REG-BARCLAYS PLC Form 8.3 - NortonLifeLock Inc. - Amendment
15/11/2021 16:40
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Form 8.3 - NortonLifeLock Inc. - Amendment
FORM 8.3 - Amendment to Sale
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: 11 November 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: 1,743,634 0.30% 981,897 0.17%
(2) Cash-settled derivatives:
645,961 0.11% 1,307,674 0.22%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
TOTAL: 2,390,095 0.41% 2,291,671 0.39%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 376,000 0.06% 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: 376,000 0.06% 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 25.0750 USD
USD 0.01 common Purchase 3 25.0400 USD
USD 0.01 common Purchase 4 25.0550 USD
USD 0.01 common Purchase 4 25.0200 USD
USD 0.01 common Purchase 6 25.0450 USD
USD 0.01 common Purchase 8 25.0375 USD
USD 0.01 common Purchase 49 25.0971 USD
USD 0.01 common Purchase 70 25.0962 USD
USD 0.01 common Purchase 73 25.0711 USD
USD 0.01 common Purchase 78 25.0561 USD
USD 0.01 common Purchase 92 25.0465 USD
USD 0.01 common Purchase 105 25.1475 USD
USD 0.01 common Purchase 111 25.0893 USD
USD 0.01 common Purchase 123 25.0698 USD
USD 0.01 common Purchase 134 25.1002 USD
USD 0.01 common Purchase 161 24.8718 USD
USD 0.01 common Purchase 173 24.9993 USD
USD 0.01 common Purchase 200 25.1600 USD
USD 0.01 common Purchase 200 25.0950 USD
USD 0.01 common Purchase 200 25.0700 USD
USD 0.01 common Purchase 200 25.1300 USD
USD 0.01 common Purchase 221 25.1407 USD
USD 0.01 common Purchase 263 24.8550 USD
USD 0.01 common Purchase 292 24.9631 USD
USD 0.01 common Purchase 300 25.0833 USD
USD 0.01 common Purchase 300 25.0800 USD
USD 0.01 common Purchase 301 25.1332 USD
USD 0.01 common Purchase 307 24.8660 USD
USD 0.01 common Purchase 321 25.1000 USD
USD 0.01 common Purchase 400 25.1350 USD
USD 0.01 common Purchase 600 25.0850 USD
USD 0.01 common Purchase 600 25.0975 USD
USD 0.01 common Purchase 800 25.0981 USD
USD 0.01 common Purchase 801 24.9092 USD
USD 0.01 common Purchase 900 25.0688 USD
USD 0.01 common Purchase 1,000 25.1430 USD
USD 0.01 common Purchase 1,058 25.0900 USD
USD 0.01 common Purchase 1,101 25.1454 USD
USD 0.01 common Purchase 1,358 25.1367 USD
USD 0.01 common Purchase 1,377 25.0299 USD
USD 0.01 common Purchase 1,389 25.0300 USD
USD 0.01 common Purchase 1,406 24.9749 USD
USD 0.01 common Purchase 1,415 25.0787 USD
USD 0.01 common Purchase 1,419 24.9841 USD
USD 0.01 common Purchase 1,748 25.1500 USD
USD 0.01 common Purchase 1,800 25.1466 USD
USD 0.01 common Purchase 1,900 25.1352 USD
USD 0.01 common Purchase 1,914 25.1358 USD
USD 0.01 common Purchase 2,070 25.0713 USD
USD 0.01 common Purchase 2,206 24.9500 USD
USD 0.01 common Purchase 2,613 25.1308 USD
USD 0.01 common Purchase 3,031 25.1427 USD
USD 0.01 common Purchase 3,616 25.1377 USD
USD 0.01 common Purchase 3,962 25.0004 USD
USD 0.01 common Purchase 4,050 25.0808 USD
USD 0.01 common Purchase 4,101 25.0707 USD
USD 0.01 common Purchase 4,208 25.0824 USD
USD 0.01 common Purchase 4,351 24.9495 USD
USD 0.01 common Purchase 4,650 25.0714 USD
USD 0.01 common Purchase 5,503 24.9988 USD
USD 0.01 common Purchase 5,859 25.0470 USD
USD 0.01 common Purchase 6,077 25.1495 USD
USD 0.01 common Purchase 6,839 25.0429 USD
USD 0.01 common Purchase 7,059 25.0177 USD
USD 0.01 common Purchase 7,240 25.0602 USD
USD 0.01 common Purchase 9,060 24.8685 USD
USD 0.01 common Purchase 9,772 25.0670 USD
USD 0.01 common Purchase 10,652 25.0301 USD
