REG-BARCLAYS PLC Form 8.3 - NortonLifeLock Inc.
01/12/2021 12:00
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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: 30 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: 1,695,352 0.29% 901,882 0.16%
(2) Cash-settled derivatives:
656,716 0.11% 3,023,718 0.52%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 2,100 0.00%
TOTAL: 2,352,068 0.40% 3,927,700 0.68%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 386,000 0.07% 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: 386,000 0.07% 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 24.8200 USD
USD 0.01 common Purchase 3 24.8600 USD
USD 0.01 common Purchase 6 25.0066 USD
USD 0.01 common Purchase 10 24.9150 USD
USD 0.01 common Purchase 10 24.9345 USD
USD 0.01 common Purchase 10 24.8875 USD
USD 0.01 common Purchase 14 24.9500 USD
USD 0.01 common Purchase 18 25.0211 USD
USD 0.01 common Purchase 20 24.9360 USD
USD 0.01 common Purchase 27 24.8700 USD
USD 0.01 common Purchase 30 25.0513 USD
USD 0.01 common Purchase 30 24.9943 USD
USD 0.01 common Purchase 32 25.1287 USD
USD 0.01 common Purchase 34 25.0297 USD
USD 0.01 common Purchase 40 25.0535 USD
USD 0.01 common Purchase 40 25.0685 USD
USD 0.01 common Purchase 40 25.0410 USD
USD 0.01 common Purchase 42 25.0000 USD
USD 0.01 common Purchase 42 25.0590 USD
USD 0.01 common Purchase 54 24.8877 USD
USD 0.01 common Purchase 60 25.0920 USD
USD 0.01 common Purchase 62 25.0312 USD
USD 0.01 common Purchase 66 25.0418 USD
USD 0.01 common Purchase 67 25.0450 USD
USD 0.01 common Purchase 100 24.9700 USD
USD 0.01 common Purchase 100 25.3600 USD
USD 0.01 common Purchase 106 24.9000 USD
USD 0.01 common Purchase 121 25.2300 USD
USD 0.01 common Purchase 127 24.8851 USD
USD 0.01 common Purchase 129 22.1806 EUR
USD 0.01 common Purchase 200 25.3775 USD
USD 0.01 common Purchase 207 24.8571 USD
USD 0.01 common Purchase 300 25.0166 USD
USD 0.01 common Purchase 320 25.2206 USD
USD 0.01 common Purchase 356 25.0371 USD
USD 0.01 common Purchase 400 25.0650 USD
USD 0.01 common Purchase 476 24.8909 USD
USD 0.01 common Purchase 680 25.0227 USD
USD 0.01 common Purchase 700 25.2142 USD
USD 0.01 common Purchase 711 24.9019 USD
USD 0.01 common Purchase 1,047 24.8501 USD
USD 0.01 common Purchase 1,070 25.2215 USD
USD 0.01 common Purchase 1,100 25.3518 USD
USD 0.01 common Purchase 1,466 25.3257 USD
USD 0.01 common Purchase 1,563 25.2145 USD
USD 0.01 common Purchase 2,897 24.9343 USD
USD 0.01 common Purchase 3,000 25.3170 USD
USD 0.01 common Purchase 3,441 25.0246 USD
USD 0.01 common Purchase 4,173 24.8854 USD
USD 0.01 common Purchase 5,382 24.9605 USD
USD 0.01 common Purchase 7,548 25.2174 USD
USD 0.01 common Purchase 27,684 25.0503 USD
USD 0.01 common Purchase 31,046 25.0472 USD
USD 0.01 common Purchase 40,477 24.8570 USD
USD 0.01 common Purchase 48,082 24.9108 USD
USD 0.01 common Purchase 179,343 24.8500 USD
USD 0.01 common Purchase 236,920 25.0063 USD
USD 0.01 common Sale 2 25.1750 USD
USD 0.01 common Sale 10 24.8875 USD
USD 0.01 common Sale 22 24.8425 USD
USD 0.01 common Sale 22 24.8825 USD
USD 0.01 common Sale 22 24.9400 USD
USD 0.01 common Sale 33 24.9566 USD
USD 0.01 common Sale 33 24.9133 USD
USD 0.01 common Sale 33 24.8900 USD
USD 0.01 common Sale 42 25.0000 USD
USD 0.01 common Sale 55 24.9300 USD
USD 0.01 common Sale 56 24.9600 USD
USD 0.01 common Sale 62 25.0312 USD
USD 0.01 common Sale 100 24.9700 USD
USD 0.01 common Sale 111 24.9805 USD
USD 0.01 common Sale 129 22.1806 EUR
USD 0.01 common Sale 154 24.8635 USD
USD 0.01 common Sale 167 25.1799 USD
USD 0.01 common Sale 200 24.9950 USD
USD 0.01 common Sale 200 25.0250 USD
USD 0.01 common Sale 300 25.1333 USD
USD 0.01 common Sale 322 24.9000 USD
USD 0.01 common Sale 400 25.1200 USD
USD 0.01 common Sale 492 25.0950 USD
USD 0.01 common Sale 500 25.0900 USD
USD 0.01 common Sale 956 24.8856 USD
USD 0.01 common Sale 1,000 25.0045 USD
USD 0.01 common Sale 1,372 25.0373 USD
USD 0.01 common Sale 1,491 24.8583 USD
USD 0.01 common Sale 2,777 25.1471 USD
USD 0.01 common Sale 3,415 25.1032 USD
USD 0.01 common Sale 4,006 24.8732 USD
USD 0.01 common Sale 4,074 24.9938 USD
USD 0.01 common Sale 5,866 25.3285 USD
USD 0.01 common Sale 6,314 25.0306 USD
USD 0.01 common Sale 7,905 25.0726 USD
USD 0.01 common Sale 10,411 25.0741 USD
USD 0.01 common Sale 11,322 25.2174 USD
USD 0.01 common Sale 23,301 25.0517 USD
USD 0.01 common Sale 24,786 25.0511 USD
USD 0.01 common Sale 39,859 24.8571 USD
USD 0.01 common Sale 44,101 25.0753 USD
USD 0.01 common Sale 58,562 24.9193 USD
USD 0.01 common Sale 174,424 24.9716 USD
USD 0.01 common Sale 176,797 24.8500 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 Dec 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/) .
View source version on businesswire.com:
https://www.businesswire.com/news/home/20211201005541/en/
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