REG-BARCLAYS PLC FORM 8.3 - NORTONLIFELOCK INC - AMENDMENT
09/09/2021 13:40
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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: 07 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: 1,064,303 0.18% 473,324 0.08%
(2) Cash-settled derivatives:
223,704 0.04% 1,028,322 0.18%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
TOTAL: 1,288,507 0.22% 1,503,746 0.26%
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 4 26.9550 USD
USD 0.01 common Purchase 6 27.3500 USD
USD 0.01 common Purchase 47 27.2900 USD
USD 0.01 common Purchase 186 26.9594 USD
USD 0.01 common Purchase 188 27.2800 USD
USD 0.01 common Purchase 200 26.9900 USD
USD 0.01 common Purchase 268 27.0970 USD
USD 0.01 common Purchase 300 26.9833 USD
USD 0.01 common Purchase 371 26.9000 USD
USD 0.01 common Purchase 400 26.9450 USD
USD 0.01 common Purchase 900 26.9477 USD
USD 0.01 common Purchase 1,114 26.9734 USD
USD 0.01 common Purchase 1,400 26.9464 USD
USD 0.01 common Purchase 1,700 27.0044 USD
USD 0.01 common Purchase 2,200 26.9472 USD
USD 0.01 common Purchase 2,205 27.0243 USD
USD 0.01 common Purchase 2,790 27.0624 USD
USD 0.01 common Purchase 2,817 26.9435 USD
USD 0.01 common Purchase 2,927 26.9332 USD
USD 0.01 common Purchase 2,990 26.9452 USD
USD 0.01 common Purchase 3,354 26.9205 USD
USD 0.01 common Purchase 3,433 26.9440 USD
USD 0.01 common Purchase 3,698 26.9406 USD
USD 0.01 common Purchase 5,000 27.0635 USD
USD 0.01 common Purchase 7,395 27.1457 USD
USD 0.01 common Purchase 10,182 27.0703 USD
USD 0.01 common Purchase 12,966 27.0936 USD
USD 0.01 common Purchase 16,051 26.9407 USD
USD 0.01 common Purchase 17,522 27.0270 USD
USD 0.01 common Purchase 21,403 27.0466 USD
USD 0.01 common Purchase 42,719 26.9333 USD
USD 0.01 common Purchase 66,242 27.0605 USD
USD 0.01 common Purchase 83,260 26.9500 USD
USD 0.01 common Purchase 96,920 27.1132 USD
USD 0.01 common Purchase 189,992 27.1200 USD
USD 0.01 common Sale 2 27.1700 USD
USD 0.01 common Sale 4 26.9550 USD
USD 0.01 common Sale 6 26.9000 USD
USD 0.01 common Sale 10 27.2580 USD
USD 0.01 common Sale 12 27.1050 USD
USD 0.01 common Sale 12 27.1025 USD
USD 0.01 common Sale 12 27.1550 USD
USD 0.01 common Sale 12 27.1350 USD
USD 0.01 common Sale 18 27.0783 USD
USD 0.01 common Sale 24 27.0862 USD
USD 0.01 common Sale 36 27.0975 USD
USD 0.01 common Sale 83 27.0948 USD
USD 0.01 common Sale 100 26.9700 USD
USD 0.01 common Sale 100 27.0100 USD
USD 0.01 common Sale 100 27.0400 USD
USD 0.01 common Sale 100 26.9400 USD
USD 0.01 common Sale 100 27.1600 USD
USD 0.01 common Sale 106 27.0500 USD
USD 0.01 common Sale 172 27.0466 USD
USD 0.01 common Sale 188 27.2800 USD
USD 0.01 common Sale 189 27.0528 USD
USD 0.01 common Sale 200 27.0550 USD
USD 0.01 common Sale 200 26.9900 USD
USD 0.01 common Sale 205 26.9743 USD
USD 0.01 common Sale 226 27.0533 USD
USD 0.01 common Sale 246 27.0430 USD
USD 0.01 common Sale 300 27.0233 USD
USD 0.01 common Sale 300 27.0066 USD
USD 0.01 common Sale 394 26.9449 USD
USD 0.01 common Sale 400 27.0625 USD
USD 0.01 common Sale 400 26.9850 USD
USD 0.01 common Sale 500 27.0820 USD
USD 0.01 common Sale 500 27.0460 USD
USD 0.01 common Sale 549 27.0268 USD
USD 0.01 common Sale 586 27.0557 USD
USD 0.01 common Sale 589 27.0867 USD
USD 0.01 common Sale 700 27.0278 USD
USD 0.01 common Sale 1,300 26.9484 USD
USD 0.01 common Sale 1,627 26.9211 USD
USD 0.01 common Sale 3,080 27.0600 USD
USD 0.01 common Sale 3,469 27.0650 USD
USD 0.01 common Sale 3,547 27.0918 USD
USD 0.01 common Sale 3,608 27.0741 USD
USD 0.01 common Sale 5,179 26.9705 USD
USD 0.01 common Sale 7,395 27.1457 USD
USD 0.01 common Sale 7,638 27.1106 USD
USD 0.01 common Sale 11,606 27.0935 USD
USD 0.01 common Sale 16,122 27.0258 USD
USD 0.01 common Sale 22,968 27.0416 USD
USD 0.01 common Sale 57,579 27.0676 USD
USD 0.01 common Sale 93,590 27.1156 USD
USD 0.01 common Sale 166,726 26.9500 USD
USD 0.01 common Sale 375,304 27.1200 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: 9 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.
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