REG-BARCLAYS PLC Form 8.3 - NortonLifeLock Inc.
04/11/2021 13:30
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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: 03 November 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: 1,689,977 0.29% 1,011,962 0.17%
(2) Cash-settled derivatives:
645,961 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: 2,336,438 0.40% 2,042,384 0.35%
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 3 25.4000 USD
USD 0.01 common Purchase 9 25.4016 USD
USD 0.01 common Purchase 9 25.4050 USD
USD 0.01 common Purchase 15 25.4020 USD
USD 0.01 common Purchase 15 25.3840 USD
USD 0.01 common Purchase 21 25.3911 USD
USD 0.01 common Purchase 68 25.4200 USD
USD 0.01 common Purchase 105 25.3900 USD
USD 0.01 common Purchase 127 25.3012 USD
USD 0.01 common Purchase 128 25.3180 USD
USD 0.01 common Purchase 169 25.4077 USD
USD 0.01 common Purchase 190 25.3800 USD
USD 0.01 common Purchase 200 25.4140 USD
USD 0.01 common Purchase 208 25.3711 USD
USD 0.01 common Purchase 296 25.3617 USD
USD 0.01 common Purchase 300 25.3783 USD
USD 0.01 common Purchase 300 25.3100 USD
USD 0.01 common Purchase 301 25.3469 USD
USD 0.01 common Purchase 320 25.3756 USD
USD 0.01 common Purchase 503 25.3046 USD
USD 0.01 common Purchase 504 25.3912 USD
USD 0.01 common Purchase 512 25.3803 USD
USD 0.01 common Purchase 570 25.3070 USD
USD 0.01 common Purchase 605 25.3323 USD
USD 0.01 common Purchase 924 25.3462 USD
USD 0.01 common Purchase 1,415 25.3542 USD
USD 0.01 common Purchase 1,644 25.2743 USD
USD 0.01 common Purchase 1,734 25.3607 USD
USD 0.01 common Purchase 2,205 25.3519 USD
USD 0.01 common Purchase 2,411 25.3910 USD
USD 0.01 common Purchase 4,115 25.3235 USD
USD 0.01 common Purchase 4,752 25.3350 USD
USD 0.01 common Purchase 5,590 25.2300 USD
USD 0.01 common Purchase 6,148 25.3343 USD
USD 0.01 common Purchase 6,594 25.3574 USD
USD 0.01 common Purchase 13,827 25.3412 USD
USD 0.01 common Purchase 15,787 25.3734 USD
USD 0.01 common Purchase 16,416 25.3650 USD
USD 0.01 common Purchase 23,516 25.3624 USD
USD 0.01 common Purchase 37,202 25.3694 USD
USD 0.01 common Purchase 62,069 25.3700 USD
USD 0.01 common Purchase 62,738 25.3593 USD
USD 0.01 common Sale 5 25.2500 USD
USD 0.01 common Sale 5 25.2860 USD
USD 0.01 common Sale 9 25.3066 USD
USD 0.01 common Sale 13 25.3265 USD
USD 0.01 common Sale 15 25.3373 USD
USD 0.01 common Sale 15 25.3076 USD
USD 0.01 common Sale 21 25.3911 USD
USD 0.01 common Sale 68 25.4200 USD
USD 0.01 common Sale 94 25.3267 USD
USD 0.01 common Sale 100 25.4400 USD
USD 0.01 common Sale 100 25.2600 USD
USD 0.01 common Sale 100 25.4140 USD
USD 0.01 common Sale 100 25.3900 USD
USD 0.01 common Sale 112 25.2771 USD
USD 0.01 common Sale 114 25.3964 USD
USD 0.01 common Sale 201 25.2900 USD
USD 0.01 common Sale 201 25.2650 USD
USD 0.01 common Sale 216 25.2740 USD
USD 0.01 common Sale 262 25.3976 USD
USD 0.01 common Sale 307 25.3443 USD
USD 0.01 common Sale 323 25.3339 USD
USD 0.01 common Sale 393 25.3748 USD
USD 0.01 common Sale 400 25.2700 USD
USD 0.01 common Sale 443 25.2635 USD
USD 0.01 common Sale 500 25.2820 USD
USD 0.01 common Sale 534 25.3274 USD
USD 0.01 common Sale 700 25.2800 USD
USD 0.01 common Sale 794 25.3779 USD
USD 0.01 common Sale 801 25.3762 USD
USD 0.01 common Sale 1,475 25.3526 USD
USD 0.01 common Sale 1,547 25.3622 USD
USD 0.01 common Sale 1,698 25.3600 USD
USD 0.01 common Sale 1,700 25.3455 USD
USD 0.01 common Sale 1,869 25.3710 USD
USD 0.01 common Sale 2,624 25.3408 USD
USD 0.01 common Sale 3,361 25.3299 USD
USD 0.01 common Sale 4,869 25.3625 USD
USD 0.01 common Sale 5,503 25.2300 USD
USD 0.01 common Sale 14,379 25.3698 USD
USD 0.01 common Sale 15,787 25.3734 USD
USD 0.01 common Sale 18,706 25.3647 USD
USD 0.01 common Sale 23,132 25.3515 USD
USD 0.01 common Sale 47,241 25.3700 USD
USD 0.01 common Sale 55,501 25.3682 USD
USD 0.01 common Sale 68,622 25.3545 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: 4 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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