REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC - Amendment
03/09/2021 13:10
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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: 01 September 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: 1,366,069 0.23% 367,206 0.06%
(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%
TOTAL: 1,497,549 0.26% 1,397,628 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%
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 2 26.7000 USD
USD 0.01 common Purchase 2 26.7300 USD
USD 0.01 common Purchase 2 26.7600 USD
USD 0.01 common Purchase 4 26.6850 USD
USD 0.01 common Purchase 4 26.7475 USD
USD 0.01 common Purchase 4 26.5500 USD
USD 0.01 common Purchase 12 26.7283 USD
USD 0.01 common Purchase 15 26.5600 USD
USD 0.01 common Purchase 20 26.7310 USD
USD 0.01 common Purchase 41 26.5950 USD
USD 0.01 common Purchase 68 26.6700 USD
USD 0.01 common Purchase 72 22.3850 EUR
USD 0.01 common Purchase 77 26.6929 USD
USD 0.01 common Purchase 100 26.7200 USD
USD 0.01 common Purchase 106 26.7471 USD
USD 0.01 common Purchase 106 26.7483 USD
USD 0.01 common Purchase 106 26.5800 USD
USD 0.01 common Purchase 110 26.7481 USD
USD 0.01 common Purchase 136 26.5611 USD
USD 0.01 common Purchase 144 26.7488 USD
USD 0.01 common Purchase 145 26.6973 USD
USD 0.01 common Purchase 182 26.3545 USD
USD 0.01 common Purchase 339 26.6922 USD
USD 0.01 common Purchase 400 26.4350 USD
USD 0.01 common Purchase 400 26.4200 USD
USD 0.01 common Purchase 492 26.4008 USD
USD 0.01 common Purchase 616 26.4094 USD
USD 0.01 common Purchase 1,140 26.4407 USD
USD 0.01 common Purchase 1,841 26.5835 USD
USD 0.01 common Purchase 2,178 26.7443 USD
USD 0.01 common Purchase 2,564 26.6036 USD
USD 0.01 common Purchase 3,294 26.6027 USD
USD 0.01 common Purchase 5,172 26.7466 USD
USD 0.01 common Purchase 11,295 26.5842 USD
USD 0.01 common Purchase 11,567 26.6075 USD
USD 0.01 common Purchase 12,238 26.6126 USD
USD 0.01 common Purchase 14,078 26.6088 USD
USD 0.01 common Purchase 24,116 26.7500 USD
USD 0.01 common Purchase 24,221 26.7497 USD
USD 0.01 common Purchase 28,235 26.5549 USD
USD 0.01 common Purchase 37,997 26.7499 USD
USD 0.01 common Purchase 61,064 26.7176 USD
USD 0.01 common Sale 4 26.5500 USD
USD 0.01 common Sale 4 26.7475 USD
USD 0.01 common Sale 15 26.5600 USD
USD 0.01 common Sale 41 26.5950 USD
USD 0.01 common Sale 72 22.3850 EUR
USD 0.01 common Sale 78 26.7143 USD
USD 0.01 common Sale 100 26.7100 USD
USD 0.01 common Sale 120 26.5800 USD
USD 0.01 common Sale 200 26.7350 USD
USD 0.01 common Sale 200 26.5900 USD
USD 0.01 common Sale 211 26.4982 USD
USD 0.01 common Sale 301 26.7364 USD
USD 0.01 common Sale 302 26.5161 USD
USD 0.01 common Sale 318 26.5517 USD
USD 0.01 common Sale 329 26.5777 USD
USD 0.01 common Sale 400 26.5850 USD
USD 0.01 common Sale 402 26.5972 USD
USD 0.01 common Sale 500 26.5060 USD
USD 0.01 common Sale 604 26.5724 USD
USD 0.01 common Sale 611 26.4529 USD
USD 0.01 common Sale 712 26.7457 USD
USD 0.01 common Sale 731 26.6519 USD
USD 0.01 common Sale 800 26.7506 USD
USD 0.01 common Sale 835 26.5365 USD
USD 0.01 common Sale 1,046 26.7476 USD
USD 0.01 common Sale 1,165 26.5938 USD
USD 0.01 common Sale 1,964 26.6087 USD
USD 0.01 common Sale 2,708 26.7402 USD
USD 0.01 common Sale 2,922 26.6109 USD
USD 0.01 common Sale 4,198 26.5924 USD
USD 0.01 common Sale 4,649 26.7463 USD
USD 0.01 common Sale 5,164 26.6327 USD
USD 0.01 common Sale 5,789 26.6539 USD
USD 0.01 common Sale 7,192 26.6000 USD
USD 0.01 common Sale 8,844 26.5970 USD
USD 0.01 common Sale 9,957 26.6164 USD
USD 0.01 common Sale 12,311 26.5706 USD
USD 0.01 common Sale 21,903 26.7477 USD
USD 0.01 common Sale 30,823 26.5451 USD
USD 0.01 common Sale 49,337 26.7325 USD
USD 0.01 common Sale 70,125 26.7500 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 15 26.5600 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: 3 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
(https://cts.businesswire.com/ct/CT?id=smartlink&url=http%3A%2F%2Fwww.thetakeoverpanel.org.uk%2F&esheet=52486164&newsitemid=20210903005221&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=eaf1bdaad3d8789f1572cdf52a44f814)
.
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.
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