REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC - Amendment
26/08/2021 14:15
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Form 8.3 - NORTONLIFELOCK INC - Amendment
FORM 8.3 - Amendment to 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 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: 24 August 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: 1,591,579 0.27% 342,199 0.06%
(2) Cash-settled derivatives:
110,636 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: 1,702,715 0.29% 1,623,797 0.28%
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 10 26.4450 USD
USD 0.01 common Purchase 20 26.4800 USD
USD 0.01 common Purchase 20 22.3750 EUR
USD 0.01 common Purchase 40 26.4487 USD
USD 0.01 common Purchase 50 26.4490 USD
USD 0.01 common Purchase 50 26.4660 USD
USD 0.01 common Purchase 57 26.4650 USD
USD 0.01 common Purchase 74 26.2878 USD
USD 0.01 common Purchase 100 26.2850 USD
USD 0.01 common Purchase 130 26.4469 USD
USD 0.01 common Purchase 166 26.3458 USD
USD 0.01 common Purchase 200 26.4350 USD
USD 0.01 common Purchase 215 26.1234 USD
USD 0.01 common Purchase 299 26.2510 USD
USD 0.01 common Purchase 300 26.3883 USD
USD 0.01 common Purchase 309 26.1955 USD
USD 0.01 common Purchase 352 26.2250 USD
USD 0.01 common Purchase 400 26.3750 USD
USD 0.01 common Purchase 400 26.2350 USD
USD 0.01 common Purchase 500 26.2290 USD
USD 0.01 common Purchase 600 26.3808 USD
USD 0.01 common Purchase 682 26.3730 USD
USD 0.01 common Purchase 707 26.1050 USD
USD 0.01 common Purchase 800 26.2800 USD
USD 0.01 common Purchase 879 26.3646 USD
USD 0.01 common Purchase 900 26.3833 USD
USD 0.01 common Purchase 1,000 26.3035 USD
USD 0.01 common Purchase 1,091 26.3636 USD
USD 0.01 common Purchase 1,200 26.3350 USD
USD 0.01 common Purchase 1,522 26.4230 USD
USD 0.01 common Purchase 2,471 26.2564 USD
USD 0.01 common Purchase 4,111 26.4517 USD
USD 0.01 common Purchase 4,429 26.4050 USD
USD 0.01 common Purchase 7,024 26.1661 USD
USD 0.01 common Purchase 8,190 26.3251 USD
USD 0.01 common Purchase 10,994 26.3589 USD
USD 0.01 common Purchase 13,921 26.2529 USD
USD 0.01 common Purchase 22,794 26.2353 USD
USD 0.01 common Purchase 27,421 26.3373 USD
USD 0.01 common Purchase 32,690 26.2614 USD
USD 0.01 common Purchase 37,034 26.4494 USD
USD 0.01 common Purchase 102,962 26.4500 USD
USD 0.01 common Purchase 143,160 26.3586 USD
USD 0.01 common Sale 1 26.0300 USD
USD 0.01 common Sale 11 26.4800 USD
USD 0.01 common Sale 20 22.3750 EUR
USD 0.01 common Sale 54 26.2250 USD
USD 0.01 common Sale 58 26.4650 USD
USD 0.01 common Sale 100 26.4605 USD
USD 0.01 common Sale 100 26.4600 USD
USD 0.01 common Sale 100 26.2400 USD
USD 0.01 common Sale 100 26.4550 USD
USD 0.01 common Sale 110 26.2200 USD
USD 0.01 common Sale 111 26.4534 USD
USD 0.01 common Sale 200 26.4400 USD
USD 0.01 common Sale 200 26.4350 USD
USD 0.01 common Sale 300 26.4450 USD
USD 0.01 common Sale 300 26.4201 USD
USD 0.01 common Sale 300 26.4599 USD
USD 0.01 common Sale 400 26.0900 USD
USD 0.01 common Sale 460 26.2432 USD
USD 0.01 common Sale 639 26.4190 USD
USD 0.01 common Sale 900 26.3900 USD
USD 0.01 common Sale 1,079 26.4452 USD
USD 0.01 common Sale 1,400 26.4360 USD
USD 0.01 common Sale 1,522 26.4230 USD
USD 0.01 common Sale 2,400 26.3845 USD
USD 0.01 common Sale 3,144 26.3333 USD
USD 0.01 common Sale 3,178 26.4515 USD
USD 0.01 common Sale 4,429 26.4050 USD
USD 0.01 common Sale 4,700 26.3967 USD
USD 0.01 common Sale 6,964 26.2857 USD
USD 0.01 common Sale 7,440 26.3638 USD
USD 0.01 common Sale 9,519 26.3186 USD
USD 0.01 common Sale 13,581 26.2903 USD
USD 0.01 common Sale 16,275 26.3445 USD
USD 0.01 common Sale 19,696 26.2613 USD
USD 0.01 common Sale 21,818 26.3599 USD
USD 0.01 common Sale 25,881 26.2553 USD
USD 0.01 common Sale 31,878 26.2737 USD
USD 0.01 common Sale 32,344 26.2572 USD
USD 0.01 common Sale 78,042 26.3811 USD
USD 0.01 common Sale 141,834 26.4500 USD
NB: The below transactions which were previously disclosed have been cancelled
Class of relevant Purchase/sale Number of Price per unit
security securities
USD 0.01 common Sale 348 26.4500 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: 26 Aug 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=52482492&newsitemid=20210826005506&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=76966c91a7083906a5b0bd4414ed21cf)
.
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=52482492&newsitemid=20210826005506&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=4660f37c26fcbeb9589998ccea93754a)
.
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