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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 - NORTONLIFELOCK INC
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 |
2 Nov 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: | 1,720,806 | 0.30% | 1,036,638 | 0.18% | ||
| (2) | Cash-settled derivatives: | |||||
| 645,961 | 0.11% | 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: | 2,367,267 | 0.41% | 2,067,060 | 0.36% | ||
| Class of relevant security: | Convertible Bond US668771AA66 | |||||
| Interests | Short Positions | |||||
| Number | (%) | Number | (%) | |||
| (1) | Relevant securities owned | |||||
| and/or controlled: | 361,000 | 0.06% | 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: | 361,000 | 0.06% | 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 | 58 | 25.2681 USD | ||||
| USD 0.01 common | Purchase | 65 | 25.2871 USD | ||||
| USD 0.01 common | Purchase | 70 | 25.2205 USD | ||||
| USD 0.01 common | Purchase | 71 | 25.2734 USD | ||||
| USD 0.01 common | Purchase | 87 | 25.2972 USD | ||||
| USD 0.01 common | Purchase | 100 | 25.2175 USD | ||||
| USD 0.01 common | Purchase | 100 | 25.1850 USD | ||||
| USD 0.01 common | Purchase | 100 | 25.2150 USD | ||||
| USD 0.01 common | Purchase | 100 | 25.1900 USD | ||||
| USD 0.01 common | Purchase | 101 | 25.3644 USD | ||||
| USD 0.01 common | Purchase | 109 | 25.2374 USD | ||||
| USD 0.01 common | Purchase | 116 | 25.2610 USD | ||||
| USD 0.01 common | Purchase | 129 | 25.2129 USD | ||||
| USD 0.01 common | Purchase | 164 | 25.2401 USD | ||||
| USD 0.01 common | Purchase | 187 | 25.2519 USD | ||||
| USD 0.01 common | Purchase | 244 | 25.5395 USD | ||||
| USD 0.01 common | Purchase | 244 | 25.2022 USD | ||||
| USD 0.01 common | Purchase | 245 | 25.2297 USD | ||||
| USD 0.01 common | Purchase | 283 | 25.2100 USD | ||||
| USD 0.01 common | Purchase | 300 | 25.2400 USD | ||||
| USD 0.01 common | Purchase | 300 | 25.2516 USD | ||||
| USD 0.01 common | Purchase | 300 | 25.1933 USD | ||||
| USD 0.01 common | Purchase | 300 | 25.2350 USD | ||||
| USD 0.01 common | Purchase | 448 | 25.1927 USD | ||||
| USD 0.01 common | Purchase | 568 | 25.2367 USD | ||||
| USD 0.01 common | Purchase | 600 | 25.2200 USD | ||||
| USD 0.01 common | Purchase | 709 | 25.2655 USD | ||||
| USD 0.01 common | Purchase | 963 | 25.2215 USD | ||||
| USD 0.01 common | Purchase | 1,500 | 25.3246 USD | ||||
| USD 0.01 common | Purchase | 1,800 | 25.3136 USD | ||||
| USD 0.01 common | Purchase | 2,000 | 25.2382 USD | ||||
| USD 0.01 common | Purchase | 2,074 | 25.2045 USD | ||||
| USD 0.01 common | Purchase | 3,314 | 25.3440 USD | ||||
| USD 0.01 common | Purchase | 3,612 | 25.2683 USD | ||||
| USD 0.01 common | Purchase | 3,756 | 25.2230 USD | ||||
| USD 0.01 common | Purchase | 4,489 | 25.3283 USD | ||||
| USD 0.01 common | Purchase | 4,879 | 25.2265 USD | ||||
| USD 0.01 common | Purchase | 6,840 | 25.2320 USD | ||||
| USD 0.01 common | Purchase | 9,060 | 25.3500 USD | ||||
| USD 0.01 common | Purchase | 15,107 | 25.4932 USD | ||||
| USD 0.01 common | Purchase | 22,847 | 25.2774 USD | ||||
| USD 0.01 common | Purchase | 26,104 | 25.2292 USD | ||||
| USD 0.01 common | Purchase | 28,324 | 25.2325 USD | ||||
| USD 0.01 common | Purchase | 70,778 | 25.2323 USD | ||||
| USD 0.01 common | Purchase | 102,778 | 25.2300 USD | ||||
| USD 0.01 common | Sale | 1 | 25.1600 USD | ||||
| USD 0.01 common | Sale | 2 | 25.6800 USD | ||||
| USD 0.01 common | Sale | 51 | 25.6186 USD | ||||
| USD 0.01 common | Sale | 300 | 25.3583 USD | ||||
| USD 0.01 common | Sale | 1,077 | 25.4315 USD | ||||
| USD 0.01 common | Sale | 1,166 | 25.3700 USD | ||||
| USD 0.01 common | Sale | 1,178 | 25.5783 USD | ||||
| USD 0.01 common | Sale | 1,190 | 25.2977 USD | ||||
| USD 0.01 common | Sale | 1,352 | 25.4506 USD | ||||
| USD 0.01 common | Sale | 1,500 | 25.3246 USD | ||||
| USD 0.01 common | Sale | 2,666 | 25.2497 USD | ||||
| USD 0.01 common | Sale | 2,700 | 25.2857 USD | ||||
| USD 0.01 common | Sale | 3,137 | 25.2756 USD | ||||
| USD 0.01 common | Sale | 3,292 | 25.3395 USD | ||||
| USD 0.01 common | Sale | 4,215 | 25.5408 USD | ||||
| USD 0.01 common | Sale | 7,021 | 25.2571 USD | ||||
| USD 0.01 common | Sale | 7,983 | 25.2341 USD | ||||
| USD 0.01 common | Sale | 8,720 | 25.4764 USD | ||||
| USD 0.01 common | Sale | 13,786 | 25.2298 USD | ||||
| USD 0.01 common | Sale | 17,387 | 25.2265 USD | ||||
| USD 0.01 common | Sale | 18,120 | 25.3500 USD | ||||
| USD 0.01 common | Sale | 27,941 | 25.2271 USD | ||||
| USD 0.01 common | Sale | 31,859 | 25.2251 USD | ||||
| USD 0.01 common | Sale | 95,053 | 25.2300 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: | 3 Nov 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/20211103005705/en/
BARCLAYS PLC