REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC - Amendment
05/08/2021 13:15
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Form 8.3 - NORTONLIFELOCK INC - Amendment
FORM 8.3 Amendment to Purchase & Sales
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 interests and short positions disclosed, if
different from 1(a):
The naming of nominee or vehicle companies is insufficient. For a trust, the
trustee(s), settlor and beneficiaries must be named.
(c) Name of offeror/offeree in relation to whose relevant securities this form NORTONLIFELOCK INC
relates:
Use a separate form for each offeror/offeree
(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: 03 August 2021
For an opening position disclosure, state the latest practicable date prior to
the disclosure
(f) In addition to the company in 1(c) above, is the discloser making YES AVAST PLC
disclosures in respect of any other party to the offer?
If it is a cash offer or possible cash offer, state “N/A”
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: 2,008,349 0.35% 298,540 0.05%
(2) Cash-settled derivatives:
83,335 0.01% 1,279,498 0.22%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
TOTAL: 2,092,184 0.36% 1,580,138 0.27%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 128,000 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: 128,000 0.02% 0 0.00%
0
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 24.5500 USD
USD 0.01 common Purchase 50 24.8800 USD
USD 0.01 common Purchase 100 24.7400 USD
USD 0.01 common Purchase 100 24.5800 USD
USD 0.01 common Purchase 150 24.9000 USD
USD 0.01 common Purchase 205 24.5860 USD
USD 0.01 common Purchase 300 24.7600 USD
USD 0.01 common Purchase 558 24.7417 USD
USD 0.01 common Purchase 620 24.7381 USD
USD 0.01 common Purchase 650 24.6811 USD
USD 0.01 common Purchase 817 24.5424 USD
USD 0.01 common Purchase 925 24.7279 USD
USD 0.01 common Purchase 1,295 24.5037 USD
USD 0.01 common Purchase 1,328 24.7611 USD
USD 0.01 common Purchase 1,510 24.6349 USD
USD 0.01 common Purchase 1,519 24.7394 USD
USD 0.01 common Purchase 4,021 24.5040 USD
USD 0.01 common Purchase 5,942 24.5886 USD
USD 0.01 common Purchase 5,984 24.6205 USD
USD 0.01 common Purchase 6,316 24.5043 USD
USD 0.01 common Purchase 7,784 24.7059 USD
USD 0.01 common Purchase 10,978 24.4823 USD
USD 0.01 common Purchase 31,771 24.6052 USD
USD 0.01 common Purchase 34,772 24.5000 USD
USD 0.01 common Purchase 56,522 24.6904 USD
USD 0.01 common Purchase 62,686 24.5097 USD
USD 0.01 common Purchase 66,568 24.4943 USD
USD 0.01 common Sale 31 24.5416 USD
USD 0.01 common Sale 33 24.4342 USD
USD 0.01 common Sale 37 24.4629 USD
USD 0.01 common Sale 40 24.4462 USD
USD 0.01 common Sale 70 24.4500 USD
USD 0.01 common Sale 85 24.5029 USD
USD 0.01 common Sale 100 24.7600 USD
USD 0.01 common Sale 100 24.5150 USD
USD 0.01 common Sale 100 24.7400 USD
USD 0.01 common Sale 100 24.4950 USD
USD 0.01 common Sale 200 24.5800 USD
USD 0.01 common Sale 300 24.6466 USD
USD 0.01 common Sale 517 24.6354 USD
USD 0.01 common Sale 800 24.7062 USD
USD 0.01 common Sale 805 24.7250 USD
USD 0.01 common Sale 805 24.7500 USD
USD 0.01 common Sale 847 24.6443 USD
USD 0.01 common Sale 912 24.7376 USD
USD 0.01 common Sale 1,038 24.8521 USD
USD 0.01 common Sale 1,070 24.7625 USD
USD 0.01 common Sale 1,136 24.5898 USD
USD 0.01 common Sale 1,274 24.6810 USD
USD 0.01 common Sale 1,328 24.6295 USD
USD 0.01 common Sale 1,334 24.6523 USD
USD 0.01 common Sale 1,495 24.7245 USD
USD 0.01 common Sale 2,037 24.6000 USD
USD 0.01 common Sale 2,259 24.6413 USD
USD 0.01 common Sale 2,779 24.6182 USD
USD 0.01 common Sale 3,079 24.5247 USD
USD 0.01 common Sale 3,947 24.6310 USD
USD 0.01 common Sale 3,950 24.6515 USD
USD 0.01 common Sale 5,787 24.7813 USD
USD 0.01 common Sale 6,216 24.5045 USD
USD 0.01 common Sale 6,686 24.6785 USD
USD 0.01 common Sale 6,746 24.6835 USD
USD 0.01 common Sale 9,739 24.7116 USD
USD 0.01 common Sale 11,182 24.5037 USD
USD 0.01 common Sale 46,371 24.6770 USD
USD 0.01 common Sale 84,279 24.4955 USD
USD 0.01 common Sale 89,142 24.5000 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: 5 August 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
Full name of person making disclosure: Barclays PLC.
Name of offeror/offeree in relation to whose relevant securities the NORTONLIFELOCK INC
disclosure 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
(http://www.thetakeoverpanel.org.uk/)
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