FORM 8.3
PUBLIC OPENING OF POSITION/DISCLOSURE OF DEAL BY
PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE
Rule 8.3 of the Takeover Code (“the Code”)
1. KEY INFORMATION
| (a) Identity of the person whose positions/transactions are disclosed: | Boussard & Gavaudan Investment Management LLP
Boussard & Gavaudan Gestion SAS acting on behalf of various funds |
| (b) Owner or controller of units and disclosed short positions, if different from 1(a):
Specifying nominee companies or vehicle companies is insufficient |
|
| (c) Name of the offeror/offeree to whose securities this form relates:
Use a separate form for each offeree/offeeee |
NortonLifeLock Inc. |
| (d) If an exempt fund manager contacts an offeror/recipient, state that and identify the offeror/recipient: | |
| (e) Date position taken/transaction executed: | August 3, 2022 |
| (f) Has the disclosing person previously disclosed or is currently disclosing under the Code with respect to another party to this offer? | Yes / Avast plc |
2. DUTIES OF THE PERSON MAKING DISCLOSURE
(a) Interests and short positions in the relevant securities of the offeror or offeree to which the post-deal disclosure applies (if any)
| Corresponding security class: | 0.01 USD total
ISIN: US6687711084 |
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| Interests | Short positions | |||
| Number | % | Number | % | |
| (1) Relevant owned and/or controlled securities: | 396,126 | 0.06% | ||
| (2) CFDs on derivatives (other than options): | 38,624 | 0.00% | ||
| (3) Options and Purchase/Sell Agreements: | ||||
| TOTAL: | 434,750 | 0.06% | ||
All interests and all short positions must be disclosed. Details of any open derivative or option positions or agreements to buy or sell the relevant securities must be given in supplementary form 8 (Open positions).
| Corresponding security class: | 2,000% Senior Unsecured Convertible Notes August 2022
ID: US668771AB40 |
|||
| Interests | Short positions | |||
| Number | % | Number | % | |
| (1) Relevant owned and/or controlled securities: | 0 | 0.00% | ||
| (2) CFDs on derivatives (other than options): | 0 | 0.00% | ||
| (3) Options and Purchase/Sell Agreements: | ||||
| TOTAL: | 0 | 0.00% | ||
(b) Rights to subscribe for new securities (including director and other executive options)
| Class of relevant security in respect of which a subscription right exists: | |
| Details, including the nature of the rights involved and the relevant percentages: |
If there are positions or subscription rights to disclosure in more than one class of relevant securities of the offeror or offeree referred to in 1(c), copy Table 2(a) or (b) (as applicable) for each additional class of relevant security.
3. DEALINGS (IF ANY) BY DISCLOSING PERSON
(a) Purchases and Sales
| Corresponding security class | Purchase/Sell | Number of securities | Price per unit USD |
| 0.01 USD total | Sale | 224,561 | 26.11 |
(b) Derivative transactions (other than options)
| Corresponding security class | Description of the product
e.g. CFDs |
Nature of the transaction
eg open/close long/short position, increase/decrease long/short position |
Number of reference securities | Price per piece
US dollar |
| 0.01 USD total | CFDs | Increase a short position | 21,772 | 26.11 |
(c) Transactions in options with respect to existing securities
(i) Write, sell, buy or change
| Corresponding security class | Description of the product for example a call option | Write, buy, sell, vary, etc. | Number of securities to which the option applies | Exercise price per unit | Type
for example, American, European, etc. |
Expiry date | Cash paid/received per unit option |
(ii) Exercise
| Corresponding security class | Description of the product
for example a call option |
Number of securities | Exercise price per unit |
(d) Other transactions (including subscription of new securities)
| Corresponding security class | Nature of the transaction
eg subscription, conversion |
Details | Unit Price (if applicable) |
The currency of all prices and other monetary amounts must be indicated.
Where there have been transactions in more than one class of relevant securities of the offeror or offeree referred to in 1(c), copy Table 3(a), (b), (c) or (d) (as applicable) for each additional class of the relevant securities in which it deals.
4. OTHER INFORMATION
(a) Indemnification and Other Commercial Arrangements
| Details of any indemnity or option agreement, or any agreement or understanding, formal or informal, relating to the relevant securities which may be an inducement to deal or refrain from dealing entered into by the disclosing party and any party to the offer or any person acting jointly with a party to the offer:
If there are no such agreements, arrangements or arrangements, indicate ‘none’ |
| None |
(b) Agreements, arrangements or arrangements relating to options or derivatives
| Details of any agreement, arrangement or understanding, formal or informal, between the disclosing person and any other person relating to:
(i) the voting rights of all relevant securities under each option; or (ii) the voting rights or the future acquisition or disposition of any relevant securities to which any derivative relates; If there are no such agreements, arrangements or arrangements, indicate ‘none’ |
|
None |
(c) Attachments
| Is supplementary form 8 (Open Positions) attached? | NO |
| Date of disclosure: | 04th August 2022 |
| Contact Name: |
Deborah Winner |
| Phone number: |
+44 203 751 54 12 |
Public disclosures under Rule 8 of the Code must be made to the Regulatory Information Office and must also be emailed to the Underwriting Panel monitoring@disclosure.org.uk. The Panel’s Market Monitoring Unit is available for advice on the requirements of the Transaction Disclosure Code on +44 (0)20 7638 0129.
The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.
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08/03/2022 NortonLifeLock Inc
