REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC - Amendment
23/08/2021 11:25
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Form 8.3 - NORTONLIFELOCK INC - Amendment
FORM 8.3 Amendment to Sales and 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 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: 19 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: 1,614,414 0.28% 586,232 0.10%
(2) Cash-settled derivatives:
110,636 0.02% 1,279,498 0.22%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 261,900 0.05% 13,500 0.00%
TOTAL: 1,986,950 0.34% 1,879,230 0.32%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 136,000 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: 136,000 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 1 25.5500 USD
USD 0.01 common Purchase 10 25.7800 USD
USD 0.01 common Purchase 10 25.8450 USD
USD 0.01 common Purchase 11 25.9700 USD
USD 0.01 common Purchase 13 25.9050 USD
USD 0.01 common Purchase 14 25.7450 USD
USD 0.01 common Purchase 15 25.7000 USD
USD 0.01 common Purchase 24 25.7233 USD
USD 0.01 common Purchase 31 25.7259 USD
USD 0.01 common Purchase 35 25.8165 USD
USD 0.01 common Purchase 77 25.7388 USD
USD 0.01 common Purchase 80 25.6700 USD
USD 0.01 common Purchase 100 25.7900 USD
USD 0.01 common Purchase 100 25.6650 USD
USD 0.01 common Purchase 100 25.6600 USD
USD 0.01 common Purchase 111 25.8312 USD
USD 0.01 common Purchase 168 25.8124 USD
USD 0.01 common Purchase 184 25.8331 USD
USD 0.01 common Purchase 200 25.7200 USD
USD 0.01 common Purchase 240 25.7216 USD
USD 0.01 common Purchase 264 25.8693 USD
USD 0.01 common Purchase 293 22.0150 EUR
USD 0.01 common Purchase 300 25.7300 USD
USD 0.01 common Purchase 300 25.6750 USD
USD 0.01 common Purchase 300 25.6766 USD
USD 0.01 common Purchase 314 25.8285 USD
USD 0.01 common Purchase 330 25.8265 USD
USD 0.01 common Purchase 381 25.8655 USD
USD 0.01 common Purchase 433 25.8596 USD
USD 0.01 common Purchase 466 21.5475 EUR
USD 0.01 common Purchase 500 25.7620 USD
USD 0.01 common Purchase 500 25.8200 USD
USD 0.01 common Purchase 500 25.8280 USD
USD 0.01 common Purchase 500 25.8040 USD
USD 0.01 common Purchase 506 25.8782 USD
USD 0.01 common Purchase 508 25.7400 USD
USD 0.01 common Purchase 528 25.8762 USD
USD 0.01 common Purchase 566 25.7789 USD
USD 0.01 common Purchase 569 25.7859 USD
USD 0.01 common Purchase 600 25.7500 USD
USD 0.01 common Purchase 603 25.7853 USD
USD 0.01 common Purchase 627 25.7383 USD
USD 0.01 common Purchase 668 25.8194 USD
USD 0.01 common Purchase 700 25.7485 USD
USD 0.01 common Purchase 700 25.7314 USD
USD 0.01 common Purchase 716 25.6127 USD
USD 0.01 common Purchase 738 25.7496 USD
USD 0.01 common Purchase 913 25.7023 USD
USD 0.01 common Purchase 916 25.6810 USD
USD 0.01 common Purchase 1,010 25.7643 USD
USD 0.01 common Purchase 1,400 25.8628 USD
USD 0.01 common Purchase 1,490 25.7745 USD
USD 0.01 common Purchase 1,498 25.8593 USD
USD 0.01 common Purchase 1,700 25.8461 USD
USD 0.01 common Purchase 1,800 25.8311 USD
USD 0.01 common Purchase 1,847 25.8274 USD
USD 0.01 common Purchase 1,874 25.8359 USD
USD 0.01 common Purchase 2,014 25.8603 USD
USD 0.01 common Purchase 2,461 25.6010 USD
USD 0.01 common Purchase 2,461 25.6809 USD
USD 0.01 common Purchase 2,500 25.8916 USD
USD 0.01 common Purchase 2,620 25.8723 USD
USD 0.01 common Purchase 2,736 25.7351 USD
USD 0.01 common Purchase 3,000 25.6880 USD
USD 0.01 common Purchase 3,272 25.8036 USD
USD 0.01 common Purchase 4,116 25.7895 USD
USD 0.01 common Purchase 5,210 25.7282 USD
USD 0.01 common Purchase 5,450 25.8659 USD
USD 0.01 common Purchase 5,800 25.8245 USD
USD 0.01 common Purchase 6,150 25.6103 USD
USD 0.01 common Purchase 6,656 25.8059 USD
