REG-BARCLAYS PLC Form 8.3 - NortonLifeLock Inc. - Amendment
20/10/2021 16:30
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Form 8.3 - NortonLifeLock Inc. - Amendment
FORM 8.3 - Amendment to Purchase
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: 18 October 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: 1,558,209 0.27% 967,045 0.17%
(2) Cash-settled derivatives:
655,267 0.11% 1,028,322 0.18%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
TOTAL: 2,213,976 0.38% 1,997,467 0.34%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 146,000 0.03% 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: 146,000 0.03% 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 25.4900 USD
USD 0.01 common Purchase 2 25.5000 USD
USD 0.01 common Purchase 3 25.4833 USD
USD 0.01 common Purchase 3 25.4866 USD
USD 0.01 common Purchase 5 25.4380 USD
USD 0.01 common Purchase 5 25.4660 USD
USD 0.01 common Purchase 7 25.4685 USD
USD 0.01 common Purchase 32 25.6556 USD
USD 0.01 common Purchase 44 25.6381 USD
USD 0.01 common Purchase 50 25.7089 USD
USD 0.01 common Purchase 100 25.6450 USD
USD 0.01 common Purchase 100 25.7050 USD
USD 0.01 common Purchase 103 25.7229 USD
USD 0.01 common Purchase 137 25.5800 USD
USD 0.01 common Purchase 200 25.3500 USD
USD 0.01 common Purchase 507 25.7215 USD
USD 0.01 common Purchase 534 25.6994 USD
USD 0.01 common Purchase 699 25.7238 USD
USD 0.01 common Purchase 2,178 25.6112 USD
USD 0.01 common Purchase 3,531 25.5926 USD
USD 0.01 common Purchase 3,673 25.7191 USD
USD 0.01 common Purchase 5,250 25.6108 USD
USD 0.01 common Purchase 5,250 25.6107 USD
USD 0.01 common Purchase 5,685 25.6154 USD
USD 0.01 common Purchase 7,953 25.7198 USD
USD 0.01 common Purchase 11,330 25.6890 USD
USD 0.01 common Purchase 11,913 25.7200 USD
USD 0.01 common Purchase 31,283 25.6526 USD
USD 0.01 common Purchase 35,644 25.6822 USD
USD 0.01 common Purchase 62,145 25.6558 USD
USD 0.01 common Purchase 93,841 25.7187 USD
USD 0.01 common Sale 44 25.6381 USD
USD 0.01 common Sale 67 25.4686 USD
USD 0.01 common Sale 102 25.6900 USD
USD 0.01 common Sale 157 25.6668 USD
USD 0.01 common Sale 200 25.3500 USD
USD 0.01 common Sale 200 25.6950 USD
USD 0.01 common Sale 200 25.6675 USD
USD 0.01 common Sale 214 25.6416 USD
USD 0.01 common Sale 294 25.7036 USD
USD 0.01 common Sale 300 25.7100 USD
USD 0.01 common Sale 300 25.7016 USD
USD 0.01 common Sale 313 25.4361 USD
USD 0.01 common Sale 327 25.6503 USD
USD 0.01 common Sale 331 25.6570 USD
USD 0.01 common Sale 338 25.6300 USD
USD 0.01 common Sale 350 25.6214 USD
USD 0.01 common Sale 450 25.6058 USD
USD 0.01 common Sale 534 25.6994 USD
USD 0.01 common Sale 543 25.5690 USD
USD 0.01 common Sale 600 25.7233 USD
USD 0.01 common Sale 605 25.6318 USD
USD 0.01 common Sale 700 25.6050 USD
USD 0.01 common Sale 700 25.6078 USD
USD 0.01 common Sale 707 25.6800 USD
USD 0.01 common Sale 729 25.6255 USD
USD 0.01 common Sale 750 25.6449 USD
USD 0.01 common Sale 803 25.6466 USD
USD 0.01 common Sale 937 25.5800 USD
USD 0.01 common Sale 1,066 25.6377 USD
USD 0.01 common Sale 1,203 25.6390 USD
USD 0.01 common Sale 1,376 25.6331 USD
USD 0.01 common Sale 1,379 25.6768 USD
USD 0.01 common Sale 1,616 25.6284 USD
USD 0.01 common Sale 1,663 25.6371 USD
USD 0.01 common Sale 2,324 25.5911 USD
USD 0.01 common Sale 2,595 25.6123 USD
USD 0.01 common Sale 2,722 25.7026 USD
USD 0.01 common Sale 2,758 25.7022 USD
USD 0.01 common Sale 3,400 25.6132 USD
USD 0.01 common Sale 5,250 25.6107 USD
USD 0.01 common Sale 7,089 25.6100 USD
USD 0.01 common Sale 10,436 25.6867 USD
USD 0.01 common Sale 11,334 25.6401 USD
USD 0.01 common Sale 16,704 25.6317 USD
USD 0.01 common Sale 17,527 25.7200 USD
USD 0.01 common Sale 19,349 25.6631 USD
USD 0.01 common Sale 25,059 25.7023 USD
USD 0.01 common Sale 38,103 25.6659 USD
USD 0.01 common Sale 92,236 25.7195 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 Oct 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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