REG-BARCLAYS PLC Form 8.3 - NortonLifeLock Inc. AMENDMENT
16/11/2021 15:50
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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: 12 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: 1,889,903 0.32% 964,621 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: 2,536,364 0.44% 2,274,395 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 1 25.6700 USD
USD 0.01 common Purchase 7 25.5671 USD
USD 0.01 common Purchase 10 25.6060 USD
USD 0.01 common Purchase 10 25.5880 USD
USD 0.01 common Purchase 11 25.5881 USD
USD 0.01 common Purchase 13 25.5476 USD
USD 0.01 common Purchase 25 25.5410 USD
USD 0.01 common Purchase 25 25.5604 USD
USD 0.01 common Purchase 26 25.5930 USD
USD 0.01 common Purchase 29 25.5567 USD
USD 0.01 common Purchase 32 25.5704 USD
USD 0.01 common Purchase 32 25.5596 USD
USD 0.01 common Purchase 33 25.5513 USD
USD 0.01 common Purchase 36 25.5650 USD
USD 0.01 common Purchase 36 25.5350 USD
USD 0.01 common Purchase 44 25.2600 USD
USD 0.01 common Purchase 44 25.2750 USD
USD 0.01 common Purchase 48 25.2850 USD
USD 0.01 common Purchase 72 25.5375 USD
USD 0.01 common Purchase 87 25.3200 USD
USD 0.01 common Purchase 144 25.5237 USD
USD 0.01 common Purchase 144 25.5812 USD
USD 0.01 common Purchase 184 25.5238 USD
USD 0.01 common Purchase 200 25.5400 USD
USD 0.01 common Purchase 202 25.5376 USD
USD 0.01 common Purchase 208 25.5675 USD
USD 0.01 common Purchase 224 25.5745 USD
USD 0.01 common Purchase 263 25.5839 USD
USD 0.01 common Purchase 324 25.5611 USD
USD 0.01 common Purchase 332 25.5587 USD
USD 0.01 common Purchase 339 25.5386 USD
USD 0.01 common Purchase 365 25.5489 USD
USD 0.01 common Purchase 400 25.4550 USD
USD 0.01 common Purchase 403 25.5765 USD
USD 0.01 common Purchase 436 25.2720 USD
USD 0.01 common Purchase 492 25.5601 USD
USD 0.01 common Purchase 505 25.5525 USD
USD 0.01 common Purchase 522 25.5500 USD
USD 0.01 common Purchase 696 25.5496 USD
USD 0.01 common Purchase 791 25.0300 USD
USD 0.01 common Purchase 800 25.5700 USD
USD 0.01 common Purchase 905 25.5145 USD
USD 0.01 common Purchase 1,400 25.5407 USD
USD 0.01 common Purchase 1,460 25.4307 USD
USD 0.01 common Purchase 2,290 25.4287 USD
USD 0.01 common Purchase 2,494 25.4521 USD
USD 0.01 common Purchase 3,156 25.3555 USD
USD 0.01 common Purchase 4,366 25.5415 USD
USD 0.01 common Purchase 5,031 25.5233 USD
USD 0.01 common Purchase 5,085 25.5673 USD
USD 0.01 common Purchase 7,519 25.4725 USD
USD 0.01 common Purchase 7,679 25.4839 USD
USD 0.01 common Purchase 8,500 25.5488 USD
USD 0.01 common Purchase 9,439 25.5383 USD
USD 0.01 common Purchase 21,609 25.5251 USD
USD 0.01 common Purchase 26,429 25.5074 USD
USD 0.01 common Purchase 36,040 25.5300 USD
USD 0.01 common Purchase 54,321 25.5155 USD
USD 0.01 common Purchase 493,503 25.5049 USD
USD 0.01 common Sale 2 25.5250 USD
USD 0.01 common Sale 4 25.5900 USD
USD 0.01 common Sale 44 25.2750 USD
USD 0.01 common Sale 47 25.2600 USD
USD 0.01 common Sale 48 25.2850 USD
USD 0.01 common Sale 87 25.3200 USD
USD 0.01 common Sale 100 25.4900 USD
USD 0.01 common Sale 100 25.4800 USD
USD 0.01 common Sale 105 25.6300 USD
USD 0.01 common Sale 200 25.2900 USD
USD 0.01 common Sale 500 25.4600 USD
USD 0.01 common Sale 781 25.5706 USD
USD 0.01 common Sale 791 25.0300 USD
USD 0.01 common Sale 848 25.0800 USD
USD 0.01 common Sale 972 25.5541 USD
USD 0.01 common Sale 1,200 25.4550 USD
USD 0.01 common Sale 1,600 25.6550 USD
USD 0.01 common Sale 1,994 25.4501 USD
USD 0.01 common Sale 4,658 25.5170 USD
USD 0.01 common Sale 4,806 25.5590 USD
USD 0.01 common Sale 5,502 25.4970 USD
USD 0.01 common Sale 8,415 25.4804 USD
USD 0.01 common Sale 10,329 25.5036 USD
USD 0.01 common Sale 17,000 25.5488 USD
USD 0.01 common Sale 18,961 25.5300 USD
USD 0.01 common Sale 26,285 25.5070 USD
USD 0.01 common Sale 38,928 25.5275 USD
USD 0.01 common Sale 64,770 25.5039 USD
USD 0.01 common Sale 491,579 25.5049 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: 16 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=52532319&newsitemid=20211116006077&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=3c5060849800c66d9df53dd9a6d3b290)
.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=52532319&newsitemid=20211116006077&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=ca84578186c48d0f5912f79fef883302)
.
View source version on businesswire.com:
https://www.businesswire.com/news/home/20211116006077/en/
(https://www.businesswire.com/news/home/20211116006077/en/)
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