FORM 8.3
DISCLOSURE OF PUBLIC OPENING POSITION/DISCLOSURE OF TRADE BY
A PERSON WITH AN INTEREST IN RELEVANT SECURITIES OF 1% OR MORE
Rule 8.3 of the Takeover Code (the “Code”)
1. IMPORTANT INFORMATION
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(a) Identity of person whose position/business is disclosed: |
Boussard & Gavaudan Investment Management LLP Boussard & Gavaudan Gestion SAS Acting on behalf of various funds |
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(b) Owner or controller of disclosed interests and short positions, if different from 1(a): The naming of nominee or vehicle companies is insufficient |
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(c) Name of offeror/offeree to whose relevant securities this form relates: Use a separate form for each provider/offer recipient |
Norton LifeLock Inc. |
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(d) If an Exempt Fund Manager is affiliated with a provider/offeree, state so and provide the identity of the provider/offeree: |
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(e) Date of position held/trade executed: |
August 4, 2022 |
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(f) Has the disclosing party previously or currently disclosed to any other party of this offer in accordance with the Code? |
Yes / Avast plc |
2. POSITIONS OF THE NOTIFYING PERSON
(a) Interests and short positions in the relevant securities of the provider or target recipient to which the post-trade disclosure relates (if any)
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Class of relevant security: |
$0.01 common ISIN: US6687711084 |
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Interests |
short positions |
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number |
% |
number |
% |
|
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(1) Relevant securities owned and/or controlled by: |
371,327 |
0.06% |
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(2) Derivatives CFD (except options): |
35,920 |
0.00% |
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(3) Purchase/Sale Options and Agreements: |
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TOTAL: |
407,247 |
0.06% |
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All holdings and all short positions should be disclosed. Details of any open positions in derivatives or options or agreements to buy or sell relevant securities should be included on Supplemental Form 8 (Open Positions).
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Class of relevant security: |
2.000% Senior Unsecured Convertible Notes August 2022 ID: US668771AB40 |
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Interests |
short positions |
|||
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number |
% |
number |
% |
|
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(1) Relevant securities owned and/or controlled by: |
0 |
0.00% |
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(2) Derivatives CFD (except options): |
0 |
0.00% |
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(3) Purchase/Sale Options and Agreements: |
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TOTAL: |
0 |
0.00% |
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(b) Subscription rights to new securities (including options for directors and other officers)
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Class of relevant security to which a subscription right exists: |
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Details, including type of rights affected and relevant percentages: |
If there is a position or right to subscribe or disclose in more than one class of relevant security of the bidder or target recipient referred to in 1(c), copy Table 2(a) or (b) (as the case may be) for each additional relevant class of security .
3. TRADE (IF ANY) BY THE PERSON MAKING THE DISCLOSURE
(a) Purchases and Sales
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Class of the relevant security |
purchase/sale |
number of securities |
Price per unit USD |
|
$0.01 common |
Buy |
7,550 |
26.50 |
|
$0.01 common |
Buy |
12,975 |
26.59 |
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$0.01 common |
Buy |
4,274 |
26.58 |
(b) Derivative transactions (other than options)
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Class of the relevant security |
Product description eg CFD |
type of action eg open/close a long/short position, increase/decrease a long/short position |
Number of Reference Securities |
price per unit USD |
|
$0.01 common |
CFD |
Reduce a short position |
1,980 |
26.52 |
|
$0.01 common |
CFD |
Reduce a short position |
422 |
26.58 |
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$0.01 common |
CFD |
Reduce a short position |
302 |
26.56 |
(c) option transactions relating to existing securities
(I) Write, sell, buy or vary
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Class of the relevant security |
Product description eg call option |
Write, buy, sell, vary etc. |
Number of securities to which the option relates |
Strike Price per Unit |
Type e.g. American, European etc. |
expiry date |
Option money paid/received per unit |
(ii) Exercising
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Class of the relevant security |
Product description eg call option |
number of securities |
Strike Price per Unit |
(d) Other transactions (including subscription to new securities)
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Class of the relevant security |
type of action eg subscription, conversion |
details |
Price per unit (if applicable) |
The currency must be specified for all prices and other amounts of money.
If more than one class of relevant securities of the provider or target recipient referred to in 1(c) was traded, copy Table 3(a), (b), (c) or (d) (as the case may be) for each additional class Class of the relevant security being traded.
4. OTHER INFORMATION
(a) Compensation and Other Commercial Arrangements
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Details of any indemnity or option agreement or agreement or understanding, formal or informal, in relation to relevant securities which may be an inducement to act or refrain from trading entered into by the disclosing person and any party to the offering or any other person acting jointly with a party to the Offer: If there are no such agreements, understandings or understandings, indicate “none”. |
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none |
(b) agreements, understandings or understandings relating to options or derivatives
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Details of any arrangement, understanding or understanding, formal or informal, between the person making the disclosure and any other person with respect to: (i) the voting rights of all relevant securities under an option; or (ii) the voting rights or future acquisition or disposal of relevant securities to which a derivative relates: If there are no such agreements, understandings or understandings, indicate “none”. |
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none |
(c) Attachments
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Is a supplementary form 8 (vacancies) attached? |
NO |
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Disclosure Date: |
05th Aug 2022 |
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Contact name: |
Deborah Winner |
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Telephone number: |
+44 203 751 54 12 |
Disclosures under Rule 8 of the Code must be made to a regulatory information service and also emailed to the Takeover Board at [email protected]. The Panel’s Market Surveillance Unit is available for advice on the Code’s disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Board’s website at www.thetakeoverpanel.org.uk.
Appendix
