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Barclays PLC Major Shareholding Notification 2021
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Major Shareholding Notification
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National Storage Mechanism | Additional information
Form 8.3 - AVAST PLC
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 |
AVAST PLC |
| (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 |
22 JULY 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: NORTONLIFELOCK INC |
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: | 10p ordinary | ||||
| Interests | Short Positions | ||||
| Number | (%) | Number | (%) | ||
| (1) | Relevant securities owned | ||||
| and/or controlled: | 13,509,666 | 1.31% | 12,342,172 | 1.20% | |
| (2) | Cash-settled derivatives: | ||||
| 735,367 | 0.07% | 10,206,613 | 0.99% | ||
| (3) | Stock-settled derivatives (including options) | ||||
| and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |
| (4) | |||||
| TOTAL: | 14,245,033 | 1.38% | 22,548,785 | 2.19% | |
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 | ||
| 10p ordinary | Purchase | 435 | 5.8020 GBP |
| 10p ordinary | Purchase | 443 | 5.7980 GBP |
| 10p ordinary | Purchase | 458 | 5.7920 GBP |
| 10p ordinary | Purchase | 472 | 5.7840 GBP |
| 10p ordinary | Purchase | 497 | 5.7910 GBP |
| 10p ordinary | Purchase | 808 | 5.7932 GBP |
| 10p ordinary | Purchase | 921 | 5.7940 GBP |
| 10p ordinary | Purchase | 968 | 5.7860 GBP |
| 10p ordinary | Purchase | 1,129 | 5.8024 GBP |
| 10p ordinary | Purchase | 4,474 | 5.7995 GBP |
| 10p ordinary | Purchase | 4,898 | 5.7964 GBP |
| 10p ordinary | Purchase | 5,491 | 5.7951 GBP |
| 10p ordinary | Purchase | 6,879 | 5.7921 GBP |
| 10p ordinary | Purchase | 8,146 | 5.7990 GBP |
| 10p ordinary | Purchase | 11,088 | 5.7949 GBP |
| 10p ordinary | Purchase | 12,605 | 5.7927 GBP |
| 10p ordinary | Purchase | 34,119 | 5.8000 GBP |
| 10p ordinary | Purchase | 35,059 | 5.7997 GBP |
| 10p ordinary | Purchase | 38,940 | 5.7956 GBP |
| 10p ordinary | Purchase | 50,730 | 5.7962 GBP |
| 10p ordinary | Purchase | 125,501 | 172.1923 CZK |
| 10p ordinary | Purchase | 240,668 | 5.7968 GBP |
| 10p ordinary | Sale | 10 | 5.7997 GBP |
| 10p ordinary | Sale | 443 | 5.7980 GBP |
| 10p ordinary | Sale | 472 | 5.7840 GBP |
| 10p ordinary | Sale | 474 | 5.7820 GBP |
| 10p ordinary | Sale | 901 | 5.7996 GBP |
| 10p ordinary | Sale | 921 | 5.7940 GBP |
| 10p ordinary | Sale | 967 | 5.7899 GBP |
| 10p ordinary | Sale | 968 | 5.7860 GBP |
| 10p ordinary | Sale | 2,082 | 5.7893 GBP |
| 10p ordinary | Sale | 2,412 | 5.7933 GBP |
| 10p ordinary | Sale | 2,445 | 5.7924 GBP |
| 10p ordinary | Sale | 3,000 | 5.8118 GBP |
| 10p ordinary | Sale | 4,311 | 5.7954 GBP |
| 10p ordinary | Sale | 5,355 | 173.1746 CZK |
| 10p ordinary | Sale | 5,646 | 5.7945 GBP |
| 10p ordinary | Sale | 6,066 | 5.7959 GBP |
| 10p ordinary | Sale | 6,187 | 5.8000 GBP |