USD 0.01 common Purchase 7,215 25.8294 USD
USD 0.01 common Purchase 7,312 25.6954 USD
USD 0.01 common Purchase 8,047 25.7138 USD
USD 0.01 common Purchase 9,373 25.7097 USD
USD 0.01 common Purchase 13,011 25.7038 USD
USD 0.01 common Purchase 13,900 25.7779 USD
USD 0.01 common Purchase 14,014 25.7116 USD
USD 0.01 common Purchase 14,247 25.8299 USD
USD 0.01 common Purchase 15,042 25.7774 USD
USD 0.01 common Purchase 17,585 25.8146 USD
USD 0.01 common Purchase 22,017 25.8300 USD
USD 0.01 common Purchase 22,875 25.6237 USD
USD 0.01 common Purchase 29,977 25.7410 USD
USD 0.01 common Purchase 35,253 25.8284 USD
USD 0.01 common Purchase 36,363 25.7071 USD
USD 0.01 common Purchase 38,360 25.6719 USD
USD 0.01 common Purchase 123,819 25.8534 USD
USD 0.01 common Purchase 134,848 25.5825 USD
USD 0.01 common Sale 10 25.9000 USD
USD 0.01 common Sale 15 25.5823 USD
USD 0.01 common Sale 28 25.8450 USD
USD 0.01 common Sale 28 25.8425 USD
USD 0.01 common Sale 28 25.8650 USD
USD 0.01 common Sale 42 25.8050 USD
USD 0.01 common Sale 56 25.8412 USD
USD 0.01 common Sale 70 25.8240 USD
USD 0.01 common Sale 98 25.8307 USD
USD 0.01 common Sale 100 25.8500 USD
USD 0.01 common Sale 100 25.6050 USD
USD 0.01 common Sale 100 25.8850 USD
USD 0.01 common Sale 100 25.8800 USD
USD 0.01 common Sale 126 25.8022 USD
USD 0.01 common Sale 142 25.5770 USD
USD 0.01 common Sale 184 25.8331 USD
USD 0.01 common Sale 186 25.8857 USD
USD 0.01 common Sale 200 25.5800 USD
USD 0.01 common Sale 200 25.8600 USD
USD 0.01 common Sale 200 25.6275 USD
USD 0.01 common Sale 214 25.8886 USD
USD 0.01 common Sale 220 25.8950 USD
USD 0.01 common Sale 255 25.8100 USD
USD 0.01 common Sale 293 22.0150 EUR
USD 0.01 common Sale 400 25.8700 USD
USD 0.01 common Sale 466 21.5475 EUR
USD 0.01 common Sale 500 25.6210 USD
USD 0.01 common Sale 522 25.6026 USD
USD 0.01 common Sale 689 25.8387 USD
USD 0.01 common Sale 700 25.6092 USD
USD 0.01 common Sale 856 25.6814 USD
USD 0.01 common Sale 880 25.6723 USD
USD 0.01 common Sale 978 25.6229 USD
USD 0.01 common Sale 1,016 25.5982 USD
USD 0.01 common Sale 1,046 25.7702 USD
USD 0.01 common Sale 1,208 25.7083 USD
USD 0.01 common Sale 1,300 25.8807 USD
USD 0.01 common Sale 1,725 25.6834 USD
USD 0.01 common Sale 1,849 25.7000 USD
USD 0.01 common Sale 1,900 25.6318 USD
USD 0.01 common Sale 2,165 25.7673 USD
USD 0.01 common Sale 2,325 25.7700 USD
USD 0.01 common Sale 2,500 25.9214 USD
USD 0.01 common Sale 3,051 25.6100 USD
USD 0.01 common Sale 4,523 25.8656 USD
USD 0.01 common Sale 4,700 25.5868 USD
USD 0.01 common Sale 5,450 25.8659 USD
USD 0.01 common Sale 5,921 25.8424 USD
USD 0.01 common Sale 9,051 25.8185 USD
USD 0.01 common Sale 9,580 25.7381 USD
USD 0.01 common Sale 10,561 25.7726 USD
USD 0.01 common Sale 12,813 25.8352 USD
USD 0.01 common Sale 13,808 25.6295 USD
USD 0.01 common Sale 14,014 25.7116 USD
USD 0.01 common Sale 14,731 25.8288 USD
USD 0.01 common Sale 16,652 25.8042 USD
USD 0.01 common Sale 16,971 25.8300 USD
USD 0.01 common Sale 17,927 25.8106 USD
USD 0.01 common Sale 22,205 25.8272 USD
USD 0.01 common Sale 28,492 25.7329 USD
USD 0.01 common Sale 134,848 25.5825 USD
USD 0.01 common Sale 275,000 25.7204 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 5,542 25.5562 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: 23 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 Call Options Purchased 11,400 26.0000 American 20 Aug 2021
USD 0.01 common Call Options Purchased 50,000 25.0000 American 20 Aug 2021
USD 0.01 common Call Options Purchased 200,000 24.0000 American 20 Aug 2021
USD 0.01 common Put Options Purchased -11,400 26.0000 American 20 Aug 2021
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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