REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC AMENDMENT
28/07/2021 16:55
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Form 8.3 - NORTONLIFELOCK INC AMENDMENT
FORM 8.3 Amendment to Purchases
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: 26 July 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: 1,869,118 0.32% 303,489 0.05%
(2) Cash-settled derivatives:
140,739 0.02% 1,279,498 0.22%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
TOTAL: 2,010,357 0.35% 1,585,087 0.27%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 129,000 0.02% 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: 129,000 0.02% 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 14 25.6850 USD
USD 0.01 common Purchase 28 25.6900 USD
USD 0.01 common Purchase 28 25.6775 USD
USD 0.01 common Purchase 29 25.6500 USD
USD 0.01 common Purchase 35 25.6790 USD
USD 0.01 common Purchase 35 25.6700 USD
USD 0.01 common Purchase 100 25.6550 USD
USD 0.01 common Purchase 100 25.6650 USD
USD 0.01 common Purchase 177 25.6585 USD
USD 0.01 common Purchase 209 25.6747 USD
USD 0.01 common Purchase 294 25.6750 USD
USD 0.01 common Purchase 301 25.8450 USD
USD 0.01 common Purchase 393 25.8000 USD
USD 0.01 common Purchase 500 25.8010 USD
USD 0.01 common Purchase 1,235 25.6937 USD
USD 0.01 common Purchase 1,266 25.7132 USD
USD 0.01 common Purchase 1,763 25.7641 USD
USD 0.01 common Purchase 1,825 25.6617 USD
USD 0.01 common Purchase 2,970 25.7140 USD
USD 0.01 common Purchase 3,877 25.6793 USD
USD 0.01 common Purchase 4,339 25.7098 USD
USD 0.01 common Purchase 4,974 25.7582 USD
USD 0.01 common Purchase 8,509 25.7556 USD
USD 0.01 common Purchase 8,752 25.7624 USD
USD 0.01 common Purchase 9,519 25.7689 USD
USD 0.01 common Purchase 9,599 25.8447 USD
USD 0.01 common Purchase 11,029 25.7314 USD
USD 0.01 common Purchase 12,455 25.7849 USD
USD 0.01 common Purchase 28,562 25.7082 USD
USD 0.01 common Purchase 41,119 25.6797 USD
USD 0.01 common Purchase 112,309 25.6800 USD
USD 0.01 common Sale 100 25.6500 USD
USD 0.01 common Sale 117 25.7950 USD
USD 0.01 common Sale 200 25.8700 USD
USD 0.01 common Sale 214 25.6840 USD
USD 0.01 common Sale 336 25.7450 USD
USD 0.01 common Sale 400 25.8337 USD
USD 0.01 common Sale 499 25.6978 USD
USD 0.01 common Sale 500 25.6725 USD
USD 0.01 common Sale 501 25.8450 USD
USD 0.01 common Sale 686 25.7775 USD
USD 0.01 common Sale 800 25.8531 USD
USD 0.01 common Sale 905 25.8421 USD
USD 0.01 common Sale 1,001 25.8415 USD
USD 0.01 common Sale 1,060 25.8148 USD
USD 0.01 common Sale 1,120 25.8016 USD
USD 0.01 common Sale 1,138 25.7768 USD
USD 0.01 common Sale 1,194 25.8308 USD
USD 0.01 common Sale 1,266 25.8320 USD
USD 0.01 common Sale 1,625 25.7788 USD
USD 0.01 common Sale 1,648 25.8013 USD
USD 0.01 common Sale 1,818 25.7921 USD
USD 0.01 common Sale 2,789 25.7826 USD
USD 0.01 common Sale 3,666 25.8000 USD
USD 0.01 common Sale 3,834 25.7217 USD
USD 0.01 common Sale 4,445 25.6785 USD
USD 0.01 common Sale 7,121 25.7780 USD
USD 0.01 common Sale 7,680 25.7636 USD
USD 0.01 common Sale 9,248 25.7823 USD
USD 0.01 common Sale 17,059 25.7182 USD
USD 0.01 common Sale 34,667 25.7099 USD
USD 0.01 common Sale 47,202 25.6902 USD
USD 0.01 common Sale 106,241 25.6800 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: 28 Jul 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
(https://cts.businesswire.com/ct/CT?id=smartlink&url=http%3A%2F%2Fwww.thetakeoverpanel.org.uk%2F&esheet=52465835&newsitemid=20210728005757&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=1e321cc0b7608223db70d48496116eea)
.
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 Call Options Purchased 500 27.0000 American 21 Jan 2022
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=52465835&newsitemid=20210728005757&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=c7c90c26fe5772686ec0e02c68256884)
.
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