REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC AMENDMENT
22/09/2021 14:35
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Form 8.3 - NORTONLIFELOCK INC AMENDMENT
FORM 8.3
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: 17 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: 1,432,155 0.25% 598,607 0.10%
(2) Cash-settled derivatives:
193,930 0.03% 1,028,322 0.18%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
TOTAL: 1,626,585 0.28% 1,629,029 0.28%
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 3 25.7600 USD
USD 0.01 common Purchase 4 25.7300 USD
USD 0.01 common Purchase 6 25.7050 USD
USD 0.01 common Purchase 7 25.8700 USD
USD 0.01 common Purchase 7 25.7871 USD
USD 0.01 common Purchase 8 25.6975 USD
USD 0.01 common Purchase 8 25.7125 USD
USD 0.01 common Purchase 8 25.7200 USD
USD 0.01 common Purchase 9 25.7777 USD
USD 0.01 common Purchase 10 25.7315 USD
USD 0.01 common Purchase 11 25.7672 USD
USD 0.01 common Purchase 24 25.7550 USD
USD 0.01 common Purchase 25 25.7034 USD
USD 0.01 common Purchase 26 25.7700 USD
USD 0.01 common Purchase 28 25.7378 USD
USD 0.01 common Purchase 30 25.7100 USD
USD 0.01 common Purchase 30 25.7635 USD
USD 0.01 common Purchase 36 25.7455 USD
USD 0.01 common Purchase 42 25.7128 USD
USD 0.01 common Purchase 43 25.7444 USD
USD 0.01 common Purchase 46 25.7450 USD
USD 0.01 common Purchase 48 25.7704 USD
USD 0.01 common Purchase 54 25.7416 USD
USD 0.01 common Purchase 63 25.8800 USD
USD 0.01 common Purchase 100 25.7800 USD
USD 0.01 common Purchase 154 22.0500 EUR
USD 0.01 common Purchase 234 25.7475 USD
USD 0.01 common Purchase 368 25.7275 USD
USD 0.01 common Purchase 400 25.7537 USD
USD 0.01 common Purchase 498 25.7131 USD
USD 0.01 common Purchase 500 25.7020 USD
USD 0.01 common Purchase 569 25.6986 USD
USD 0.01 common Purchase 602 25.7000 USD
USD 0.01 common Purchase 617 25.7002 USD
USD 0.01 common Purchase 650 25.7905 USD
USD 0.01 common Purchase 775 25.6951 USD
USD 0.01 common Purchase 937 25.7435 USD
USD 0.01 common Purchase 1,200 25.7183 USD
USD 0.01 common Purchase 1,984 25.8203 USD
USD 0.01 common Purchase 2,712 25.7103 USD
USD 0.01 common Purchase 2,740 25.7596 USD
USD 0.01 common Purchase 6,889 25.7247 USD
USD 0.01 common Purchase 21,129 25.7587 USD
USD 0.01 common Purchase 22,629 25.7607 USD
USD 0.01 common Purchase 24,526 25.6941 USD
USD 0.01 common Purchase 31,992 25.7161 USD
USD 0.01 common Purchase 68,186 25.6897 USD
USD 0.01 common Purchase 69,871 25.6900 USD
USD 0.01 common Purchase 89,714 25.6911 USD
USD 0.01 common Purchase 99,562 25.6945 USD
USD 0.01 common Purchase 114,066 25.7217 USD
USD 0.01 common Sale 4 25.6975 USD
USD 0.01 common Sale 4 25.7525 USD
USD 0.01 common Sale 5 25.7550 USD
USD 0.01 common Sale 6 25.7466 USD
USD 0.01 common Sale 6 25.7800 USD
USD 0.01 common Sale 8 25.7025 USD
USD 0.01 common Sale 8 25.7400 USD
USD 0.01 common Sale 8 25.7050 USD
USD 0.01 common Sale 8 25.7700 USD
USD 0.01 common Sale 9 25.7600 USD
USD 0.01 common Sale 10 25.7060 USD
USD 0.01 common Sale 14 25.7485 USD
USD 0.01 common Sale 100 25.6700 USD
USD 0.01 common Sale 134 25.6800 USD
USD 0.01 common Sale 154 22.0500 EUR
USD 0.01 common Sale 196 25.7809 USD
USD 0.01 common Sale 200 25.8000 USD
USD 0.01 common Sale 200 25.7200 USD
USD 0.01 common Sale 202 25.7000 USD
USD 0.01 common Sale 202 25.7900 USD
USD 0.01 common Sale 261 25.7493 USD
USD 0.01 common Sale 366 25.6827 USD
USD 0.01 common Sale 440 25.7304 USD
USD 0.01 common Sale 516 25.6935 USD
USD 0.01 common Sale 599 25.8115 USD
USD 0.01 common Sale 800 25.7599 USD
USD 0.01 common Sale 1,645 25.7684 USD
USD 0.01 common Sale 1,984 25.8203 USD
USD 0.01 common Sale 2,589 25.7237 USD
USD 0.01 common Sale 3,148 25.8093 USD
USD 0.01 common Sale 8,089 25.7238 USD
USD 0.01 common Sale 20,112 25.6934 USD
USD 0.01 common Sale 20,335 25.6910 USD
USD 0.01 common Sale 21,429 25.7596 USD
USD 0.01 common Sale 23,714 25.7595 USD
USD 0.01 common Sale 31,132 25.6954 USD
USD 0.01 common Sale 35,895 25.7139 USD
USD 0.01 common Sale 41,217 25.6901 USD
USD 0.01 common Sale 60,191 25.6900 USD
USD 0.01 common Sale 67,386 25.6896 USD
USD 0.01 common Sale 99,562 25.6945 USD
USD 0.01 common Sale 110,110 25.7186 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 Purchase 4,186 25.6900 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: 22 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=52495938&newsitemid=20210922005653&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=d561a8a3de02b45eb37247752b9e55d7)
.
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=52495938&newsitemid=20210922005653&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=aa3799e75b1a28697cf0bf7f481c4707)
.
View source version on businesswire.com:
https://www.businesswire.com/news/home/20210922005653/en/
(https://www.businesswire.com/news/home/20210922005653/en/)
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