USD 0.01 common Purchase 15,017 25.1406 USD
USD 0.01 common Purchase 23,305 25.1120 USD
USD 0.01 common Purchase 45,166 25.0474 USD
USD 0.01 common Purchase 59,916 25.0290 USD
USD 0.01 common Purchase 107,066 25.1017 USD
USD 0.01 common Purchase 119,294 25.0995 USD
USD 0.01 common Purchase 336,551 25.0634 USD
USD 0.01 common Sale 1 25.0700 USD
USD 0.01 common Sale 2 24.8500 USD
USD 0.01 common Sale 24 25.1108 USD
USD 0.01 common Sale 33 25.1600 USD
USD 0.01 common Sale 33 25.1550 USD
USD 0.01 common Sale 61 25.1150 USD
USD 0.01 common Sale 99 25.1200 USD
USD 0.01 common Sale 140 25.0656 USD
USD 0.01 common Sale 158 25.0883 USD
USD 0.01 common Sale 161 24.8719 USD
USD 0.01 common Sale 200 24.9650 USD
USD 0.01 common Sale 221 25.1407 USD
USD 0.01 common Sale 263 24.8550 USD
USD 0.01 common Sale 300 25.1133 USD
USD 0.01 common Sale 500 25.0200 USD
USD 0.01 common Sale 600 25.0975 USD
USD 0.01 common Sale 640 24.8800 USD
USD 0.01 common Sale 915 25.1363 USD
USD 0.01 common Sale 931 25.0884 USD
USD 0.01 common Sale 978 25.0632 USD
USD 0.01 common Sale 1,005 25.0354 USD
USD 0.01 common Sale 1,049 25.0695 USD
USD 0.01 common Sale 1,200 24.9333 USD
USD 0.01 common Sale 1,290 25.0516 USD
USD 0.01 common Sale 1,404 25.0302 USD
USD 0.01 common Sale 1,500 25.1440 USD
USD 0.01 common Sale 1,517 25.0822 USD
USD 0.01 common Sale 1,695 25.0362 USD
USD 0.01 common Sale 1,789 25.0277 USD
USD 0.01 common Sale 1,807 25.0429 USD
USD 0.01 common Sale 1,808 25.0219 USD
USD 0.01 common Sale 1,812 25.1225 USD
USD 0.01 common Sale 1,845 25.0684 USD
USD 0.01 common Sale 1,904 25.1313 USD
USD 0.01 common Sale 1,914 25.1500 USD
USD 0.01 common Sale 1,970 24.8762 USD
USD 0.01 common Sale 2,051 25.0283 USD
USD 0.01 common Sale 2,334 25.0589 USD
USD 0.01 common Sale 2,632 25.0712 USD
USD 0.01 common Sale 2,808 25.0449 USD
USD 0.01 common Sale 2,890 25.1069 USD
USD 0.01 common Sale 2,950 25.0725 USD
USD 0.01 common Sale 3,104 25.1280 USD
USD 0.01 common Sale 3,373 25.1386 USD
USD 0.01 common Sale 3,532 25.1216 USD
USD 0.01 common Sale 3,708 25.0909 USD
USD 0.01 common Sale 3,788 25.0763 USD
USD 0.01 common Sale 4,732 25.1352 USD
USD 0.01 common Sale 4,804 25.1434 USD
USD 0.01 common Sale 7,000 25.0655 USD
USD 0.01 common Sale 7,769 25.0461 USD
USD 0.01 common Sale 11,157 25.0731 USD
USD 0.01 common Sale 11,455 25.1246 USD
USD 0.01 common Sale 11,495 25.0300 USD
USD 0.01 common Sale 12,190 25.0487 USD
USD 0.01 common Sale 13,371 25.0775 USD
USD 0.01 common Sale 20,045 25.0444 USD
USD 0.01 common Sale 25,012 25.1177 USD
USD 0.01 common Sale 54,704 25.0051 USD
USD 0.01 common Sale 238,588 25.0995 USD
USD 0.01 common Sale 343,400 25.0612 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: 15 Nov 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
(https://cts.businesswire.com/ct/CT?id=smartlink&url=http%3A%2F%2Fwww.thetakeoverpanel.org.uk%2F&esheet=52531198&newsitemid=20211115006007&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=b944e40a3c59a91733fb2fdb0c5c604d)
.
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
(https://cts.businesswire.com/ct/CT?id=smartlink&url=http%3A%2F%2Fwww.thetakeoverpanel.org.uk%2F&esheet=52531198&newsitemid=20211115006007&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=d6d2bc6b5394a03bc9f110e00892d12e)
.
View source version on businesswire.com:
https://www.businesswire.com/news/home/20211115006007/en/
(https://www.businesswire.com/news/home/20211115006007/en/)
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