REG-BARCLAYS PLC Form 8.3 - NortonLifeLock Inc.
05/08/2021 12:10
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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: 04 August 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: 2,050,773 0.35% 296,624 0.05%
(2) Cash-settled derivatives:
83,335 0.01% 1,279,498 0.22%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
TOTAL: 2,134,608 0.37% 1,578,222 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 1 24.2300 USD
USD 0.01 common Purchase 57 24.2092 USD
USD 0.01 common Purchase 74 24.1601 USD
USD 0.01 common Purchase 82 24.1859 USD
USD 0.01 common Purchase 83 24.1774 USD
USD 0.01 common Purchase 100 24.1500 USD
USD 0.01 common Purchase 101 24.1797 USD
USD 0.01 common Purchase 104 24.1816 USD
USD 0.01 common Purchase 110 24.1812 USD
USD 0.01 common Purchase 117 24.1900 USD
USD 0.01 common Purchase 126 24.2103 USD
USD 0.01 common Purchase 127 24.2207 USD
USD 0.01 common Purchase 155 24.2090 USD
USD 0.01 common Purchase 194 24.1300 USD
USD 0.01 common Purchase 200 24.1700 USD
USD 0.01 common Purchase 200 24.2000 USD
USD 0.01 common Purchase 207 24.2236 USD
USD 0.01 common Purchase 237 24.1384 USD
USD 0.01 common Purchase 400 24.1375 USD
USD 0.01 common Purchase 900 24.1177 USD
USD 0.01 common Purchase 920 24.1400 USD
USD 0.01 common Purchase 1,154 24.1386 USD
USD 0.01 common Purchase 1,550 24.2946 USD
USD 0.01 common Purchase 1,600 24.1968 USD
USD 0.01 common Purchase 1,671 24.1372 USD
USD 0.01 common Purchase 1,799 24.1979 USD
USD 0.01 common Purchase 2,073 24.2134 USD
USD 0.01 common Purchase 2,190 24.2192 USD
USD 0.01 common Purchase 2,538 24.1394 USD
USD 0.01 common Purchase 2,790 24.2171 USD
USD 0.01 common Purchase 3,074 24.2050 USD
USD 0.01 common Purchase 6,614 24.1980 USD
USD 0.01 common Purchase 7,415 24.1346 USD
USD 0.01 common Purchase 8,971 24.1895 USD
USD 0.01 common Purchase 20,600 24.4421 USD
USD 0.01 common Purchase 22,834 24.1899 USD
USD 0.01 common Purchase 28,979 24.1508 USD
USD 0.01 common Purchase 33,079 24.1716 USD
USD 0.01 common Purchase 35,857 24.1599 USD
USD 0.01 common Purchase 47,259 24.2200 USD
USD 0.01 common Purchase 64,155 24.2331 USD
USD 0.01 common Purchase 79,658 24.2241 USD
USD 0.01 common Purchase 89,795 24.1705 USD
USD 0.01 common Purchase 450,000 24.3322 USD
USD 0.01 common Purchase 509,754 24.3195 USD
USD 0.01 common Sale 78 24.1983 USD
USD 0.01 common Sale 89 24.2687 USD
USD 0.01 common Sale 100 24.1600 USD
USD 0.01 common Sale 100 24.4200 USD
USD 0.01 common Sale 100 24.2500 USD
USD 0.01 common Sale 105 24.1843 USD
USD 0.01 common Sale 107 24.5000 USD
USD 0.01 common Sale 164 24.0960 USD
USD 0.01 common Sale 195 24.1760 USD
USD 0.01 common Sale 200 24.2000 USD
USD 0.01 common Sale 200 24.1900 USD
USD 0.01 common Sale 200 24.3800 USD
USD 0.01 common Sale 208 24.1643 USD
USD 0.01 common Sale 247 24.2026 USD
USD 0.01 common Sale 288 24.4005 USD
USD 0.01 common Sale 299 24.1917 USD
USD 0.01 common Sale 300 24.3933 USD
USD 0.01 common Sale 300 24.1216 USD
USD 0.01 common Sale 300 24.1500 USD
USD 0.01 common Sale 301 24.4900 USD
USD 0.01 common Sale 338 24.2111 USD
USD 0.01 common Sale 494 24.1863 USD
USD 0.01 common Sale 529 24.2327 USD
USD 0.01 common Sale 600 24.3150 USD
USD 0.01 common Sale 600 24.1308 USD
USD 0.01 common Sale 800 24.1200 USD
USD 0.01 common Sale 900 24.1544 USD
USD 0.01 common Sale 1,211 24.1680 USD
USD 0.01 common Sale 1,296 24.2214 USD
USD 0.01 common Sale 1,300 24.2353 USD
USD 0.01 common Sale 1,350 24.2820 USD
USD 0.01 common Sale 1,394 24.1180 USD
USD 0.01 common Sale 1,398 24.4503 USD
USD 0.01 common Sale 1,400 24.4021 USD
USD 0.01 common Sale 1,422 24.2317 USD
USD 0.01 common Sale 1,529 24.2332 USD
USD 0.01 common Sale 1,749 24.1052 USD
USD 0.01 common Sale 1,836 24.2016 USD
USD 0.01 common Sale 1,900 24.2271 USD
USD 0.01 common Sale 2,038 24.2180 USD
USD 0.01 common Sale 2,198 24.3228 USD
USD 0.01 common Sale 2,200 24.2238 USD
USD 0.01 common Sale 2,200 24.3236 USD
USD 0.01 common Sale 2,669 24.2245 USD
USD 0.01 common Sale 2,672 24.2084 USD
USD 0.01 common Sale 2,783 24.2164 USD
USD 0.01 common Sale 2,900 24.2170 USD
USD 0.01 common Sale 3,857 24.2222 USD
USD 0.01 common Sale 3,876 24.1060 USD
USD 0.01 common Sale 4,029 24.2435 USD
USD 0.01 common Sale 4,166 24.4501 USD
USD 0.01 common Sale 4,572 24.0838 USD
USD 0.01 common Sale 4,668 24.1373 USD
USD 0.01 common Sale 5,088 24.1647 USD
USD 0.01 common Sale 5,100 24.2232 USD
USD 0.01 common Sale 5,441 24.1333 USD
USD 0.01 common Sale 6,614 24.1980 USD
USD 0.01 common Sale 7,163 24.3359 USD
USD 0.01 common Sale 10,300 24.4421 USD
USD 0.01 common Sale 10,445 24.2363 USD
USD 0.01 common Sale 11,479 24.2192 USD
USD 0.01 common Sale 11,638 24.3974 USD
USD 0.01 common Sale 13,174 24.2365 USD
USD 0.01 common Sale 14,438 24.1546 USD
USD 0.01 common Sale 19,900 24.1462 USD
USD 0.01 common Sale 29,440 24.2200 USD
USD 0.01 common Sale 31,948 24.2184 USD
USD 0.01 common Sale 36,638 24.2225 USD
USD 0.01 common Sale 43,065 24.1628 USD
USD 0.01 common Sale 52,547 24.1681 USD
USD 0.01 common Sale 56,066 24.2239 USD
USD 0.01 common Sale 72,099 24.1846 USD
USD 0.01 common Sale 82,465 24.1796 USD
USD 0.01 common Sale 94,458 24.2234 USD
USD 0.01 common Sale 100,800 24.2218 USD
USD 0.01 common Sale 195,945 24.1313 USD
USD 0.01 common Sale 450,000 24.3322 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: 5 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/) .
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