400 USD |
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USD 0.01 common |
Purchase |
255 |
24.9656 USD |
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USD 0.01 common |
Purchase |
366 |
24.7922 USD |
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USD 0.01 common |
Purchase |
497 |
24.7211 USD |
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USD 0.01 common |
Purchase |
500 |
24.8240 USD |
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USD 0.01 common |
Purchase |
569 |
24.8457 USD |
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USD 0.01 common |
Purchase |
600 |
24.8650 USD |
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USD 0.01 common |
Purchase |
659 |
24.8132 USD |
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USD 0.01 common |
Purchase |
818 |
24.8324 USD |
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USD 0.01 common |
Purchase |
940 |
24.7792 USD |
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USD 0.01 common |
Purchase |
1,180 |
24.7918 USD |
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USD 0.01 common |
Purchase |
1,245 |
24.7943 USD |
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USD 0.01 common |
Purchase |
1,258 |
24.7559 USD |
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USD 0.01 common |
Purchase |
1,306 |
24.8387 USD |
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USD 0.01 common |
Purchase |
1,432 |
24.8021 USD |
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USD 0.01 common |
Purchase |
1,461 |
24.7832 USD |
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USD 0.01 common |
Purchase |
1,541 |
24.7914 USD |
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USD 0.01 common |
Purchase |
1,685 |
24.7797 USD |
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USD 0.01 common |
Purchase |
1,922 |
24.7940 USD |
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USD 0.01 common |
Purchase |
1,981 |
24.7921 USD |
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USD 0.01 common |
Purchase |
2,119 |
24.7979 USD |
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USD 0.01 common |
Purchase |
3,384 |
24.7794 USD |
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USD 0.01 common |
Purchase |
4,872 |
24.7847 USD |
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USD 0.01 common |
Purchase |
7,210 |
24.7958 USD |
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USD 0.01 common |
Purchase |
17,372 |
24.5740 USD |
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USD 0.01 common |
Purchase |
19,221 |
24.7700 USD |
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USD 0.01 common |
Purchase |
20,373 |
24.7595 USD |
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USD 0.01 common |
Purchase |
34,648 |
24.7667 USD |
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USD 0.01 common |
Purchase |
53,889 |
24.8095 USD |
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USD 0.01 common |
Purchase |
56,963 |
24.8080 USD |
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USD 0.01 common |
Purchase |
138,007 |
24.8062 USD |
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USD 0.01 common |
Sale |
1 |
24.4500 USD |
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USD 0.01 common |
Sale |
41 |
24.7600 USD |
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USD 0.01 common |
Sale |
70 |
24.8000 USD |
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USD 0.01 common |
Sale |
98 |
24.7833 USD |
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USD 0.01 common |
Sale |
100 |
24.6550 USD |
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USD 0.01 common |
Sale |
128 |
24.7662 USD |
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USD 0.01 common |
Sale |
150 |
24.7606 USD |
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USD 0.01 common |
Sale |
155 |
24.9750 USD |
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USD 0.01 common |
Sale |
169 |
24.7736 USD |
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USD 0.01 common |
Sale |
180 |
24.8350 USD |
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USD 0.01 common |
Sale |
263 |
24.7901 USD |
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USD 0.01 common |
Sale |
274 |
24.7104 USD |
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USD 0.01 common |
Sale |
295 |
24.7954 USD |
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USD 0.01 common |
Sale |
366 |
24.7922 USD |
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USD 0.01 common |
Sale |
366 |
24.7800 USD |
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USD 0.01 common |
Sale |
494 |
24.6390 USD |
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USD 0.01 common |
Sale |
515 |
24.7890 USD |
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USD 0.01 common |
Sale |
934 |
24.7961 USD |
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USD 0.01 common |
Sale |
1,088 |
24.7823 USD |
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USD 0.01 common |
Sale |
1,300 |
24.9288 USD |
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USD 0.01 common |
Sale |
2,588 |
24.7778 USD |
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USD 0.01 common |
Sale |
2,711 |
24.8111 USD |
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USD 0.01 common |
Sale |
3,067 |
24.8307 USD |
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USD 0.01 common |
Sale |
3,243 |
24.8280 USD |
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USD 0.01 common |
Sale |
5,072 |
24.8364 USD |
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USD 0.01 common |
Sale |
5,787 |
24.7579 USD |
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USD 0.01 common |
Sale |
7,895 |
24.8108 USD |
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USD 0.01 common |
Sale |
8,950 |
24.7900 USD |
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USD 0.01 common |
Sale |
13,890 |
24.7700 USD |
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USD 0.01 common |
Sale |
21,902 |
24.6192 USD |
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USD 0.01 common |
Sale |
24,770 |
24.8072 USD |
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USD 0.01 common |
Sale |
28,683 |
24.8116 USD |
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USD 0.01 common |
Sale |
34,652 |
24.7707 USD |
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USD 0.01 common |
Sale |
38,030 |
24.7735 USD |
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USD 0.01 common |
Sale |
40,204 |
24.7841 USD |
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USD 0.01 common |
Sale |
56,843 |
24.8081 USD |
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USD 0.01 common |
Sale |
68,512 |
24.8187 USD |
(b) |
Cash-settled derivative transactions |
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Class of relevant |
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Product |
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Nature of dealing |
