REG-BARCLAYS PLC Form 8.3 - NortonLifeLock Inc.
17/01/2022 13:50
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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: 14 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: 1,321,873 0.23% 540,911 0.09%
(2) Cash-settled derivatives:
354,830 0.06% 1,513,170 0.26%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 2,100 0.00%
TOTAL: 1,676,703 0.29% 2,056,181 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 1 26.5500 USD
USD 0.01 common Purchase 6 26.7750 USD
USD 0.01 common Purchase 9 26.9000 USD
USD 0.01 common Purchase 14 26.8700 USD
USD 0.01 common Purchase 26 26.8650 USD
USD 0.01 common Purchase 26 26.8850 USD
USD 0.01 common Purchase 32 26.8900 USD
USD 0.01 common Purchase 40 26.5000 USD
USD 0.01 common Purchase 55 26.7600 USD
USD 0.01 common Purchase 64 26.8875 USD
USD 0.01 common Purchase 75 26.8750 USD
USD 0.01 common Purchase 78 26.7916 USD
USD 0.01 common Purchase 86 26.8950 USD
USD 0.01 common Purchase 90 26.8350 USD
USD 0.01 common Purchase 91 23.0450 EUR
USD 0.01 common Purchase 100 26.7400 USD
USD 0.01 common Purchase 112 26.8405 USD
USD 0.01 common Purchase 132 26.5983 USD
USD 0.01 common Purchase 154 26.8450 USD
USD 0.01 common Purchase 170 26.7576 USD
USD 0.01 common Purchase 200 26.4400 USD
USD 0.01 common Purchase 201 26.6991 USD
USD 0.01 common Purchase 211 26.3952 USD
USD 0.01 common Purchase 264 26.8804 USD
USD 0.01 common Purchase 267 26.3900 USD
USD 0.01 common Purchase 418 26.4300 USD
USD 0.01 common Purchase 808 26.4124 USD
USD 0.01 common Purchase 917 26.6721 USD
USD 0.01 common Purchase 2,800 26.8500 USD
USD 0.01 common Purchase 3,144 26.7957 USD
USD 0.01 common Purchase 5,243 26.8077 USD
USD 0.01 common Purchase 8,367 26.7998 USD
USD 0.01 common Purchase 8,831 26.8020 USD
USD 0.01 common Purchase 15,144 26.6458 USD
USD 0.01 common Purchase 33,987 26.8800 USD
USD 0.01 common Purchase 75,598 26.7869 USD
USD 0.01 common Sale 3 26.3900 USD
USD 0.01 common Sale 6 26.7750 USD
USD 0.01 common Sale 9 26.9000 USD
USD 0.01 common Sale 19 26.5800 USD
USD 0.01 common Sale 55 26.7600 USD
USD 0.01 common Sale 63 26.8466 USD
USD 0.01 common Sale 91 23.0450 EUR
USD 0.01 common Sale 100 26.8000 USD
USD 0.01 common Sale 110 26.7550 USD
USD 0.01 common Sale 110 26.7450 USD
USD 0.01 common Sale 110 26.7700 USD
USD 0.01 common Sale 155 26.7650 USD
USD 0.01 common Sale 203 26.7083 USD
USD 0.01 common Sale 228 26.7902 USD
USD 0.01 common Sale 231 26.8399 USD
USD 0.01 common Sale 335 26.8378 USD
USD 0.01 common Sale 412 26.8607 USD
USD 0.01 common Sale 600 26.8100 USD
USD 0.01 common Sale 600 26.7950 USD
USD 0.01 common Sale 701 26.6697 USD
USD 0.01 common Sale 800 26.7981 USD
USD 0.01 common Sale 982 26.8013 USD
USD 0.01 common Sale 1,000 26.7980 USD
USD 0.01 common Sale 1,001 26.8046 USD
USD 0.01 common Sale 1,188 26.8322 USD
USD 0.01 common Sale 1,210 26.7886 USD
USD 0.01 common Sale 2,108 26.6545 USD
USD 0.01 common Sale 2,800 26.8500 USD
USD 0.01 common Sale 3,263 26.8261 USD
USD 0.01 common Sale 5,397 26.8726 USD
USD 0.01 common Sale 5,481 26.7878 USD
USD 0.01 common Sale 5,500 26.8344 USD
USD 0.01 common Sale 5,573 26.7879 USD
USD 0.01 common Sale 8,598 26.8066 USD
USD 0.01 common Sale 16,301 26.7794 USD
USD 0.01 common Sale 16,449 26.6407 USD
USD 0.01 common Sale 20,975 26.7589 USD
USD 0.01 common Sale 21,947 26.7758 USD
USD 0.01 common Sale 36,742 26.8800 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: 17 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=52563692&newsitemid=20220117005270&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=238b14d526b2da32ef95e186cf4541e9)
.
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=52563692&newsitemid=20220117005270&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=27b424dde0e17e8c37bdc3d0f1e95572)
.
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(https://www.businesswire.com/news/home/20220117005270/en/)
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