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Form 8.3 - NortonLifeLock Inc.

·8-min read

LONDON, December 01, 2021--(BUSINESS WIRE)--

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:

Millennium International Management LP

(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

30th November 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 (US6687711084)

Interests

Short positions

Number

%

Number

%

(1) Relevant securities owned and/or controlled:

154,250

0.027%

1,174,171

0.202%

(2) Cash-settled derivatives:

42

0.000%

-

-

(3) Stock-settled derivatives (including options) and agreements to purchase/sell:

8,000

0.001%

-

-

TOTAL:

162,292

0.028%

1,174,171

0.202%

Class of relevant security:

2.000% Senior Unsecured Convertible Notes August 2022 (US668771AA66)

Interests

Short positions

Number

%

Number

%

(1) Relevant securities owned and/or controlled:

10,000,000

1.600%

-

-

(2) Cash-settled derivatives:

-

-

-

-

(3) Stock-settled derivatives (including options) and agreements to purchase/sell:

-

-

-

-

TOTAL:

10,000,000

1.600%

-

-

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 security

Purchase/sale

Number of securities

Price per unit (USD)

US6687711084

Purchase

20

24.86

US6687711084

Purchase

100

25.04

US6687711084

Purchase

387

24.91

US6687711084

Purchase

35

25.18

US6687711084

Purchase

100

24.98

US6687711084

Purchase

100

25.20

US6687711084

Purchase

40

25.07

US6687711084

Sale

110,639

24.85

US6687711084

Purchase

5,559

25.14

US6687711084

Purchase

300

25.17

US6687711084

Purchase

77

25.30

US6687711084

Purchase

100

25.25

US6687711084

Purchase

1,165

25.13

US6687711084

Purchase

4

25.28

US6687711084

Purchase

13,973

25.15

US6687711084

Purchase

3,960

25.11

US6687711084

Purchase

2,600

25.12

US6687711084

Purchase

400

25.16

US6687711084

Purchase

2,300

25.04

US6687711084

Purchase

8,400

25.02

US6687711084

Purchase

4,300

25.09

US6687711084

Purchase

1,646

24.99

US6687711084

Purchase

1,754

25.03

US6687711084

Purchase

1,524

25.05

US6687711084

Purchase

2,754

25.00

US6687711084

Purchase

667

25.19

US6687711084

Purchase

1,000

25.18

US6687711084

Purchase

2,400

24.98

US6687711084

Purchase

400

25.34

US6687711084

Purchase

219

25.20

US6687711084

Purchase

6,400

25.08

US6687711084

Purchase

500

25.29

US6687711084

Purchase

100

25.26

US6687711084

Purchase

4,100

25.10

US6687711084

Purchase

100

25.23

US6687711084

Purchase

12,138

24.96

US6687711084

Purchase

400

24.95

US6687711084

Purchase

382

25.07

US6687711084

Sale

766,069

24.85

US6687711084

Purchase

8,811

25.06

US6687711084

Purchase

1,400

25.01

US6687711084

Purchase

1,468

24.94

US6687711084

Sale

2,068

24.86

US6687711084

Sale

917

25.14

US6687711084

Sale

380

25.17

US6687711084

Sale

3,633

25.13

US6687711084

Sale

1,447

25.15

US6687711084

Sale

460

25.11

US6687711084

Sale

201

24.93

US6687711084

Sale

700

25.12

US6687711084

Sale

100

25.16

US6687711084

Sale

6,344

25.04

US6687711084

Sale

1,369

25.02

US6687711084

Sale

6,518

25.09

US6687711084

Sale

10

24.99

US6687711084

Sale

1,080

24.88

US6687711084

Sale

32,478

25.03

US6687711084

Sale

1,200

25.05

US6687711084

Sale

9,052

25.00

US6687711084

Sale

102

24.89

US6687711084

Sale

710

24.97

US6687711084

Sale

200

25.19

US6687711084

Sale

2,429

24.98

US6687711084

Sale

100

25.21

US6687711084

Sale

602

25.20

US6687711084

Sale

38,095

25.08

US6687711084

Sale

2,540

25.10

US6687711084

Sale

48

24.87

US6687711084

Sale

3,196

24.95

US6687711084

Sale

3,173

25.07

US6687711084

Sale

10,982

24.85

US6687711084

Sale

100

25.27

US6687711084

