REG-BARCLAYS PLC Form 8.3 - NortonLifeLock Inc. - Amendment
18/11/2021 13:55
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Form 8.3 - NortonLifeLock Inc. - Amendment
FORM 8.3 - Amendment to Sale and 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: 16 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: 1,681,011 0.29% 1,226,732 0.21%
(2) Cash-settled derivatives:
737,477 0.13% 1,307,674 0.22%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
TOTAL: 2,418,988 0.42% 2,536,506 0.44%
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 9 25.3050 USD
USD 0.01 common Purchase 24 25.2000 USD
USD 0.01 common Purchase 24 25.3000 USD
USD 0.01 common Purchase 24 25.2500 USD
USD 0.01 common Purchase 72 25.2600 USD
USD 0.01 common Purchase 100 25.2250 USD
USD 0.01 common Purchase 100 25.3450 USD
USD 0.01 common Purchase 103 22.2160 EUR
USD 0.01 common Purchase 147 25.2322 USD
USD 0.01 common Purchase 172 25.2717 USD
USD 0.01 common Purchase 185 25.2213 USD
USD 0.01 common Purchase 196 25.2650 USD
USD 0.01 common Purchase 199 25.2833 USD
USD 0.01 common Purchase 202 25.3112 USD
USD 0.01 common Purchase 229 25.2971 USD
USD 0.01 common Purchase 233 25.2908 USD
USD 0.01 common Purchase 251 25.3085 USD
USD 0.01 common Purchase 258 25.3005 USD
USD 0.01 common Purchase 281 25.3042 USD
USD 0.01 common Purchase 289 25.2189 USD
USD 0.01 common Purchase 300 25.2283 USD
USD 0.01 common Purchase 393 25.2609 USD
USD 0.01 common Purchase 439 25.3024 USD
USD 0.01 common Purchase 610 25.3227 USD
USD 0.01 common Purchase 648 25.2929 USD
USD 0.01 common Purchase 800 25.2700 USD
USD 0.01 common Purchase 800 25.2488 USD
USD 0.01 common Purchase 893 25.2899 USD
USD 0.01 common Purchase 900 25.2355 USD
USD 0.01 common Purchase 1,150 25.1997 USD
USD 0.01 common Purchase 1,200 25.2337 USD
USD 0.01 common Purchase 1,300 25.1657 USD
USD 0.01 common Purchase 1,310 22.3373 EUR
USD 0.01 common Purchase 1,639 25.2754 USD
USD 0.01 common Purchase 1,690 25.2518 USD
USD 0.01 common Purchase 1,701 25.2587 USD
USD 0.01 common Purchase 1,809 25.2385 USD
USD 0.01 common Purchase 2,020 25.2378 USD
USD 0.01 common Purchase 2,100 25.2066 USD
USD 0.01 common Purchase 3,067 25.2538 USD
USD 0.01 common Purchase 5,408 25.2950 USD
USD 0.01 common Purchase 5,659 25.2875 USD
USD 0.01 common Purchase 6,658 25.2870 USD
USD 0.01 common Purchase 7,890 25.2238 USD
USD 0.01 common Purchase 9,285 25.2295 USD
USD 0.01 common Purchase 9,592 25.2958 USD
USD 0.01 common Purchase 10,927 25.2711 USD
USD 0.01 common Purchase 18,203 25.2535 USD
USD 0.01 common Purchase 25,133 25.2430 USD
USD 0.01 common Purchase 39,500 25.2706 USD
USD 0.01 common Purchase 40,696 25.2210 USD
USD 0.01 common Purchase 63,100 25.2192 USD
USD 0.01 common Purchase 78,022 25.2788 USD
USD 0.01 common Purchase 99,449 25.2725 USD
USD 0.01 common Purchase 155,127 25.2562 USD
USD 0.01 common Purchase 576,368 25.2200 USD
USD 0.01 common Sale 1 25.2300 USD
USD 0.01 common Sale 17 25.2041 USD
USD 0.01 common Sale 44 25.2750 USD
USD 0.01 common Sale 50 25.2688 USD
USD 0.01 common Sale 83 25.3007 USD
USD 0.01 common Sale 83 25.3100 USD
USD 0.01 common Sale 90 25.2881 USD
USD 0.01 common Sale 103 22.2160 EUR
USD 0.01 common Sale 144 25.2919 USD
USD 0.01 common Sale 200 25.2825 USD
USD 0.01 common Sale 429 25.2573 USD
USD 0.01 common Sale 533 25.3000 USD
USD 0.01 common Sale 852 25.2502 USD
USD 0.01 common Sale 1,045 25.2475 USD
USD 0.01 common Sale 1,310 22.3373 EUR
USD 0.01 common Sale 1,521 25.2900 USD
USD 0.01 common Sale 2,400 25.2337 USD
USD 0.01 common Sale 2,400 25.2950 USD
USD 0.01 common Sale 2,550 25.1834 USD
USD 0.01 common Sale 3,067 25.2538 USD
USD 0.01 common Sale 3,169 25.2100 USD
USD 0.01 common Sale 6,458 25.2871 USD
USD 0.01 common Sale 9,569 25.2852 USD
USD 0.01 common Sale 9,586 25.2728 USD
USD 0.01 common Sale 9,990 25.2202 USD
USD 0.01 common Sale 19,367 25.2364 USD
USD 0.01 common Sale 21,529 25.2554 USD
USD 0.01 common Sale 34,744 25.2691 USD
USD 0.01 common Sale 40,291 25.2203 USD
USD 0.01 common Sale 59,931 25.2197 USD
USD 0.01 common Sale 69,527 25.2781 USD
USD 0.01 common Sale 77,358 25.2771 USD
USD 0.01 common Sale 85,678 25.2784 USD
USD 0.01 common Sale 129,912 25.2399 USD
USD 0.01 common Sale 572,140 25.2200 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: 18 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=52534208&newsitemid=20211118005844&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=cc885829389902467e11b113d7e578e8)
.
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=52534208&newsitemid=20211118005844&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=1935103e3ca864d61e58b76f8e730024)
.
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(https://www.businesswire.com/news/home/20211118005844/en/)
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