REG-BARCLAYS PLC Form 8.3 - NortonLifeLock Inc.
15/09/2021 11:05
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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: 14 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: 1,426,091 0.25% 505,515 0.09%
(2) Cash-settled derivatives:
160,930 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: 1,587,521 0.27% 1,535,937 0.26%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 141,000 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: 141,000 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 8 26.1750 USD
USD 0.01 common Purchase 10 26.2200 USD
USD 0.01 common Purchase 11 26.1577 USD
USD 0.01 common Purchase 100 26.2300 USD
USD 0.01 common Purchase 100 26.2050 USD
USD 0.01 common Purchase 102 26.2090 USD
USD 0.01 common Purchase 115 26.1405 USD
USD 0.01 common Purchase 125 26.1660 USD
USD 0.01 common Purchase 200 26.3600 USD
USD 0.01 common Purchase 200 26.2550 USD
USD 0.01 common Purchase 200 26.1125 USD
USD 0.01 common Purchase 200 26.2350 USD
USD 0.01 common Purchase 201 26.2000 USD
USD 0.01 common Purchase 216 26.1500 USD
USD 0.01 common Purchase 250 26.1850 USD
USD 0.01 common Purchase 299 26.2100 USD
USD 0.01 common Purchase 300 26.1966 USD
USD 0.01 common Purchase 312 26.2123 USD
USD 0.01 common Purchase 400 26.2125 USD
USD 0.01 common Purchase 400 26.2825 USD
USD 0.01 common Purchase 400 26.1775 USD
USD 0.01 common Purchase 419 26.1200 USD
USD 0.01 common Purchase 435 26.1900 USD
USD 0.01 common Purchase 493 26.1530 USD
USD 0.01 common Purchase 500 26.1220 USD
USD 0.01 common Purchase 500 26.1600 USD
USD 0.01 common Purchase 508 26.1518 USD
USD 0.01 common Purchase 600 26.1883 USD
USD 0.01 common Purchase 600 26.3300 USD
USD 0.01 common Purchase 625 26.1280 USD
USD 0.01 common Purchase 724 26.1865 USD
USD 0.01 common Purchase 742 26.1691 USD
USD 0.01 common Purchase 900 26.2600 USD
USD 0.01 common Purchase 1,110 26.1888 USD
USD 0.01 common Purchase 1,500 26.1950 USD
USD 0.01 common Purchase 1,557 26.1769 USD
USD 0.01 common Purchase 2,800 26.2033 USD
USD 0.01 common Purchase 3,047 26.2044 USD
USD 0.01 common Purchase 4,691 26.2608 USD
USD 0.01 common Purchase 4,754 26.2274 USD
USD 0.01 common Purchase 5,892 26.6200 USD
USD 0.01 common Purchase 8,033 26.1754 USD
USD 0.01 common Purchase 11,450 26.3000 USD
USD 0.01 common Purchase 12,994 26.2424 USD
USD 0.01 common Purchase 13,165 26.3049 USD
USD 0.01 common Purchase 18,160 26.2096 USD
USD 0.01 common Purchase 18,238 26.2136 USD
USD 0.01 common Purchase 37,081 26.1800 USD
USD 0.01 common Purchase 49,683 26.1799 USD
USD 0.01 common Purchase 50,957 26.2094 USD
USD 0.01 common Sale 2 26.4200 USD
USD 0.01 common Sale 3 26.1600 USD
USD 0.01 common Sale 3 26.2050 USD
USD 0.01 common Sale 3 26.1450 USD
USD 0.01 common Sale 6 26.1150 USD
USD 0.01 common Sale 9 26.1633 USD
USD 0.01 common Sale 12 26.1200 USD
USD 0.01 common Sale 15 26.1580 USD
USD 0.01 common Sale 16 26.1659 USD
USD 0.01 common Sale 27 26.1344 USD
USD 0.01 common Sale 27 26.1222 USD
USD 0.01 common Sale 82 26.5478 USD
USD 0.01 common Sale 100 26.3200 USD
USD 0.01 common Sale 100 26.3850 USD
USD 0.01 common Sale 103 26.3319 USD
USD 0.01 common Sale 300 26.2433 USD
USD 0.01 common Sale 500 26.5700 USD
USD 0.01 common Sale 500 26.3480 USD
USD 0.01 common Sale 600 26.3300 USD
USD 0.01 common Sale 714 26.6200 USD
USD 0.01 common Sale 742 26.1691 USD
USD 0.01 common Sale 787 26.2463 USD
USD 0.01 common Sale 910 26.1896 USD
USD 0.01 common Sale 2,254 26.1700 USD
USD 0.01 common Sale 2,926 26.3245 USD
USD 0.01 common Sale 6,125 26.6032 USD
USD 0.01 common Sale 6,782 26.1826 USD
USD 0.01 common Sale 9,639 26.2966 USD
USD 0.01 common Sale 11,764 26.2313 USD
USD 0.01 common Sale 18,040 26.2208 USD
USD 0.01 common Sale 19,260 26.2097 USD
USD 0.01 common Sale 21,722 26.1795 USD
USD 0.01 common Sale 22,828 26.3000 USD
USD 0.01 common Sale 25,258 26.1764 USD
USD 0.01 common Sale 43,267 26.1800 USD
USD 0.01 common Sale 55,247 26.2089 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: 15 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
(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/20210915005544/en/
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