REG-BARCLAYS PLC Form 8.3 - NortonLifeLock Inc.
20/01/2022 14:55
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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: 19 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: 1,274,778 0.22% 585,257 0.10%
(2) Cash-settled derivatives:
473,807 0.08% 1,513,170 0.26%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 2,100 0.00%
TOTAL: 1,748,585 0.30% 2,100,527 0.36%
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 3 23.5250 EUR
USD 0.01 common Purchase 23 26.5404 USD
USD 0.01 common Purchase 39 26.7700 USD
USD 0.01 common Purchase 41 26.8860 USD
USD 0.01 common Purchase 41 26.4402 USD
USD 0.01 common Purchase 48 26.4000 USD
USD 0.01 common Purchase 72 26.4333 USD
USD 0.01 common Purchase 96 26.4712 USD
USD 0.01 common Purchase 100 23.5500 EUR
USD 0.01 common Purchase 100 26.3300 USD
USD 0.01 common Purchase 100 26.7300 USD
USD 0.01 common Purchase 127 26.4857 USD
USD 0.01 common Purchase 136 26.3483 USD
USD 0.01 common Purchase 177 26.5692 USD
USD 0.01 common Purchase 179 26.4308 USD
USD 0.01 common Purchase 200 26.5000 USD
USD 0.01 common Purchase 230 26.4374 USD
USD 0.01 common Purchase 246 26.4131 USD
USD 0.01 common Purchase 248 26.3808 USD
USD 0.01 common Purchase 254 26.5973 USD
USD 0.01 common Purchase 272 26.5763 USD
USD 0.01 common Purchase 400 26.4812 USD
USD 0.01 common Purchase 409 26.3726 USD
USD 0.01 common Purchase 502 26.5584 USD
USD 0.01 common Purchase 689 26.4300 USD
USD 0.01 common Purchase 1,043 26.4968 USD
USD 0.01 common Purchase 1,333 26.9100 USD
USD 0.01 common Purchase 1,429 26.4674 USD
USD 0.01 common Purchase 2,257 26.4796 USD
USD 0.01 common Purchase 3,570 26.3605 USD
USD 0.01 common Purchase 3,860 26.4998 USD
USD 0.01 common Purchase 6,713 26.3600 USD
USD 0.01 common Purchase 7,550 26.7500 USD
USD 0.01 common Purchase 7,691 26.5143 USD
USD 0.01 common Purchase 9,492 26.5026 USD
USD 0.01 common Purchase 9,623 26.4555 USD
USD 0.01 common Purchase 24,156 26.3910 USD
USD 0.01 common Purchase 27,966 26.5163 USD
USD 0.01 common Purchase 41,811 26.3928 USD
USD 0.01 common Purchase 47,978 26.5277 USD
USD 0.01 common Purchase 68,934 26.4009 USD
USD 0.01 common Sale 3 23.5250 EUR
USD 0.01 common Sale 28 26.8300 USD
USD 0.01 common Sale 51 26.4900 USD
USD 0.01 common Sale 82 26.8860 USD
USD 0.01 common Sale 100 26.3300 USD
USD 0.01 common Sale 100 23.5500 EUR
USD 0.01 common Sale 100 26.6500 USD
USD 0.01 common Sale 177 26.5033 USD
USD 0.01 common Sale 182 26.3800 USD
USD 0.01 common Sale 195 26.3861 USD
USD 0.01 common Sale 200 26.6600 USD
USD 0.01 common Sale 200 26.5850 USD
USD 0.01 common Sale 314 26.5666 USD
USD 0.01 common Sale 314 26.3900 USD
USD 0.01 common Sale 322 26.6134 USD
USD 0.01 common Sale 351 26.4613 USD
USD 0.01 common Sale 402 26.3902 USD
USD 0.01 common Sale 502 26.6172 USD
USD 0.01 common Sale 548 26.3816 USD
USD 0.01 common Sale 615 26.4339 USD
USD 0.01 common Sale 852 26.4359 USD
USD 0.01 common Sale 852 26.5477 USD
USD 0.01 common Sale 954 26.6632 USD
USD 0.01 common Sale 1,252 26.4084 USD
USD 0.01 common Sale 1,333 26.9100 USD
USD 0.01 common Sale 1,455 26.4208 USD
USD 0.01 common Sale 1,600 26.7046 USD
USD 0.01 common Sale 1,642 26.4077 USD
USD 0.01 common Sale 3,074 26.4123 USD
USD 0.01 common Sale 3,486 26.4182 USD
USD 0.01 common Sale 4,003 26.6173 USD
USD 0.01 common Sale 4,022 26.4034 USD
USD 0.01 common Sale 4,210 26.6824 USD
USD 0.01 common Sale 4,538 26.4603 USD
USD 0.01 common Sale 4,883 26.3927 USD
USD 0.01 common Sale 4,918 26.4029 USD
USD 0.01 common Sale 5,104 26.4761 USD
USD 0.01 common Sale 6,017 26.5517 USD
USD 0.01 common Sale 7,529 26.3696 USD
USD 0.01 common Sale 7,802 26.3600 USD
USD 0.01 common Sale 8,337 26.4620 USD
USD 0.01 common Sale 9,623 26.4555 USD
USD 0.01 common Sale 15,100 26.7500 USD
USD 0.01 common Sale 16,688 26.3628 USD
USD 0.01 common Sale 27,059 26.4142 USD
USD 0.01 common Sale 30,515 26.5158 USD
USD 0.01 common Sale 38,429 26.4985 USD
USD 0.01 common Sale 55,306 26.3901 USD
(b) Cash-settled derivative transactions
Class of Product Nature of dealing Number of Price per
relevant description reference unit
security securities
USD 0.01 common SWAP Long 1,977 26.6409 USD
(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: 20 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
(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/20220120005634/en/
(https://www.businesswire.com/news/home/20220120005634/en/)
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