REG-BARCLAYS PLC Form 8.3 - NortonLifeLock Inc. - Amendment
17/12/2021 13:20
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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: 15 December 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: 1,518,837 0.26% 668,025 0.11%
(2) Cash-settled derivatives:
426,198 0.07% 1,513,170 0.26%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 2,100 0.00%
TOTAL: 1,945,035 0.33% 2,183,295 0.38%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 389,000 0.07% 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: 389,000 0.07% 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 24.6300 USD
USD 0.01 common Purchase 4 24.5750 USD
USD 0.01 common Purchase 5 24.6400 USD
USD 0.01 common Purchase 12 24.4400 USD
USD 0.01 common Purchase 50 24.9150 USD
USD 0.01 common Purchase 100 24.7400 USD
USD 0.01 common Purchase 100 24.9200 USD
USD 0.01 common Purchase 269 21.6409 EUR
USD 0.01 common Purchase 271 24.9171 USD
USD 0.01 common Purchase 300 24.8583 USD
USD 0.01 common Purchase 500 24.8600 USD
USD 0.01 common Purchase 520 24.6230 USD
USD 0.01 common Purchase 607 24.7122 USD
USD 0.01 common Purchase 700 24.7792 USD
USD 0.01 common Purchase 1,095 24.7388 USD
USD 0.01 common Purchase 1,194 24.8503 USD
USD 0.01 common Purchase 1,300 24.8065 USD
USD 0.01 common Purchase 1,753 24.3700 USD
USD 0.01 common Purchase 2,627 24.7959 USD
USD 0.01 common Purchase 3,018 24.7847 USD
USD 0.01 common Purchase 4,307 24.8143 USD
USD 0.01 common Purchase 8,146 24.7136 USD
USD 0.01 common Purchase 9,446 24.7481 USD
USD 0.01 common Purchase 86,676 24.8128 USD
USD 0.01 common Purchase 91,703 24.8200 USD
USD 0.01 common Purchase 97,160 24.7361 USD
USD 0.01 common Sale 1 24.7150 USD
USD 0.01 common Sale 1 24.8000 USD
USD 0.01 common Sale 2 24.8900 USD
USD 0.01 common Sale 2 24.6650 USD
USD 0.01 common Sale 4 24.8050 USD
USD 0.01 common Sale 7 24.7957 USD
USD 0.01 common Sale 12 24.4400 USD
USD 0.01 common Sale 15 24.7090 USD
USD 0.01 common Sale 19 24.9581 USD
USD 0.01 common Sale 20 24.7655 USD
USD 0.01 common Sale 23 24.7515 USD
USD 0.01 common Sale 24 24.9039 USD
USD 0.01 common Sale 24 24.9137 USD
USD 0.01 common Sale 31 24.9496 USD
USD 0.01 common Sale 31 24.9750 USD
USD 0.01 common Sale 48 24.8775 USD
USD 0.01 common Sale 48 24.8700 USD
USD 0.01 common Sale 48 24.8100 USD
USD 0.01 common Sale 49 24.9000 USD
USD 0.01 common Sale 52 24.9242 USD
USD 0.01 common Sale 72 24.8083 USD
USD 0.01 common Sale 73 24.8956 USD
USD 0.01 common Sale 73 24.7986 USD
USD 0.01 common Sale 74 24.8852 USD
USD 0.01 common Sale 103 24.9342 USD
USD 0.01 common Sale 120 24.8660 USD
USD 0.01 common Sale 120 24.8540 USD
USD 0.01 common Sale 144 24.9050 USD
USD 0.01 common Sale 269 21.6409 EUR
USD 0.01 common Sale 336 24.8589 USD
USD 0.01 common Sale 400 24.7050 USD
USD 0.01 common Sale 500 24.8600 USD
USD 0.01 common Sale 1,753 24.3700 USD
USD 0.01 common Sale 1,820 24.6239 USD
USD 0.01 common Sale 1,991 24.6543 USD
USD 0.01 common Sale 2,323 24.7710 USD
USD 0.01 common Sale 2,554 24.7149 USD
USD 0.01 common Sale 5,007 24.7297 USD
USD 0.01 common Sale 5,929 24.7721 USD
USD 0.01 common Sale 6,866 24.7593 USD
USD 0.01 common Sale 9,775 24.8198 USD
USD 0.01 common Sale 12,546 24.7064 USD
USD 0.01 common Sale 79,133 24.7412 USD
USD 0.01 common Sale 93,655 24.8200 USD
USD 0.01 common Sale 95,959 24.8107 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: 17 Dec 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 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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