| 10p ordinary | Sale | 8,259 | 5.7956 GBP |
| 10p ordinary | Sale | 11,338 | 5.7998 GBP |
| 10p ordinary | Sale | 12,358 | 5.7964 GBP |
| 10p ordinary | Sale | 15,624 | 5.7926 GBP |
| 10p ordinary | Sale | 16,779 | 5.7995 GBP |
| 10p ordinary | Sale | 20,321 | 5.7817 GBP |
| 10p ordinary | Sale | 20,485 | 5.7698 GBP |
| 10p ordinary | Sale | 21,484 | 5.7694 GBP |
| 10p ordinary | Sale | 80,761 | 5.7934 GBP |
| 10p ordinary | Sale | 85,623 | 5.7960 GBP |
| 10p ordinary | Sale | 87,690 | 5.7992 GBP |
| 10p ordinary | Sale | 90,148 | 5.7920 GBP |
| 10p ordinary | Sale | 113,086 | 5.7949 GBP |
(b) Cash-settled derivative transactions
| Class of | Product | Nature of dealing | Number of | Price per |
| relevant | description | reference | unit | |
| security | securities | |||
| 10p ordinary | CFD | Long | 289 | 5.7995 GBP |
| 10p ordinary | SWAP | Long | 458 | 5.7920 GBP |
| 10p ordinary | SWAP | Long | 1,396 | 5.8129 GBP |
| 10p ordinary | CFD | Long | 1,985 | 5.7814 GBP |
| 10p ordinary | CFD | Long | 2,000 | 173.5284 CZK |
| 10p ordinary | CFD | Long | 2,528 | 5.7963 GBP |
| 10p ordinary | SWAP | Long | 3,000 | 5.8118 GBP |
| 10p ordinary | CFD | Long | 3,355 | 172.7589 CZK |
| 10p ordinary | SWAP | Long | 5,342 | 5.8000 GBP |
| 10p ordinary | SWAP | Long | 6,309 | 5.7800 GBP |
| 10p ordinary | SWAP | Long | 20,485 | 5.7698 GBP |
| 10p ordinary | SWAP | Long | 21,484 | 5.7694 GBP |
| 10p ordinary | SWAP | Long | 26,600 | 5.7860 GBP |
| 10p ordinary | SWAP | Long | 67,306 | 5.7962 GBP |
| 10p ordinary | SWAP | Long | 70,063 | 5.7934 GBP |
| 10p ordinary | SWAP | Long | 85,603 | 5.7960 GBP |
| 10p ordinary | SWAP | Long | 113,086 | 5.7949 GBP |
| 10p ordinary | CFD | Long | 116,837 | 5.7924 GBP |
| 10p ordinary | SWAP | Short | 1,883 | 5.7883 GBP |
| 10p ordinary | CFD | Short | 1,999 | 5.7984 GBP |
| 10p ordinary | CFD | Short | 2,528 | 5.7963 GBP |
| 10p ordinary | CFD | Short | 2,910 | 5.7516 GBP |
| 10p ordinary | SWAP | Short | 3,463 | 5.8000 GBP |
| 10p ordinary | SWAP | Short | 4,474 | 5.7995 GBP |
| 10p ordinary | SWAP | Short | 4,683 | 5.7983 GBP |
| 10p ordinary | SWAP | Short | 4,898 | 5.7964 GBP |
| 10p ordinary | SWAP | Short | 5,338 | 5.8002 GBP |
| 10p ordinary | SWAP | Short | 7,687 | 5.7951 GBP |
| 10p ordinary | CFD | Short | 8,593 | 170.7055 CZK |
| 10p ordinary | CFD | Short | 21,142 | 5.8000 GBP |
| 10p ordinary | SWAP | Short | 64,414 | 5.7948 GBP |
| 10p ordinary | SWAP | Short | 102,423 | 5.7986 GBP |
| 10p ordinary | CFD | Short | 116,908 | 172.4317 CZK |
| 10p ordinary | SWAP | Short | 138,434 | 5.7962 GBP |
(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: | 23 JULY 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: | AVAST PLC |
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 | ||||||
| 10p ordinary | Call Options | Purchased | 231,733 | 4.9967 | European | 13 Aug 2021 |
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/20210723005261/en/
BARCLAYS PLC