REG-BARCLAYS PLC Form 8.3 - NortonLifeLock Inc.
09/11/2021 11:55
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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: 08 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: 1,793,336 0.31% 990,015 0.17%
(2) Cash-settled derivatives:
645,961 0.11% 2,615,348 0.45%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
TOTAL: 2,439,797 0.42% 3,607,463 0.62%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 376,000 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: 376,000 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 1 25.7000 USD
USD 0.01 common Purchase 200 25.7800 USD
USD 0.01 common Purchase 200 25.3825 USD
USD 0.01 common Purchase 300 25.7933 USD
USD 0.01 common Purchase 310 25.8096 USD
USD 0.01 common Purchase 352 25.1800 USD
USD 0.01 common Purchase 352 25.3641 USD
USD 0.01 common Purchase 400 25.7325 USD
USD 0.01 common Purchase 400 25.7212 USD
USD 0.01 common Purchase 500 25.6500 USD
USD 0.01 common Purchase 504 25.3571 USD
USD 0.01 common Purchase 599 25.7837 USD
USD 0.01 common Purchase 621 25.7426 USD
USD 0.01 common Purchase 637 25.7788 USD
USD 0.01 common Purchase 647 25.7472 USD
USD 0.01 common Purchase 695 25.6933 USD
USD 0.01 common Purchase 700 25.6392 USD
USD 0.01 common Purchase 786 25.6799 USD
USD 0.01 common Purchase 844 25.7874 USD
USD 0.01 common Purchase 907 25.8158 USD
USD 0.01 common Purchase 929 25.7345 USD
USD 0.01 common Purchase 1,142 25.5710 USD
USD 0.01 common Purchase 2,143 25.4508 USD
USD 0.01 common Purchase 2,771 25.6509 USD
USD 0.01 common Purchase 3,082 25.6806 USD
USD 0.01 common Purchase 3,137 25.5633 USD
USD 0.01 common Purchase 3,528 25.6325 USD
USD 0.01 common Purchase 3,642 25.5049 USD
USD 0.01 common Purchase 3,794 25.7865 USD
USD 0.01 common Purchase 4,112 25.5143 USD
USD 0.01 common Purchase 4,262 25.5978 USD
USD 0.01 common Purchase 4,323 25.5042 USD
USD 0.01 common Purchase 4,475 25.5753 USD
USD 0.01 common Purchase 4,857 25.6044 USD
USD 0.01 common Purchase 5,851 25.5484 USD
USD 0.01 common Purchase 7,411 25.7450 USD
USD 0.01 common Purchase 7,550 25.6234 USD
USD 0.01 common Purchase 12,559 25.4170 USD
USD 0.01 common Purchase 14,496 25.8800 USD
USD 0.01 common Purchase 16,610 25.5288 USD
USD 0.01 common Purchase 24,273 25.6901 USD
USD 0.01 common Purchase 24,336 25.7349 USD
USD 0.01 common Purchase 25,519 25.4614 USD
USD 0.01 common Purchase 30,774 25.5530 USD
USD 0.01 common Purchase 32,334 25.4163 USD
USD 0.01 common Purchase 48,676 25.8590 USD
USD 0.01 common Purchase 53,180 25.5892 USD
USD 0.01 common Purchase 170,153 25.6052 USD
USD 0.01 common Sale 20 25.7700 USD
USD 0.01 common Sale 20 25.7800 USD
USD 0.01 common Sale 40 25.7750 USD
USD 0.01 common Sale 48 25.7650 USD
USD 0.01 common Sale 100 25.6300 USD
USD 0.01 common Sale 100 25.3600 USD
USD 0.01 common Sale 100 25.5350 USD
USD 0.01 common Sale 100 25.6350 USD
USD 0.01 common Sale 100 25.3500 USD
USD 0.01 common Sale 111 25.7361 USD
USD 0.01 common Sale 153 25.7300 USD
USD 0.01 common Sale 200 25.6375 USD
USD 0.01 common Sale 200 25.3250 USD
USD 0.01 common Sale 300 25.6500 USD
USD 0.01 common Sale 300 25.6233 USD
USD 0.01 common Sale 352 25.3641 USD
USD 0.01 common Sale 352 25.1800 USD
USD 0.01 common Sale 363 25.6217 USD
USD 0.01 common Sale 423 25.3925 USD
USD 0.01 common Sale 451 25.7520 USD
USD 0.01 common Sale 537 25.1309 USD
USD 0.01 common Sale 900 25.3683 USD
USD 0.01 common Sale 1,502 25.4475 USD
USD 0.01 common Sale 1,511 25.6047 USD
USD 0.01 common Sale 1,943 25.4405 USD
USD 0.01 common Sale 2,845 25.5941 USD
USD 0.01 common Sale 3,335 25.6768 USD
USD 0.01 common Sale 3,601 25.6778 USD
USD 0.01 common Sale 4,246 25.6056 USD
USD 0.01 common Sale 4,576 25.6288 USD
USD 0.01 common Sale 5,130 25.8464 USD
USD 0.01 common Sale 5,190 25.7829 USD
USD 0.01 common Sale 7,524 25.4774 USD
USD 0.01 common Sale 12,413 25.3706 USD
USD 0.01 common Sale 12,560 25.8800 USD
USD 0.01 common Sale 13,383 25.6454 USD
USD 0.01 common Sale 14,659 25.6145 USD
USD 0.01 common Sale 15,115 25.7247 USD
USD 0.01 common Sale 21,060 25.3729 USD
USD 0.01 common Sale 21,501 25.4783 USD
USD 0.01 common Sale 27,089 25.7181 USD
USD 0.01 common Sale 42,516 25.8781 USD
USD 0.01 common Sale 46,581 25.5816 USD
USD 0.01 common Sale 100,229 25.5959 USD
USD 0.01 common Sale 136,746 25.5972 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: 9 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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