REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC AMENDMENT
17/09/2021 14:40
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Form 8.3 - NORTONLIFELOCK INC AMENDMENT
FORM 8.3 Amendment to Purchase
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: 15 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: 1,472,828 0.25% 529,818 0.09%
(2) Cash-settled derivatives:
226,930 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: 1,700,258 0.29% 1,560,240 0.27%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 141,000 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: 141,000 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 17 26.2600 USD
USD 0.01 common Purchase 17 26.3250 USD
USD 0.01 common Purchase 55 26.1771 USD
USD 0.01 common Purchase 84 26.2650 USD
USD 0.01 common Purchase 93 26.2700 USD
USD 0.01 common Purchase 100 26.2450 USD
USD 0.01 common Purchase 131 26.2389 USD
USD 0.01 common Purchase 200 26.2400 USD
USD 0.01 common Purchase 200 26.2356 USD
USD 0.01 common Purchase 210 26.2469 USD
USD 0.01 common Purchase 217 26.2377 USD
USD 0.01 common Purchase 221 26.1931 USD
USD 0.01 common Purchase 300 26.1700 USD
USD 0.01 common Purchase 305 26.2434 USD
USD 0.01 common Purchase 318 26.2960 USD
USD 0.01 common Purchase 390 26.2441 USD
USD 0.01 common Purchase 488 26.1773 USD
USD 0.01 common Purchase 508 26.2588 USD
USD 0.01 common Purchase 509 26.1469 USD
USD 0.01 common Purchase 676 26.2465 USD
USD 0.01 common Purchase 728 26.1797 USD
USD 0.01 common Purchase 758 26.1536 USD
USD 0.01 common Purchase 836 26.2009 USD
USD 0.01 common Purchase 900 26.2411 USD
USD 0.01 common Purchase 1,167 26.2181 USD
USD 0.01 common Purchase 1,174 26.2412 USD
USD 0.01 common Purchase 1,355 26.1905 USD
USD 0.01 common Purchase 1,407 26.1612 USD
USD 0.01 common Purchase 1,533 26.2068 USD
USD 0.01 common Purchase 1,571 26.1473 USD
USD 0.01 common Purchase 1,939 26.1566 USD
USD 0.01 common Purchase 2,665 26.2567 USD
USD 0.01 common Purchase 2,745 26.1542 USD
USD 0.01 common Purchase 3,082 26.2270 USD
USD 0.01 common Purchase 3,991 26.2209 USD
USD 0.01 common Purchase 4,094 26.2544 USD
USD 0.01 common Purchase 4,287 26.2007 USD
USD 0.01 common Purchase 5,175 26.1287 USD
USD 0.01 common Purchase 8,653 26.2569 USD
USD 0.01 common Purchase 9,187 26.2029 USD
USD 0.01 common Purchase 10,237 26.1812 USD
USD 0.01 common Purchase 11,893 26.1987 USD
USD 0.01 common Purchase 12,800 26.1593 USD
USD 0.01 common Purchase 13,789 26.2237 USD
USD 0.01 common Purchase 15,565 26.1650 USD
USD 0.01 common Purchase 16,348 26.2299 USD
USD 0.01 common Purchase 39,644 26.2479 USD
USD 0.01 common Purchase 42,850 26.2500 USD
USD 0.01 common Purchase 72,160 26.2213 USD
USD 0.01 common Sale 1 26.1400 USD
USD 0.01 common Sale 1 26.1500 USD
USD 0.01 common Sale 1 26.1900 USD
USD 0.01 common Sale 2 26.1750 USD
USD 0.01 common Sale 2 26.1650 USD
USD 0.01 common Sale 3 26.1566 USD
USD 0.01 common Sale 3 26.1700 USD
USD 0.01 common Sale 3 26.1733 USD
USD 0.01 common Sale 3 26.1816 USD
USD 0.01 common Sale 3 26.1666 USD
USD 0.01 common Sale 4 26.2350 USD
USD 0.01 common Sale 5 26.1800 USD
USD 0.01 common Sale 5 26.2200 USD
USD 0.01 common Sale 8 26.2375 USD
USD 0.01 common Sale 8 26.2450 USD
USD 0.01 common Sale 9 26.1755 USD
USD 0.01 common Sale 12 26.2366 USD
USD 0.01 common Sale 17 26.2400 USD
USD 0.01 common Sale 20 26.2320 USD
USD 0.01 common Sale 44 26.2359 USD
USD 0.01 common Sale 46 26.2419 USD
USD 0.01 common Sale 50 26.2030 USD
USD 0.01 common Sale 51 26.2284 USD
USD 0.01 common Sale 55 26.2454 USD
USD 0.01 common Sale 65 26.2046 USD
USD 0.01 common Sale 85 26.1991 USD
USD 0.01 common Sale 90 26.1969 USD
USD 0.01 common Sale 100 26.2900 USD
USD 0.01 common Sale 150 26.1913 USD
USD 0.01 common Sale 168 26.2295 USD
USD 0.01 common Sale 170 26.2067 USD
USD 0.01 common Sale 190 26.2060 USD
USD 0.01 common Sale 200 26.1550 USD
USD 0.01 common Sale 239 26.2100 USD
USD 0.01 common Sale 435 26.2085 USD
USD 0.01 common Sale 603 26.2480 USD
USD 0.01 common Sale 1,384 26.2083 USD
USD 0.01 common Sale 1,588 26.2215 USD
USD 0.01 common Sale 1,729 26.1842 USD
USD 0.01 common Sale 2,407 26.2269 USD
USD 0.01 common Sale 2,428 26.1615 USD
USD 0.01 common Sale 3,082 26.2435 USD
USD 0.01 common Sale 3,423 26.2196 USD
USD 0.01 common Sale 5,175 26.1287 USD
USD 0.01 common Sale 7,881 26.2095 USD
USD 0.01 common Sale 9,002 26.1782 USD
USD 0.01 common Sale 11,749 26.1860 USD
USD 0.01 common Sale 12,825 26.2322 USD
USD 0.01 common Sale 18,089 26.2264 USD
USD 0.01 common Sale 33,936 26.2500 USD
USD 0.01 common Sale 38,303 26.2493 USD
USD 0.01 common Sale 98,140 26.2250 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: 17 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=52493691&newsitemid=20210917005329&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=8cddf25a85ff3d8f976550385387704f)
.
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=52493691&newsitemid=20210917005329&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=f2901497ac66ded60d85daf151733aa0)
.
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