REG-BARCLAYS PLC Form 8.3 - NortonLifeLock Inc. - Amendment
20/07/2021 14:20
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Form 8.3 - NortonLifeLock Inc. - Amendment
FORM 8.3 - Amendment to Sales
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: 16 July 2021
(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: 1,964,336 0.34% 183,743 0.03%
(2) Cash-settled derivatives:
24,339 0.00% 1,279,498 0.22%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
TOTAL: 1,989,175 0.34% 1,465,341 0.25%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 129,000 0.02% 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: 129,000 0.02% 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 2 26.0050 USD
USD 0.01 common Purchase 4 26.1325 USD
USD 0.01 common Purchase 6 26.2300 USD
USD 0.01 common Purchase 10 26.1130 USD
USD 0.01 common Purchase 12 26.1916 USD
USD 0.01 common Purchase 16 26.1812 USD
USD 0.01 common Purchase 21 26.1557 USD
USD 0.01 common Purchase 23 26.2060 USD
USD 0.01 common Purchase 43 26.1930 USD
USD 0.01 common Purchase 55 26.1727 USD
USD 0.01 common Purchase 64 26.1808 USD
USD 0.01 common Purchase 100 26.3300 USD
USD 0.01 common Purchase 100 26.2950 USD
USD 0.01 common Purchase 116 26.1759 USD
USD 0.01 common Purchase 200 26.3250 USD
USD 0.01 common Purchase 212 26.3400 USD
USD 0.01 common Purchase 245 26.0987 USD
USD 0.01 common Purchase 310 26.2012 USD
USD 0.01 common Purchase 400 26.0800 USD
USD 0.01 common Purchase 400 26.2350 USD
USD 0.01 common Purchase 467 26.3200 USD
USD 0.01 common Purchase 700 26.3257 USD
USD 0.01 common Purchase 800 26.3112 USD
USD 0.01 common Purchase 800 26.1075 USD
USD 0.01 common Purchase 817 26.3287 USD
USD 0.01 common Purchase 1,100 26.3263 USD
USD 0.01 common Purchase 1,114 26.3255 USD
USD 0.01 common Purchase 1,234 26.1462 USD
USD 0.01 common Purchase 1,344 26.2527 USD
USD 0.01 common Purchase 1,469 26.0113 USD
USD 0.01 common Purchase 1,741 26.3188 USD
USD 0.01 common Purchase 1,828 26.0360 USD
USD 0.01 common Purchase 2,128 26.2423 USD
USD 0.01 common Purchase 2,566 26.1439 USD
USD 0.01 common Purchase 2,849 26.3262 USD
USD 0.01 common Purchase 3,646 26.1464 USD
USD 0.01 common Purchase 5,118 26.1797 USD
USD 0.01 common Purchase 5,213 26.2294 USD
USD 0.01 common Purchase 7,472 26.2103 USD
USD 0.01 common Purchase 9,560 26.0106 USD
USD 0.01 common Purchase 14,191 26.1335 USD
USD 0.01 common Purchase 14,303 26.2086 USD
USD 0.01 common Purchase 23,701 26.0033 USD
USD 0.01 common Purchase 26,494 26.0100 USD
USD 0.01 common Purchase 28,026 26.0053 USD
USD 0.01 common Purchase 29,310 26.0087 USD
USD 0.01 common Purchase 41,672 26.0779 USD
USD 0.01 common Purchase 96,583 26.1013 USD
USD 0.01 common Purchase 100,000 26.3001 USD
USD 0.01 common Purchase 104,687 26.1083 USD
USD 0.01 common Purchase 501,200 26.2819 USD
USD 0.01 common Purchase 908,112 26.2140 USD
USD 0.01 common Sale 2 26.0950 USD
USD 0.01 common Sale 4 26.0600 USD
USD 0.01 common Sale 100 26.3200 USD
USD 0.01 common Sale 120 26.2958 USD
USD 0.01 common Sale 199 26.2100 USD
USD 0.01 common Sale 200 26.1525 USD
USD 0.01 common Sale 300 26.0650 USD
USD 0.01 common Sale 300 26.1300 USD
USD 0.01 common Sale 360 26.1516 USD
USD 0.01 common Sale 400 26.2175 USD
USD 0.01 common Sale 400 26.1700 USD
USD 0.01 common Sale 557 26.2269 USD
USD 0.01 common Sale 577 26.2450 USD
USD 0.01 common Sale 600 26.0366 USD
USD 0.01 common Sale 617 26.1463 USD
USD 0.01 common Sale 672 26.1779 USD
