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Barclays PLC Major Shareholding Notification 2022
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Major Shareholding Notification
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National Storage Mechanism | Additional information
Form 8.3 - NORTONLIFELOCK INC AMENDMENT
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: | 25 January 2022 | |||
| (f) | In addition to the company in 1(c) above, is the discloser making | YES: | |||
| disclosures in respect of any other party to the offer? | 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: | 1,298,223 | 0.22% | 588,495 | 0.10% | ||
| (2) | Cash-settled derivatives: | |||||
| 402,807 | 0.07% | 1,510,550 | 0.26% | |||
| (3) | Stock-settled derivatives (including options) | |||||
| and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | ||
| TOTAL: | 1,701,030 | 0.29% | 2,099,045 | 0.36% | ||
| Class of relevant security: | Convertible Bond US668771AA66 | |||||
| Interests | Short Positions | |||||
| Number | (%) | Number | (%) | |||
| (1) | Relevant securities owned | |||||
| and/or controlled: | 390,000 | 0.07% | 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% | ||
| 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 | 1 | 25.5600 USD | ||||
| USD 0.01 common | Purchase | 2 | 25.3000 USD | ||||
| USD 0.01 common | Purchase | 3 | 25.5233 USD | ||||
| USD 0.01 common | Purchase | 5 | 25.4060 USD | ||||
| USD 0.01 common | Purchase | 7 | 25.4628 USD | ||||
| USD 0.01 common | Purchase | 7 | 25.4485 USD | ||||
| USD 0.01 common | Purchase | 15 | 25.4440 USD | ||||
| USD 0.01 common | Purchase | 22 | 25.4081 USD | ||||
| USD 0.01 common | Purchase | 31 | 25.3951 USD | ||||
| USD 0.01 common | Purchase | 100 | 25.5450 USD | ||||
| USD 0.01 common | Purchase | 100 | 25.4500 USD | ||||
| USD 0.01 common | Purchase | 100 | 25.5200 USD | ||||
| USD 0.01 common | Purchase | 100 | 25.4150 USD | ||||
| USD 0.01 common | Purchase | 101 | 25.4385 USD | ||||
| USD 0.01 common | Purchase | 108 | 25.4732 USD | ||||
| USD 0.01 common | Purchase | 110 | 25.4372 USD | ||||
| USD 0.01 common | Purchase | 187 | 25.4400 USD | ||||
| USD 0.01 common | Purchase | 200 | 25.4950 USD | ||||
| USD 0.01 common | Purchase | 240 | 25.5183 USD | ||||
| USD 0.01 common | Purchase | 300 | 25.4700 USD | ||||
| USD 0.01 common | Purchase | 311 | 25.4242 USD | ||||
| USD 0.01 common | Purchase | 400 | 25.4475 USD | ||||
| USD 0.01 common | Purchase | 400 | 25.3800 USD | ||||
| USD 0.01 common | Purchase | 433 | 25.4685 USD | ||||
| USD 0.01 common | Purchase | 449 | 25.5300 USD | ||||
| USD 0.01 common | Purchase | 483 | 25.5077 USD | ||||
| USD 0.01 common | Purchase | 492 | 25.4720 USD | ||||
| USD 0.01 common | Purchase | 500 | 25.4200 USD | ||||
| USD 0.01 common | Purchase | 500 | 25.4840 USD | ||||
| USD 0.01 common | Purchase | 632 | 25.4514 USD | ||||
| USD 0.01 common | Purchase | 900 | 25.3683 USD | ||||
| USD 0.01 common | Purchase | 1,030 | 25.4145 USD | ||||
| USD 0.01 common | Purchase | 1,200 | 25.4800 USD | ||||
| USD 0.01 common | Purchase | 2,877 | 25.5403 USD | ||||
| USD 0.01 common | Purchase | 2,998 | 25.4853 USD | ||||
| USD 0.01 common | Purchase | 4,289 | 25.4534 USD | ||||
| USD 0.01 common | Purchase | 5,865 | 25.4336 USD | ||||
| USD 0.01 common | Purchase | 6,412 | 25.4031 USD | ||||
| USD 0.01 common | Purchase | 6,893 | 25.3907 USD | ||||
| USD 0.01 common | Purchase | 7,550 | 25.3300 USD | ||||
| USD 0.01 common | Purchase | 9,314 | 25.6465 USD | ||||
| USD 0.01 common | Purchase | 15,054 | 25.4409 USD | ||||
| USD 0.01 common | Purchase | 15,406 | 25.5534 USD | ||||
| USD 0.01 common | Purchase | 43,017 | 25.4471 USD | ||||
| USD 0.01 common | Purchase | 46,986 | 25.5010 USD | ||||
| USD 0.01 common | Purchase | 54,546 | 25.5000 USD | ||||
| USD 0.01 common | Purchase | 110,933 | 25.4718 USD | ||||
| USD 0.01 common | Purchase | 118,744 | 25.4226 USD | ||||
