REG-BARCLAYS PLC Form 8.3 - NortonLifeLock Inc.
06/10/2021 11:25
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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: 05 October 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: 1,471,434 0.25% 658,126 0.11%
(2) Cash-settled derivatives:
604,344 0.10% 1,028,322 0.18%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
TOTAL: 2,076,278 0.36% 1,688,548 0.29%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 146,000 0.03% 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: 146,000 0.03% 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 7 25.4000 USD
USD 0.01 common Purchase 10 25.3050 USD
USD 0.01 common Purchase 12 25.2750 USD
USD 0.01 common Purchase 12 25.3550 USD
USD 0.01 common Purchase 24 25.2650 USD
USD 0.01 common Purchase 24 25.3075 USD
USD 0.01 common Purchase 36 25.3033 USD
USD 0.01 common Purchase 36 25.2983 USD
USD 0.01 common Purchase 38 25.3950 USD
USD 0.01 common Purchase 38 25.3800 USD
USD 0.01 common Purchase 38 25.4100 USD
USD 0.01 common Purchase 39 25.2800 USD
USD 0.01 common Purchase 48 25.2975 USD
USD 0.01 common Purchase 48 25.2912 USD
USD 0.01 common Purchase 60 25.2880 USD
USD 0.01 common Purchase 88 21.9150 EUR
USD 0.01 common Purchase 98 25.3000 USD
USD 0.01 common Purchase 100 25.3200 USD
USD 0.01 common Purchase 100 25.3850 USD
USD 0.01 common Purchase 101 21.7300 EUR
USD 0.01 common Purchase 212 25.2700 USD
USD 0.01 common Purchase 225 25.2344 USD
USD 0.01 common Purchase 700 25.2257 USD
USD 0.01 common Purchase 898 25.2769 USD
USD 0.01 common Purchase 1,900 25.2610 USD
USD 0.01 common Purchase 2,447 25.2372 USD
USD 0.01 common Purchase 4,000 25.2836 USD
USD 0.01 common Purchase 5,579 25.1243 USD
USD 0.01 common Purchase 6,124 25.2093 USD
USD 0.01 common Purchase 7,999 25.2895 USD
USD 0.01 common Purchase 10,353 25.1797 USD
USD 0.01 common Purchase 20,288 25.2500 USD
USD 0.01 common Purchase 20,394 25.2335 USD
USD 0.01 common Purchase 40,166 25.2673 USD
USD 0.01 common Purchase 42,365 25.2899 USD
USD 0.01 common Purchase 58,174 25.2463 USD
USD 0.01 common Purchase 104,302 25.2505 USD
USD 0.01 common Sale 1 25.3350 USD
USD 0.01 common Sale 3 25.2650 USD
USD 0.01 common Sale 88 21.9150 EUR
USD 0.01 common Sale 98 25.3000 USD
USD 0.01 common Sale 100 25.2653 USD
USD 0.01 common Sale 100 25.3200 USD
USD 0.01 common Sale 100 25.4100 USD
USD 0.01 common Sale 101 21.7300 EUR
USD 0.01 common Sale 103 25.0199 USD
USD 0.01 common Sale 203 25.0888 USD
USD 0.01 common Sale 290 25.0674 USD
USD 0.01 common Sale 300 25.2166 USD
USD 0.01 common Sale 305 25.2171 USD
USD 0.01 common Sale 307 25.0912 USD
USD 0.01 common Sale 381 25.2055 USD
USD 0.01 common Sale 385 25.3384 USD
USD 0.01 common Sale 400 25.1650 USD
USD 0.01 common Sale 406 25.2325 USD
USD 0.01 common Sale 425 25.1368 USD
USD 0.01 common Sale 456 25.2931 USD
USD 0.01 common Sale 458 25.2513 USD
USD 0.01 common Sale 500 25.2516 USD
USD 0.01 common Sale 500 25.2100 USD
USD 0.01 common Sale 567 25.2486 USD
USD 0.01 common Sale 666 25.3357 USD
USD 0.01 common Sale 700 25.2257 USD
USD 0.01 common Sale 932 25.2130 USD
USD 0.01 common Sale 1,000 25.2590 USD
USD 0.01 common Sale 1,060 25.2741 USD
USD 0.01 common Sale 1,110 25.2194 USD
USD 0.01 common Sale 1,330 25.2900 USD
USD 0.01 common Sale 1,446 25.1592 USD
USD 0.01 common Sale 1,597 25.2748 USD
USD 0.01 common Sale 1,700 25.2655 USD
USD 0.01 common Sale 1,800 25.2736 USD
USD 0.01 common Sale 1,900 25.2936 USD
USD 0.01 common Sale 1,900 25.2726 USD
USD 0.01 common Sale 2,155 25.2153 USD
USD 0.01 common Sale 2,300 25.2776 USD
USD 0.01 common Sale 2,300 25.2567 USD
USD 0.01 common Sale 2,447 25.2372 USD
USD 0.01 common Sale 2,547 25.2367 USD
USD 0.01 common Sale 2,621 25.2411 USD
USD 0.01 common Sale 2,830 25.2576 USD
USD 0.01 common Sale 3,338 25.2468 USD
USD 0.01 common Sale 4,068 25.0811 USD
USD 0.01 common Sale 4,105 25.2537 USD
USD 0.01 common Sale 5,401 25.1674 USD
USD 0.01 common Sale 5,921 25.1579 USD
USD 0.01 common Sale 6,064 25.2082 USD
USD 0.01 common Sale 10,099 25.2837 USD
USD 0.01 common Sale 17,198 25.3172 USD
USD 0.01 common Sale 17,335 25.2500 USD
USD 0.01 common Sale 19,687 25.2753 USD
USD 0.01 common Sale 31,420 25.2604 USD
USD 0.01 common Sale 56,915 25.2561 USD
USD 0.01 common Sale 104,402 25.2506 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: 6 Oct 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=52504576&newsitemid=20211006005522&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=21f30941101c3ea2b8f77bce2dd7a005)
.
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=52504576&newsitemid=20211006005522&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=7ba8848489bd108084d747e8a06136d1)
.
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https://www.businesswire.com/news/home/20211006005522/en/
(https://www.businesswire.com/news/home/20211006005522/en/)
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