Sale

4,012

25.06

US6687711084

Purchase

31

25.17

US6687711084

Purchase

14

25.30

US6687711084

Purchase

200

25.13

US6687711084

Purchase

1,985

25.28

US6687711084

Sale

800

25.28

US6687711084

Purchase

214

25.15

US6687711084

Purchase

216

25.11

US6687711084

Purchase

100

24.93

US6687711084

Purchase

43

25.12

US6687711084

Sale

100

25.12

US6687711084

Purchase

500

25.16

US6687711084

Purchase

450

25.04

US6687711084

Purchase

338

25.02

US6687711084

Purchase

2,110

24.99

US6687711084

Purchase

300

24.88

US6687711084

Sale

4

24.88

US6687711084

Sale

223

24.91

US6687711084

Purchase

77

25.05

US6687711084

Purchase

53

25.00

US6687711084

Purchase

204

24.89

US6687711084

Sale

100

24.97

US6687711084

Purchase

111

25.18

US6687711084

Purchase

324

24.98

US6687711084

Sale

42

24.98

US6687711084

Purchase

100

25.22

US6687711084

Purchase

10

25.20

US6687711084

Sale

100

25.20

US6687711084

Purchase

780

25.08

US6687711084

Purchase

100

25.10

US6687711084

Purchase

110

24.96

US6687711084

Purchase

252

25.07

US6687711084

Purchase

400

24.92

US6687711084

Purchase

47,905

24.85

US6687711084

Sale

45,168

24.85

US6687711084

Purchase

54

25.06

US6687711084

Purchase

324

25.01

US6687711084

Sale

744

24.83

US6687711084

Purchase

500

24.94

US6687711084

Purchase

600

24.73

US6687711084

Purchase

600

24.81

US6687711084

Sale

38

25.14

US6687711084

Sale

248

25.17

US6687711084

Sale

154

25.13

US6687711084

Sale

232

25.15

US6687711084

Sale

14

25.11

US6687711084

Sale

302

24.93

US6687711084

Sale

402

25.12

US6687711084

Sale

100

25.04

US6687711084

Sale

10

25.02

US6687711084

Purchase

1

25.09

US6687711084

Sale

1,045

25.09

US6687711084

Sale

400

24.99

US6687711084

Sale

100

24.88

US6687711084

Sale

342

24.90

US6687711084

Sale

287

24.91

US6687711084

Sale

132

25.03

US6687711084

Sale

29

25.05

US6687711084

Sale

235

25.00

US6687711084

Sale

259

25.19

US6687711084

Purchase

1

25.18

US6687711084

Sale

274

25.18

US6687711084

Sale

232

24.98

US6687711084

Sale

120

25.21

US6687711084

Sale

127

25.20

US6687711084

Sale

189

25.08

US6687711084

Purchase

1

25.10

US6687711084

Sale

205

25.10

US6687711084

Sale

1,251

24.87

US6687711084

Sale

5

24.96

US6687711084

Sale

800

24.95

US6687711084

Sale

502

25.07

US6687711084

Sale

100

24.92

US6687711084

Sale

36

25.27

US6687711084

Sale

41

25.01

US6687711084

Sale

124

24.83

US6687711084

Sale

490

24.94

US6687711084

Purchase

19

24.89

US6687711084

Purchase

4,427

24.85

(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
(USD)

US6687711084

Equity Swap

Reducing a long position

234

25.28

(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:

1st December 2021

Contact name:

Milos Naumovic

Telephone number:

+44 203 650 8203

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also be emailed to the Takeover Panel at monitoring@disclosure.org.uk. 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.

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:

Millennium International Management LP

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

NortonLifeLock Inc.

2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

Class of relevant security

Product description e.g. call option

Written or purchased

Number of securities to which option or derivative relates

Exercise price per unit (USD)

Type

e.g. American, European etc.

Expiry date

US6687711084

Call Option

Purchased

8,000

25.00

American

20/01/2023

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/20211201005568/en/

Contacts

Millennium Partners, L.P.

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