| USD 0.01 common | Purchase | 365,200 | 25.4606 USD | ||||
| USD 0.01 common | Sale | 14 | 25.4492 USD | ||||
| USD 0.01 common | Sale | 26 | 25.4026 USD | ||||
| USD 0.01 common | Sale | 38 | 25.4511 USD | ||||
| USD 0.01 common | Sale | 41 | 25.4441 USD | ||||
| USD 0.01 common | Sale | 41 | 25.4004 USD | ||||
| USD 0.01 common | Sale | 44 | 25.4678 USD | ||||
| USD 0.01 common | Sale | 76 | 25.3751 USD | ||||
| USD 0.01 common | Sale | 87 | 25.4028 USD | ||||
| USD 0.01 common | Sale | 96 | 25.4340 USD | ||||
| USD 0.01 common | Sale | 100 | 25.5550 USD | ||||
| USD 0.01 common | Sale | 100 | 25.5400 USD | ||||
| USD 0.01 common | Sale | 100 | 25.2800 USD | ||||
| USD 0.01 common | Sale | 108 | 25.5250 USD | ||||
| USD 0.01 common | Sale | 123 | 25.3764 USD | ||||
| USD 0.01 common | Sale | 134 | 25.4500 USD | ||||
| USD 0.01 common | Sale | 183 | 25.4700 USD | ||||
| USD 0.01 common | Sale | 200 | 25.4550 USD | ||||
| USD 0.01 common | Sale | 213 | 25.5063 USD | ||||
| USD 0.01 common | Sale | 288 | 25.4302 USD | ||||
| USD 0.01 common | Sale | 341 | 25.5053 USD | ||||
| USD 0.01 common | Sale | 529 | 25.4070 USD | ||||
| USD 0.01 common | Sale | 572 | 25.5208 USD | ||||
| USD 0.01 common | Sale | 660 | 25.5240 USD | ||||
| USD 0.01 common | Sale | 856 | 25.5302 USD | ||||
| USD 0.01 common | Sale | 918 | 25.4819 USD | ||||
| USD 0.01 common | Sale | 987 | 25.5358 USD | ||||
| USD 0.01 common | Sale | 1,600 | 25.5228 USD | ||||
| USD 0.01 common | Sale | 1,649 | 25.4514 USD | ||||
| USD 0.01 common | Sale | 1,700 | 25.4600 USD | ||||
| USD 0.01 common | Sale | 1,988 | 25.5122 USD | ||||
| USD 0.01 common | Sale | 2,132 | 25.4387 USD | ||||
| USD 0.01 common | Sale | 2,400 | 25.4587 USD | ||||
| USD 0.01 common | Sale | 2,925 | 25.5273 USD | ||||
| USD 0.01 common | Sale | 5,120 | 25.4945 USD | ||||
| USD 0.01 common | Sale | 5,177 | 25.5021 USD | ||||
| USD 0.01 common | Sale | 5,211 | 25.4524 USD | ||||
| USD 0.01 common | Sale | 5,330 | 25.4875 USD | ||||
| USD 0.01 common | Sale | 5,642 | 25.4667 USD | ||||
| USD 0.01 common | Sale | 6,260 | 25.3805 USD | ||||
| USD 0.01 common | Sale | 6,500 | 25.5257 USD | ||||
| USD 0.01 common | Sale | 7,162 | 25.4334 USD | ||||
| USD 0.01 common | Sale | 7,301 | 25.4660 USD | ||||
| USD 0.01 common | Sale | 8,134 | 25.4534 USD | ||||
| USD 0.01 common | Sale | 8,492 | 25.4709 USD | ||||
| USD 0.01 common | Sale | 8,532 | 25.5036 USD | ||||
| USD 0.01 common | Sale | 8,538 | 25.6559 USD | ||||
| USD 0.01 common | Sale | 9,834 | 25.4113 USD | ||||
| USD 0.01 common | Sale | 14,311 | 25.4588 USD | ||||
| USD 0.01 common | Sale | 18,390 | 25.5050 USD | ||||
| USD 0.01 common | Sale | 23,739 | 25.4562 USD | ||||
| USD 0.01 common | Sale | 23,850 | 25.3300 USD | ||||
| USD 0.01 common | Sale | 25,524 | 25.4615 USD | ||||
| USD 0.01 common | Sale | 25,680 | 25.4638 USD | ||||
| USD 0.01 common | Sale | 29,970 | 25.5002 USD | ||||
| USD 0.01 common | Sale | 32,296 | 25.5025 USD | ||||
| USD 0.01 common | Sale | 34,745 | 25.4371 USD | ||||
| USD 0.01 common | Sale | 42,802 | 25.4578 USD | ||||
| USD 0.01 common | Sale | 60,189 | 25.4769 USD | ||||
| USD 0.01 common | Sale | 62,713 | 25.4652 USD | ||||
| USD 0.01 common | Sale | 79,453 | 25.5000 USD | ||||
| USD 0.01 common | Sale | 133,755 | 25.4180 USD | ||||
| USD 0.01 common | Sale | 136,646 | 25.4592 USD | ||||
| NB: The below transactions which were previously disclosed have been cancelled | |||||||
| Class of relevant | Purchase/sale | Number of | Price per unit | ||||
| security | securities | ||||||
| USD 0.01 common | Sale | 6,130 | 25.5050 USD | ||||
| USD 0.01 common | Sale | 9,652 | 25.5000 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? | NO | |||
| Date of disclosure: | 1 Feb 2022 | |||
| 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.
View source version on businesswire.com: https://www.businesswire.com/news/home/20220201005885/en/
BARCLAYS PLC