REG-BARCLAYS PLC Form 8.3 - NortonLifeLock Inc.
01/11/2021 10:40
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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: 29 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: 1,647,008 0.28% 1,052,733 0.18%
(2) Cash-settled derivatives:
665,053 0.11% 1,028,322 0.18%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
TOTAL: 2,312,561 0.40% 2,083,155 0.36%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 361,000 0.06% 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: 361,000 0.06% 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 12 25.4525 USD
USD 0.01 common Purchase 12 25.8150 USD
USD 0.01 common Purchase 12 25.4400 USD
USD 0.01 common Purchase 18 25.4333 USD
USD 0.01 common Purchase 28 25.9700 USD
USD 0.01 common Purchase 31 26.0000 USD
USD 0.01 common Purchase 52 25.8642 USD
USD 0.01 common Purchase 69 25.7200 USD
USD 0.01 common Purchase 91 26.0305 USD
USD 0.01 common Purchase 100 25.7100 USD
USD 0.01 common Purchase 100 25.4050 USD
USD 0.01 common Purchase 112 25.4650 USD
USD 0.01 common Purchase 126 25.8258 USD
USD 0.01 common Purchase 128 25.5695 USD
USD 0.01 common Purchase 169 25.6614 USD
USD 0.01 common Purchase 171 25.4550 USD
USD 0.01 common Purchase 200 25.8100 USD
USD 0.01 common Purchase 200 25.4600 USD
USD 0.01 common Purchase 224 25.5099 USD
USD 0.01 common Purchase 248 26.0077 USD
USD 0.01 common Purchase 300 25.7466 USD
USD 0.01 common Purchase 400 25.5600 USD
USD 0.01 common Purchase 500 25.5370 USD
USD 0.01 common Purchase 716 25.4527 USD
USD 0.01 common Purchase 750 25.5269 USD
USD 0.01 common Purchase 797 25.4446 USD
USD 0.01 common Purchase 1,100 25.7400 USD
USD 0.01 common Purchase 1,900 25.4860 USD
USD 0.01 common Purchase 1,931 25.4660 USD
USD 0.01 common Purchase 1,935 25.4971 USD
USD 0.01 common Purchase 2,388 25.4394 USD
USD 0.01 common Purchase 2,982 25.4978 USD
USD 0.01 common Purchase 4,039 25.7382 USD
USD 0.01 common Purchase 6,959 25.8022 USD
USD 0.01 common Purchase 11,102 25.4552 USD
USD 0.01 common Purchase 14,144 25.6618 USD
USD 0.01 common Purchase 14,699 25.6617 USD
USD 0.01 common Purchase 16,911 25.4553 USD
USD 0.01 common Purchase 73,570 25.5607 USD
USD 0.01 common Purchase 128,493 25.4500 USD
USD 0.01 common Sale 31 26.0000 USD
USD 0.01 common Sale 48 26.0400 USD
USD 0.01 common Sale 69 25.7200 USD
USD 0.01 common Sale 100 25.9300 USD
USD 0.01 common Sale 200 25.4600 USD
USD 0.01 common Sale 235 25.4569 USD
USD 0.01 common Sale 471 25.6835 USD
USD 0.01 common Sale 1,164 25.5278 USD
USD 0.01 common Sale 2,117 25.4381 USD
USD 0.01 common Sale 2,867 25.4891 USD
USD 0.01 common Sale 6,125 25.6741 USD
USD 0.01 common Sale 8,472 25.6508 USD
USD 0.01 common Sale 12,138 25.6969 USD
USD 0.01 common Sale 13,563 25.6735 USD
USD 0.01 common Sale 13,946 25.4641 USD
USD 0.01 common Sale 36,221 25.5917 USD
USD 0.01 common Sale 46,523 25.5471 USD
USD 0.01 common Sale 143,275 25.4500 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: 1 Nov 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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