REG-BARCLAYS PLC Form 8.3 - NortonLifeLock Inc.
13/09/2021 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: 10 September 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: 1,433,977 0.25% 530,354 0.09%
(2) Cash-settled derivatives:
167,653 0.03% 1,028,322 0.18%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
TOTAL: 1,602,130 0.28% 1,560,776 0.27%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 139,000 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: 139,000 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 3 27.3066 USD
USD 0.01 common Purchase 4 27.3600 USD
USD 0.01 common Purchase 4 27.2925 USD
USD 0.01 common Purchase 6 27.3500 USD
USD 0.01 common Purchase 11 27.2759 USD
USD 0.01 common Purchase 40 27.2000 USD
USD 0.01 common Purchase 45 27.4197 USD
USD 0.01 common Purchase 100 27.2900 USD
USD 0.01 common Purchase 100 27.4300 USD
USD 0.01 common Purchase 111 27.4182 USD
USD 0.01 common Purchase 117 27.2640 USD
USD 0.01 common Purchase 150 23.2000 EUR
USD 0.01 common Purchase 200 27.2700 USD
USD 0.01 common Purchase 400 27.2325 USD
USD 0.01 common Purchase 462 27.2158 USD
USD 0.01 common Purchase 605 27.2951 USD
USD 0.01 common Purchase 610 27.3150 USD
USD 0.01 common Purchase 625 27.2933 USD
USD 0.01 common Purchase 700 27.2628 USD
USD 0.01 common Purchase 700 27.3300 USD
USD 0.01 common Purchase 919 27.2959 USD
USD 0.01 common Purchase 1,021 27.3036 USD
USD 0.01 common Purchase 1,200 27.3274 USD
USD 0.01 common Purchase 1,400 27.2978 USD
USD 0.01 common Purchase 1,543 27.2495 USD
USD 0.01 common Purchase 2,148 27.2393 USD
USD 0.01 common Purchase 2,154 27.3053 USD
USD 0.01 common Purchase 2,392 27.3085 USD
USD 0.01 common Purchase 2,447 27.2865 USD
USD 0.01 common Purchase 2,501 27.2987 USD
USD 0.01 common Purchase 2,632 27.2862 USD
USD 0.01 common Purchase 2,805 27.3052 USD
USD 0.01 common Purchase 2,901 27.2844 USD
USD 0.01 common Purchase 3,313 27.3004 USD
USD 0.01 common Purchase 3,411 27.2992 USD
USD 0.01 common Purchase 3,530 27.2917 USD
USD 0.01 common Purchase 3,798 27.2781 USD
USD 0.01 common Purchase 5,100 27.2915 USD
USD 0.01 common Purchase 5,224 27.3074 USD
USD 0.01 common Purchase 5,308 27.2903 USD
USD 0.01 common Purchase 6,331 27.3000 USD
USD 0.01 common Purchase 6,646 27.2854 USD
USD 0.01 common Purchase 11,874 27.2639 USD
USD 0.01 common Purchase 12,599 27.2719 USD
USD 0.01 common Purchase 13,868 27.2870 USD
USD 0.01 common Purchase 14,852 27.2829 USD
USD 0.01 common Purchase 22,249 27.2734 USD
USD 0.01 common Purchase 33,493 27.2600 USD
USD 0.01 common Purchase 37,187 27.2810 USD
USD 0.01 common Purchase 39,779 27.2577 USD
USD 0.01 common Purchase 40,520 27.1700 USD
USD 0.01 common Purchase 56,100 27.2837 USD
USD 0.01 common Sale 1 27.2850 USD
USD 0.01 common Sale 2 27.3500 USD
USD 0.01 common Sale 3 27.3066 USD
USD 0.01 common Sale 4 27.1925 USD
USD 0.01 common Sale 10 27.2685 USD
USD 0.01 common Sale 21 27.2647 USD
USD 0.01 common Sale 40 27.2000 USD
USD 0.01 common Sale 150 23.2000 EUR
USD 0.01 common Sale 298 27.3800 USD
USD 0.01 common Sale 406 27.3150 USD
USD 0.01 common Sale 462 27.2158 USD
USD 0.01 common Sale 500 27.2780 USD
USD 0.01 common Sale 547 27.2305 USD
USD 0.01 common Sale 700 27.2800 USD
USD 0.01 common Sale 900 27.3000 USD
USD 0.01 common Sale 1,000 27.2870 USD
USD 0.01 common Sale 1,010 27.2709 USD
USD 0.01 common Sale 1,200 27.3274 USD
USD 0.01 common Sale 1,527 27.3130 USD
USD 0.01 common Sale 2,992 27.2983 USD
USD 0.01 common Sale 3,278 27.2731 USD
USD 0.01 common Sale 5,952 27.2767 USD
USD 0.01 common Sale 6,718 27.2705 USD
USD 0.01 common Sale 8,029 27.2611 USD
USD 0.01 common Sale 8,638 27.2845 USD
USD 0.01 common Sale 25,097 27.2701 USD
USD 0.01 common Sale 49,355 27.2837 USD
USD 0.01 common Sale 49,453 27.3044 USD
USD 0.01 common Sale 50,848 27.2600 USD
USD 0.01 common Sale 56,796 27.2595 USD
USD 0.01 common Sale 81,040 27.1700 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: 13 Sep 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=52490384&newsitemid=20210913005410&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=ed6763cbb9bf7694bf5274fd5ba9733c)
.
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=52490384&newsitemid=20210913005410&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=63857bd2ba6af06271130d83b42d2e01)
.
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(https://www.businesswire.com/news/home/20210913005410/en/)
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