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Number of |
Price per unit |
security |
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description |
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reference |
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securities |
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(c) |
Stock-settled derivative transactions (including options) |
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(i) |
Writing, selling, purchasing or varying |
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Class |
Product |
Writing, |
Number |
Exercise |
Type |
Expiry |
Option |
of |
description |
purchasing, |
of |
price |
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date |
money |
relevant |
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selling, |
securities |
per unit |
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paid/ |
security |
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varying etc |
to which |
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received |
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option |
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per unit |
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relates |
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USD 0.01 common |
Call Options |
Purchasing |
56,100 |
25 USD |
American |
19 Aug 2022 |
1.3233 USD |
USD 0.01 common |
Call Options |
Selling |
20,700 |
27 USD |
American |
19 Aug 2022 |
0.6000 USD |
USD 0.01 common |
Call Options |
Selling |
112,200 |
28 USD |
American |
19 Aug 2022 |
0.3734 USD |
(ii) |
Exercising |
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Class of relevant |
Product description |
Exercising/ exercised against |
Number of |
Exercise price per |
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security |
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securities |
unit |
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(d) |
Other dealings (including subscribing for new securities) |
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Class of relevant |
Nature of Dealings |
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Details |
Price per unit (if |
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security |
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applicable) |
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4. |
OTHER INFORMATION |
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(a) |
Indemnity and other dealings arrangements |
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Details of any indemnity or option arrangement, or any agreement or understanding, |
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formal or informal, relating to relevant securities which may be an inducement to deal |
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or refrain from dealing entered into by the person making the disclosure and any party |
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to the offer or any person acting in concert with a party to the offer: |
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NONE |
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(b) |
Agreements, arrangements or understandings relating to options or derivatives |
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Details of any agreement, arrangement or understanding, formal or informal, between |
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the person making the disclosure and any other person relating to: |
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(i) the voting rights of any relevant securities under any option; or |
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(ii) the voting rights of future acquisition or disposal of any relevant securities to which |
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any derivative is referenced: |
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NONE |
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(c) |
Attachments |
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Is a Supplemental Form 8 (Open Positions) attached? |
YES |
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Date of disclosure: |
3 Aug 2022 |
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Contact name: |
Large Holdings Regulatory Operations |
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Telephone number: |
020 3134 7213 |
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SUPPLEMENTAL FORM 8 (OPEN POSITIONS) |
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DETAILS OF OPEN OPTION AND DERIVATIVE POSITIONS, AGREEMENTS TO |
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PURCHASE OR SELL ETC. |
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Note 5(i) on Rule 8 of the Takeover Code (the "Code") |
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1. |
KEY INFORMATION |
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Identity of the person whose positions/dealings |
Barclays PLC. |
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are being disclosed: |
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Name of offeror/offeree in relation to whose |
NORTONLIFELOCK INC |
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relevant securities this from relates: |
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2. |
OPTIONS AND DERIVATIVES |
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Class |
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Product |
Writing, |
Number |
Exercise |
Type |
Expiry |
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of |
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description |
purchasing, |
of |
price |
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date |
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relevant |
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selling, |
securities |
per unit |
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security |
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varying etc |
to which |
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option |
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relates |
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USD 0.01 common |
Call Options |
Purchased |
56,100 |
25.0000 |
American |
19 Aug 2022 |
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USD 0.01 common |
Call Options |
Written |
-112,200 |
28.0000 |
American |
19 Aug 2022 |
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USD 0.01 common |
Call Options |
Written |
-20,700 |
27.0000 |
American |
19 Aug 2022 |
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3. |
AGREEMENTS TO PURCHASE OR SELL ETC. |
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Full details should be given so that the nature of the interest or position can be fully |
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understood: |
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