REG-BARCLAYS PLC Form 8.3 - NortonLifeLock Inc.
02/08/2021 15:30
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Form 8.3 - NortonLifeLock Inc.
FORM 8.3
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: 30 July 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: 2,015,666 0.35% 302,049 0.05%
(2) Cash-settled derivatives:
101,747 0.02% 1,279,498 0.22%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
TOTAL: 2,117,913 0.36% 1,583,647 0.27%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 128,000 0.02% 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: 128,000 0.02% 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 24 24.8000 USD
USD 0.01 common Purchase 100 24.8450 USD
USD 0.01 common Purchase 100 24.7400 USD
USD 0.01 common Purchase 100 24.8250 USD
USD 0.01 common Purchase 135 24.7603 USD
USD 0.01 common Purchase 200 24.7600 USD
USD 0.01 common Purchase 200 24.8050 USD
USD 0.01 common Purchase 200 24.8175 USD
USD 0.01 common Purchase 200 24.8125 USD
USD 0.01 common Purchase 200 24.8100 USD
USD 0.01 common Purchase 205 24.7058 USD
USD 0.01 common Purchase 209 24.7100 USD
USD 0.01 common Purchase 236 24.8172 USD
USD 0.01 common Purchase 379 24.6100 USD
USD 0.01 common Purchase 400 24.7900 USD
USD 0.01 common Purchase 500 24.8400 USD
USD 0.01 common Purchase 514 24.7300 USD
USD 0.01 common Purchase 532 24.8300 USD
USD 0.01 common Purchase 680 24.7250 USD
USD 0.01 common Purchase 890 24.7305 USD
USD 0.01 common Purchase 1,000 24.8160 USD
USD 0.01 common Purchase 1,000 24.7730 USD
USD 0.01 common Purchase 1,160 24.8168 USD
USD 0.01 common Purchase 1,500 24.8120 USD
USD 0.01 common Purchase 1,500 24.7473 USD
USD 0.01 common Purchase 3,115 24.8099 USD
USD 0.01 common Purchase 3,759 24.8202 USD
USD 0.01 common Purchase 4,457 24.6457 USD
USD 0.01 common Purchase 4,491 24.8007 USD
USD 0.01 common Purchase 7,227 24.8065 USD
USD 0.01 common Purchase 7,686 24.8092 USD
USD 0.01 common Purchase 7,991 24.7919 USD
USD 0.01 common Purchase 8,872 24.7380 USD
USD 0.01 common Purchase 13,059 24.8054 USD
USD 0.01 common Purchase 15,072 24.8019 USD
USD 0.01 common Purchase 15,634 24.7927 USD
USD 0.01 common Purchase 15,879 24.8182 USD
USD 0.01 common Purchase 18,095 24.7865 USD
USD 0.01 common Purchase 19,379 24.7880 USD
USD 0.01 common Purchase 20,643 24.7978 USD
USD 0.01 common Purchase 25,154 24.8195 USD
USD 0.01 common Purchase 25,659 24.7956 USD
USD 0.01 common Purchase 25,886 24.7859 USD
USD 0.01 common Purchase 29,528 24.7849 USD
USD 0.01 common Purchase 30,440 24.6549 USD
USD 0.01 common Purchase 38,387 24.7916 USD
USD 0.01 common Purchase 43,694 24.8200 USD
USD 0.01 common Purchase 65,033 24.7951 USD
USD 0.01 common Purchase 119,284 24.7944 USD
USD 0.01 common Purchase 127,814 24.8137 USD
USD 0.01 common Sale 9 24.7455 USD
USD 0.01 common Sale 14 24.7300 USD
USD 0.01 common Sale 32 24.6300 USD
USD 0.01 common Sale 49 24.6150 USD
USD 0.01 common Sale 68 24.7900 USD
USD 0.01 common Sale 79 24.8178 USD
USD 0.01 common Sale 100 24.6600 USD
USD 0.01 common Sale 100 24.8250 USD
USD 0.01 common Sale 100 24.5850 USD
USD 0.01 common Sale 100 24.8300 USD
USD 0.01 common Sale 100 24.6900 USD
USD 0.01 common Sale 135 24.7603 USD
USD 0.01 common Sale 156 24.7741 USD
USD 0.01 common Sale 200 24.6350 USD
USD 0.01 common Sale 300 24.6933 USD
USD 0.01 common Sale 400 24.7675 USD
USD 0.01 common Sale 400 24.6700 USD
USD 0.01 common Sale 400 24.6637 USD
USD 0.01 common Sale 500 24.6370 USD
USD 0.01 common Sale 579 24.6100 USD
USD 0.01 common Sale 600 24.6608 USD
USD 0.01 common Sale 680 24.7250 USD
USD 0.01 common Sale 700 24.7778 USD
USD 0.01 common Sale 960 24.8600 USD
USD 0.01 common Sale 1,071 24.6520 USD
USD 0.01 common Sale 1,169 24.8206 USD
USD 0.01 common Sale 1,300 24.8580 USD
USD 0.01 common Sale 3,260 24.8344 USD
USD 0.01 common Sale 5,132 24.7873 USD
USD 0.01 common Sale 5,597 24.8106 USD
USD 0.01 common Sale 11,072 24.7403 USD
USD 0.01 common Sale 11,937 24.8248 USD
USD 0.01 common Sale 15,276 24.8186 USD
USD 0.01 common Sale 18,256 24.8202 USD
USD 0.01 common Sale 23,850 24.7962 USD
USD 0.01 common Sale 25,993 24.7993 USD
USD 0.01 common Sale 27,928 24.7856 USD
USD 0.01 common Sale 34,496 24.8116 USD
USD 0.01 common Sale 39,506 24.6708 USD
USD 0.01 common Sale 46,543 24.8200 USD
USD 0.01 common Sale 72,215 24.8128 USD
USD 0.01 common Sale 356,968 24.7939 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: 2 Aug 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/) .
View source version on businesswire.com:
https://www.businesswire.com/news/home/20210802005496/en/
(https://www.businesswire.com/news/home/20210802005496/en/)
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