REG-BARCLAYS PLC Form 8.3 - NortonLifeLock Inc.
06/01/2022 12:10
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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: 05 January 2022
(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: 1,355,572 0.23% 545,695 0.09%
(2) Cash-settled derivatives:
274,830 0.05% 1,513,170 0.26%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 2,100 0.00%
TOTAL: 1,630,402 0.28% 2,060,965 0.35%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 390,000 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: 390,000 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 53 26.2500 USD
USD 0.01 common Purchase 102 26.3700 USD
USD 0.01 common Purchase 109 26.3823 USD
USD 0.01 common Purchase 188 26.2911 USD
USD 0.01 common Purchase 200 26.1850 USD
USD 0.01 common Purchase 212 26.3200 USD
USD 0.01 common Purchase 376 26.2088 USD
USD 0.01 common Purchase 414 26.4110 USD
USD 0.01 common Purchase 500 26.3760 USD
USD 0.01 common Purchase 660 26.3636 USD
USD 0.01 common Purchase 700 26.3728 USD
USD 0.01 common Purchase 900 26.3800 USD
USD 0.01 common Purchase 1,351 26.2399 USD
USD 0.01 common Purchase 2,265 26.2625 USD
USD 0.01 common Purchase 3,200 26.1900 USD
USD 0.01 common Purchase 3,701 26.2748 USD
USD 0.01 common Purchase 4,185 26.4722 USD
USD 0.01 common Purchase 6,859 26.2380 USD
USD 0.01 common Purchase 7,045 26.2735 USD
USD 0.01 common Purchase 9,375 26.2000 USD
USD 0.01 common Purchase 10,354 26.2647 USD
USD 0.01 common Purchase 14,388 26.2020 USD
USD 0.01 common Purchase 17,739 26.2239 USD
USD 0.01 common Purchase 65,933 26.2261 USD
USD 0.01 common Purchase 77,307 26.2711 USD
USD 0.01 common Sale 4 26.5500 USD
USD 0.01 common Sale 9 26.2400 USD
USD 0.01 common Sale 9 26.2200 USD
USD 0.01 common Sale 13 26.3200 USD
USD 0.01 common Sale 18 26.2150 USD
USD 0.01 common Sale 18 26.2050 USD
USD 0.01 common Sale 36 26.1925 USD
USD 0.01 common Sale 45 26.1970 USD
USD 0.01 common Sale 51 26.1950 USD
USD 0.01 common Sale 60 26.3000 USD
USD 0.01 common Sale 83 26.3828 USD
USD 0.01 common Sale 100 26.4100 USD
USD 0.01 common Sale 100 26.2350 USD
USD 0.01 common Sale 105 26.2185 USD
USD 0.01 common Sale 109 26.2300 USD
USD 0.01 common Sale 127 26.2100 USD
USD 0.01 common Sale 151 26.2097 USD
USD 0.01 common Sale 199 26.3170 USD
USD 0.01 common Sale 300 26.2249 USD
USD 0.01 common Sale 316 26.2713 USD
USD 0.01 common Sale 410 26.2181 USD
USD 0.01 common Sale 420 26.3117 USD
USD 0.01 common Sale 622 26.1980 USD
USD 0.01 common Sale 649 26.2267 USD
USD 0.01 common Sale 995 26.3672 USD
USD 0.01 common Sale 1,299 26.2213 USD
USD 0.01 common Sale 1,681 26.2415 USD
USD 0.01 common Sale 2,461 26.2661 USD
USD 0.01 common Sale 2,839 26.2772 USD
USD 0.01 common Sale 3,200 26.1900 USD
USD 0.01 common Sale 3,339 26.1850 USD
USD 0.01 common Sale 3,651 26.5300 USD
USD 0.01 common Sale 4,065 26.2792 USD
USD 0.01 common Sale 4,117 26.2036 USD
USD 0.01 common Sale 5,130 26.4708 USD
USD 0.01 common Sale 6,120 26.2508 USD
USD 0.01 common Sale 6,594 26.2727 USD
USD 0.01 common Sale 9,283 26.2000 USD
USD 0.01 common Sale 11,641 26.2093 USD
USD 0.01 common Sale 11,826 26.2026 USD
USD 0.01 common Sale 62,524 26.2234 USD
USD 0.01 common Sale 87,646 26.2598 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: 6 Jan 2022
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
(https://cts.businesswire.com/ct/CT?id=smartlink&url=http%3A%2F%2Fwww.thetakeoverpanel.org.uk%2F&esheet=52558918&newsitemid=20220106005477&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=f0eb418668349539028d0b248eda7c91)
.
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
(https://cts.businesswire.com/ct/CT?id=smartlink&url=http%3A%2F%2Fwww.thetakeoverpanel.org.uk%2F&esheet=52558918&newsitemid=20220106005477&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=abb0659bd1766d01cfdfdd71b7315245)
.
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