REG-BARCLAYS PLC Form 8.3 - NortonLifeLock Inc.
24/11/2021 18:15
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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: 23 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: 1,656,085 0.28% 906,685 0.16%
(2) Cash-settled derivatives:
814,572 0.14% 1,310,292 0.23%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 2,100 0.00%
TOTAL: 2,470,657 0.42% 2,219,077 0.38%
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 2 24.4800 USD
USD 0.01 common Purchase 20 24.5715 USD
USD 0.01 common Purchase 60 24.7050 USD
USD 0.01 common Purchase 100 24.7000 USD
USD 0.01 common Purchase 100 24.5500 USD
USD 0.01 common Purchase 100 24.7250 USD
USD 0.01 common Purchase 100 24.7300 USD
USD 0.01 common Purchase 137 24.7136 USD
USD 0.01 common Purchase 178 21.7350 EUR
USD 0.01 common Purchase 200 24.7175 USD
USD 0.01 common Purchase 206 24.7130 USD
USD 0.01 common Purchase 246 21.7050 EUR
USD 0.01 common Purchase 300 24.7200 USD
USD 0.01 common Purchase 300 24.7100 USD
USD 0.01 common Purchase 300 24.4966 USD
USD 0.01 common Purchase 439 24.4857 USD
USD 0.01 common Purchase 983 24.5163 USD
USD 0.01 common Purchase 1,031 24.6169 USD
USD 0.01 common Purchase 1,524 24.5531 USD
USD 0.01 common Purchase 1,730 24.6246 USD
USD 0.01 common Purchase 2,022 24.5563 USD
USD 0.01 common Purchase 2,994 24.6789 USD
USD 0.01 common Purchase 5,318 24.7371 USD
USD 0.01 common Purchase 5,462 24.5188 USD
USD 0.01 common Purchase 5,730 24.6282 USD
USD 0.01 common Purchase 6,633 24.6682 USD
USD 0.01 common Purchase 8,277 24.6235 USD
USD 0.01 common Purchase 11,184 24.6044 USD
USD 0.01 common Purchase 13,483 24.6490 USD
USD 0.01 common Purchase 29,173 24.6422 USD
USD 0.01 common Purchase 30,028 24.7500 USD
USD 0.01 common Purchase 33,913 24.6507 USD
USD 0.01 common Purchase 88,724 24.7499 USD
USD 0.01 common Sale 6 24.3867 USD
USD 0.01 common Sale 7 24.6314 USD
USD 0.01 common Sale 16 24.7350 USD
USD 0.01 common Sale 16 24.7800 USD
USD 0.01 common Sale 48 24.7300 USD
USD 0.01 common Sale 48 24.7233 USD
USD 0.01 common Sale 76 24.7144 USD
USD 0.01 common Sale 80 24.7600 USD
USD 0.01 common Sale 80 24.7200 USD
USD 0.01 common Sale 92 24.7100 USD
USD 0.01 common Sale 100 24.7450 USD
USD 0.01 common Sale 100 24.4700 USD
USD 0.01 common Sale 100 24.5650 USD
USD 0.01 common Sale 100 24.7000 USD
USD 0.01 common Sale 100 24.5400 USD
USD 0.01 common Sale 104 24.6753 USD
USD 0.01 common Sale 176 24.6668 USD
USD 0.01 common Sale 178 21.7350 EUR
USD 0.01 common Sale 180 24.6044 USD
USD 0.01 common Sale 200 24.5325 USD
USD 0.01 common Sale 246 21.7050 EUR
USD 0.01 common Sale 300 24.4750 USD
USD 0.01 common Sale 300 24.5000 USD
USD 0.01 common Sale 377 24.6488 USD
USD 0.01 common Sale 379 24.5372 USD
USD 0.01 common Sale 400 24.5275 USD
USD 0.01 common Sale 400 24.5500 USD
USD 0.01 common Sale 400 24.5700 USD
USD 0.01 common Sale 400 24.5925 USD
USD 0.01 common Sale 401 24.7330 USD
USD 0.01 common Sale 600 24.5633 USD
USD 0.01 common Sale 634 24.6456 USD
USD 0.01 common Sale 674 24.5504 USD
USD 0.01 common Sale 1,049 24.6901 USD
USD 0.01 common Sale 1,462 24.5424 USD
USD 0.01 common Sale 1,897 24.5777 USD
USD 0.01 common Sale 2,294 24.7141 USD
USD 0.01 common Sale 2,637 24.5731 USD
USD 0.01 common Sale 2,681 24.6324 USD
USD 0.01 common Sale 3,200 24.5043 USD
USD 0.01 common Sale 5,377 24.5947 USD
USD 0.01 common Sale 8,106 24.6850 USD
USD 0.01 common Sale 10,060 24.6855 USD
USD 0.01 common Sale 10,426 24.7480 USD
USD 0.01 common Sale 10,799 24.6564 USD
USD 0.01 common Sale 15,157 24.6612 USD
USD 0.01 common Sale 19,702 24.7500 USD
USD 0.01 common Sale 23,327 24.6371 USD
USD 0.01 common Sale 35,566 24.6264 USD
USD 0.01 common Sale 89,967 24.7494 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: 24 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 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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