REG-BARCLAYS PLC Form 8.3 - NortonLifeLock Inc.
14/12/2021 13:00
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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: 13 December 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: 1,543,709 0.27% 669,715 0.12%
(2) Cash-settled derivatives:
386,198 0.07% 1,513,170 0.26%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 2,100 0.00%
TOTAL: 1,929,907 0.33% 2,184,985 0.38%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 389,000 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: 389,000 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
Convertible Bond Purchase 6,000 122.4375 USD
Convertible Bond Sale 3,000 122.4375 USD
USD 0.01 common Purchase 10 24.4200 USD
USD 0.01 common Purchase 18 24.6950 USD
USD 0.01 common Purchase 100 24.6000 USD
USD 0.01 common Purchase 154 24.6900 USD
USD 0.01 common Purchase 200 24.6775 USD
USD 0.01 common Purchase 300 24.6600 USD
USD 0.01 common Purchase 300 24.6583 USD
USD 0.01 common Purchase 347 24.5585 USD
USD 0.01 common Purchase 500 24.6290 USD
USD 0.01 common Purchase 550 24.6111 USD
USD 0.01 common Purchase 600 24.6350 USD
USD 0.01 common Purchase 632 24.6608 USD
USD 0.01 common Purchase 1,402 24.5596 USD
USD 0.01 common Purchase 1,479 24.6641 USD
USD 0.01 common Purchase 1,987 24.5600 USD
USD 0.01 common Purchase 2,112 24.6508 USD
USD 0.01 common Purchase 2,223 24.6438 USD
USD 0.01 common Purchase 2,276 24.6088 USD
USD 0.01 common Purchase 2,600 24.6588 USD
USD 0.01 common Purchase 2,717 24.6478 USD
USD 0.01 common Purchase 2,929 24.6534 USD
USD 0.01 common Purchase 2,959 24.6603 USD
USD 0.01 common Purchase 2,999 24.6668 USD
USD 0.01 common Purchase 3,130 24.6520 USD
USD 0.01 common Purchase 4,857 24.5832 USD
USD 0.01 common Purchase 4,940 24.4527 USD
USD 0.01 common Purchase 5,365 24.6628 USD
USD 0.01 common Purchase 6,214 24.6495 USD
USD 0.01 common Purchase 6,485 24.6490 USD
USD 0.01 common Purchase 9,118 24.6741 USD
USD 0.01 common Purchase 9,850 24.6739 USD
USD 0.01 common Purchase 16,129 24.6700 USD
USD 0.01 common Purchase 16,800 24.5691 USD
USD 0.01 common Purchase 18,288 24.5700 USD
USD 0.01 common Purchase 20,617 24.5998 USD
USD 0.01 common Purchase 28,539 24.5781 USD
USD 0.01 common Purchase 39,838 24.6504 USD
USD 0.01 common Sale 2 24.7100 USD
USD 0.01 common Sale 3 24.6266 USD
USD 0.01 common Sale 4 24.6725 USD
USD 0.01 common Sale 4 24.6787 USD
USD 0.01 common Sale 5 24.6460 USD
USD 0.01 common Sale 10 24.6565 USD
USD 0.01 common Sale 14 24.6300 USD
USD 0.01 common Sale 14 24.5550 USD
USD 0.01 common Sale 14 24.5650 USD
USD 0.01 common Sale 18 24.4866 USD
USD 0.01 common Sale 28 24.6450 USD
USD 0.01 common Sale 29 24.6850 USD
USD 0.01 common Sale 42 24.6733 USD
USD 0.01 common Sale 42 24.6183 USD
USD 0.01 common Sale 56 24.6012 USD
USD 0.01 common Sale 76 24.6252 USD
USD 0.01 common Sale 84 24.6116 USD
USD 0.01 common Sale 97 24.6609 USD
USD 0.01 common Sale 100 24.6900 USD
USD 0.01 common Sale 100 24.6400 USD
USD 0.01 common Sale 101 24.5456 USD
USD 0.01 common Sale 124 24.6079 USD
USD 0.01 common Sale 200 24.6075 USD
USD 0.01 common Sale 206 24.5406 USD
USD 0.01 common Sale 245 24.6681 USD
USD 0.01 common Sale 300 24.6383 USD
USD 0.01 common Sale 304 24.6443 USD
USD 0.01 common Sale 400 24.5887 USD
USD 0.01 common Sale 400 24.5925 USD
USD 0.01 common Sale 400 24.6525 USD
USD 0.01 common Sale 454 24.5452 USD
USD 0.01 common Sale 500 24.6290 USD
USD 0.01 common Sale 502 24.6800 USD
USD 0.01 common Sale 600 24.6008 USD
USD 0.01 common Sale 700 24.6164 USD
USD 0.01 common Sale 765 24.5907 USD
USD 0.01 common Sale 800 24.6418 USD
USD 0.01 common Sale 887 24.5685 USD
USD 0.01 common Sale 911 24.6389 USD
USD 0.01 common Sale 1,000 24.6215 USD
USD 0.01 common Sale 1,000 24.6130 USD
USD 0.01 common Sale 1,229 24.6288 USD
USD 0.01 common Sale 1,553 24.6099 USD
USD 0.01 common Sale 1,679 24.6462 USD
USD 0.01 common Sale 2,366 24.5710 USD
USD 0.01 common Sale 2,890 24.6496 USD
USD 0.01 common Sale 3,075 24.6722 USD
USD 0.01 common Sale 3,144 24.6513 USD
USD 0.01 common Sale 3,736 24.5597 USD
USD 0.01 common Sale 3,840 24.4100 USD
USD 0.01 common Sale 6,766 24.6747 USD
USD 0.01 common Sale 6,959 24.5282 USD
USD 0.01 common Sale 7,875 24.6767 USD
USD 0.01 common Sale 8,106 24.6700 USD
USD 0.01 common Sale 27,730 24.5700 USD
USD 0.01 common Sale 28,645 24.5855 USD
USD 0.01 common Sale 35,480 24.6438 USD
USD 0.01 common Sale 54,977 24.6499 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: 14 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.
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