USD 0.01 common Sale 700 26.3100 USD
USD 0.01 common Sale 700 26.2042 USD
USD 0.01 common Sale 797 26.2049 USD
USD 0.01 common Sale 828 26.2244 USD
USD 0.01 common Sale 900 26.2933 USD
USD 0.01 common Sale 975 26.2030 USD
USD 0.01 common Sale 1,000 26.1500 USD
USD 0.01 common Sale 1,027 26.1519 USD
USD 0.01 common Sale 1,101 26.2300 USD
USD 0.01 common Sale 1,234 26.1462 USD
USD 0.01 common Sale 1,300 26.2536 USD
USD 0.01 common Sale 1,400 26.0857 USD
USD 0.01 common Sale 1,500 26.2046 USD
USD 0.01 common Sale 1,700 26.2141 USD
USD 0.01 common Sale 1,800 26.1517 USD
USD 0.01 common Sale 1,867 26.2027 USD
USD 0.01 common Sale 1,882 26.1461 USD
USD 0.01 common Sale 2,102 26.2218 USD
USD 0.01 common Sale 2,382 26.1598 USD
USD 0.01 common Sale 2,602 26.0576 USD
USD 0.01 common Sale 2,707 26.2000 USD
USD 0.01 common Sale 2,783 26.2047 USD
USD 0.01 common Sale 3,200 26.0506 USD
USD 0.01 common Sale 4,440 26.0780 USD
USD 0.01 common Sale 4,521 26.0614 USD
USD 0.01 common Sale 5,051 26.0281 USD
USD 0.01 common Sale 5,173 26.1502 USD
USD 0.01 common Sale 5,602 25.9900 USD
USD 0.01 common Sale 5,955 26.0293 USD
USD 0.01 common Sale 6,135 26.0266 USD
USD 0.01 common Sale 6,476 26.1670 USD
USD 0.01 common Sale 7,344 26.2543 USD
USD 0.01 common Sale 7,700 26.0414 USD
USD 0.01 common Sale 9,560 26.0106 USD
USD 0.01 common Sale 10,100 26.1487 USD
USD 0.01 common Sale 11,256 26.0066 USD
USD 0.01 common Sale 11,301 26.1994 USD
USD 0.01 common Sale 14,817 26.2163 USD
USD 0.01 common Sale 18,234 26.0618 USD
USD 0.01 common Sale 20,244 26.1475 USD
USD 0.01 common Sale 21,634 26.0182 USD
USD 0.01 common Sale 23,381 26.0445 USD
USD 0.01 common Sale 23,857 26.0993 USD
USD 0.01 common Sale 24,234 26.0084 USD
USD 0.01 common Sale 25,170 26.0038 USD
USD 0.01 common Sale 35,075 26.1889 USD
USD 0.01 common Sale 37,893 26.2532 USD
USD 0.01 common Sale 39,362 26.1712 USD
USD 0.01 common Sale 39,623 26.0142 USD
USD 0.01 common Sale 42,646 26.0100 USD
USD 0.01 common Sale 61,204 26.0559 USD
USD 0.01 common Sale 100,000 26.3001 USD
USD 0.01 common Sale 102,600 26.3108 USD
USD 0.01 common Sale 149,142 26.0386 USD
USD 0.01 common Sale 178,506 26.2481 USD
USD 0.01 common Sale 341,262 26.2740 USD
USD 0.01 common Sale 501,200 26.2819 USD
(b) Cash-settled derivative transactions
Class of relevant security Product description Nature of dealing Number of reference securities Price per unit
e.g. CFD e.g. opening/closing a long/short position, increasing/reducing a long/short
position
(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 Expiry date Option money paid/ received per unit
e.g. American, European etc.
(ii) Exercise
Class of relevant security Product description Exercising/ exercised against Number of securities Exercise price per unit
e.g. call option
(d) Other dealings (including subscribing for new securities)
Class of relevant security Nature of dealing Details Price per unit (if applicable)
e.g. subscription, conversion
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: 20 Jul 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
(http://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
Identity of the person whose positions/dealings Barclays PLC.
are being disclosed:
Name of offeror/offeree in relation to whose NORTONLIFELOCK INC
relevant securities this from relates:
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
(http://www.thetakeoverpanel.org.uk/)
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