REG-BARCLAYS PLC FORM 8.3 - NORTONLIFELOCK INC. - AMENDMENT
02/09/2021 13:05
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FORM 8.3 - NORTONLIFELOCK INC. - AMENDMENT
FORM 8.3
Amendment to Sale
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: 31 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: 1,373,160 0.24% 380,671 0.07%
(2) Cash-settled derivatives:
130,980 0.02% 1,028,322 0.18%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
(4)
TOTAL: 1,504,640 0.26% 1,411,093 0.24%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 139,000 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%
(4)
TOTAL: 139,000 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 4 26.5650 USD
USD 0.01 common Purchase 4 26.5900 USD
USD 0.01 common Purchase 8 26.5487 USD
USD 0.01 common Purchase 8 26.5825 USD
USD 0.01 common Purchase 10 26.5590 USD
USD 0.01 common Purchase 12 26.5408 USD
USD 0.01 common Purchase 14 26.5528 USD
USD 0.01 common Purchase 18 26.5655 USD
USD 0.01 common Purchase 20 26.5620 USD
USD 0.01 common Purchase 23 26.5500 USD
USD 0.01 common Purchase 40 26.5595 USD
USD 0.01 common Purchase 51 26.5464 USD
USD 0.01 common Purchase 70 26.5485 USD
USD 0.01 common Purchase 100 26.5450 USD
USD 0.01 common Purchase 100 26.5300 USD
USD 0.01 common Purchase 100 26.6450 USD
USD 0.01 common Purchase 111 26.5184 USD
USD 0.01 common Purchase 200 26.5250 USD
USD 0.01 common Purchase 211 26.5460 USD
USD 0.01 common Purchase 211 26.5241 USD
USD 0.01 common Purchase 236 26.5862 USD
USD 0.01 common Purchase 246 26.7450 USD
USD 0.01 common Purchase 381 26.5177 USD
USD 0.01 common Purchase 500 26.7700 USD
USD 0.01 common Purchase 500 26.6660 USD
USD 0.01 common Purchase 594 26.6921 USD
USD 0.01 common Purchase 635 26.6077 USD
USD 0.01 common Purchase 800 26.7212 USD
USD 0.01 common Purchase 1,113 26.7523 USD
USD 0.01 common Purchase 1,401 26.7049 USD
USD 0.01 common Purchase 1,800 26.6616 USD
USD 0.01 common Purchase 1,896 26.5447 USD
USD 0.01 common Purchase 2,144 26.6461 USD
USD 0.01 common Purchase 2,255 26.7462 USD
USD 0.01 common Purchase 2,782 26.6400 USD
USD 0.01 common Purchase 3,380 26.6205 USD
USD 0.01 common Purchase 4,867 26.7474 USD
USD 0.01 common Purchase 5,808 26.5529 USD
USD 0.01 common Purchase 6,255 26.5653 USD
USD 0.01 common Purchase 6,754 26.5727 USD
USD 0.01 common Purchase 6,763 26.6320 USD
USD 0.01 common Purchase 9,112 26.6790 USD
USD 0.01 common Purchase 13,000 26.5918 USD
USD 0.01 common Purchase 15,881 26.6325 USD
USD 0.01 common Purchase 17,236 26.5853 USD
USD 0.01 common Purchase 18,000 26.8092 USD
USD 0.01 common Purchase 24,741 26.5604 USD
USD 0.01 common Purchase 27,021 26.6150 USD
USD 0.01 common Purchase 41,313 26.5600 USD
USD 0.01 common Purchase 43,172 26.5599 USD
USD 0.01 common Purchase 65,315 26.5939 USD
USD 0.01 common Sale 3 26.5650 USD
USD 0.01 common Sale 4 26.5900 USD
USD 0.01 common Sale 5 26.7400 USD
USD 0.01 common Sale 5 26.6100 USD
USD 0.01 common Sale 6 26.5350 USD
USD 0.01 common Sale 6 26.5425 USD
USD 0.01 common Sale 9 26.5333 USD
USD 0.01 common Sale 10 26.7050 USD
USD 0.01 common Sale 12 26.5562 USD
USD 0.01 common Sale 14 26.5646 USD
USD 0.01 common Sale 15 26.5540 USD
USD 0.01 common Sale 25 26.7660 USD
USD 0.01 common Sale 25 26.7500 USD
USD 0.01 common Sale 40 26.7412 USD
USD 0.01 common Sale 46 26.7450 USD
USD 0.01 common Sale 50 26.7770 USD
USD 0.01 common Sale 50 26.6900 USD
USD 0.01 common Sale 51 26.5376 USD
USD 0.01 common Sale 55 26.7454 USD
USD 0.01 common Sale 63 26.6500 USD
USD 0.01 common Sale 65 26.7384 USD
USD 0.01 common Sale 100 26.7950 USD
USD 0.01 common Sale 120 26.7200 USD
USD 0.01 common Sale 149 26.5414 USD
USD 0.01 common Sale 159 26.7333 USD
USD 0.01 common Sale 191 26.6300 USD
USD 0.01 common Sale 200 26.6425 USD
USD 0.01 common Sale 236 26.5862 USD
USD 0.01 common Sale 291 26.7481 USD
USD 0.01 common Sale 301 26.5543 USD
USD 0.01 common Sale 400 26.7700 USD
USD 0.01 common Sale 467 26.7900 USD
USD 0.01 common Sale 570 26.7843 USD
USD 0.01 common Sale 972 26.5598 USD
USD 0.01 common Sale 1,100 26.8145 USD
USD 0.01 common Sale 1,234 26.6408 USD
USD 0.01 common Sale 1,400 26.8264 USD
USD 0.01 common Sale 1,500 26.8000 USD
USD 0.01 common Sale 1,995 26.6540 USD
USD 0.01 common Sale 3,000 26.7160 USD
USD 0.01 common Sale 3,254 26.6400 USD
USD 0.01 common Sale 3,380 26.6205 USD
USD 0.01 common Sale 3,861 26.5906 USD
USD 0.01 common Sale 5,504 26.6473 USD
USD 0.01 common Sale 7,700 26.8080 USD
USD 0.01 common Sale 7,721 26.6570 USD
USD 0.01 common Sale 8,441 26.8102 USD
USD 0.01 common Sale 12,676 26.5839 USD
USD 0.01 common Sale 13,107 26.5950 USD
USD 0.01 common Sale 14,295 26.6307 USD
USD 0.01 common Sale 25,818 26.6215 USD
USD 0.01 common Sale 26,923 26.5613 USD
USD 0.01 common Sale 87,112 26.5600 USD
USD 0.01 common Sale 97,456 26.5881 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: 2 Sep 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
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
(http://www.thetakeoverpanel.org.uk/)
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