REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC - Amendment
27/09/2021 15:30
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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: 23 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: 1,493,317 0.26% 534,330 0.09%
(2) Cash-settled derivatives:
217,930 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: 1,711,747 0.29% 1,564,752 0.27%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 146,000 0.03% 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: 146,000 0.03% 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
Convertible Bond Purchase 10,000 128.8750 USD
Convertible Bond Sale 5,000 128.8750 USD
USD 0.01 common Purchase 8 25.6100 USD
USD 0.01 common Purchase 21 25.7666 USD
USD 0.01 common Purchase 35 21.6100 EUR
USD 0.01 common Purchase 37 25.3700 USD
USD 0.01 common Purchase 37 25.3400 USD
USD 0.01 common Purchase 40 25.7400 USD
USD 0.01 common Purchase 42 25.7790 USD
USD 0.01 common Purchase 60 25.7633 USD
USD 0.01 common Purchase 74 25.3650 USD
USD 0.01 common Purchase 74 25.3750 USD
USD 0.01 common Purchase 81 25.7702 USD
USD 0.01 common Purchase 81 25.7518 USD
USD 0.01 common Purchase 92 25.6703 USD
USD 0.01 common Purchase 100 25.7600 USD
USD 0.01 common Purchase 100 25.7700 USD
USD 0.01 common Purchase 120 25.7566 USD
USD 0.01 common Purchase 159 25.2540 USD
USD 0.01 common Purchase 174 25.5937 USD
USD 0.01 common Purchase 200 25.7550 USD
USD 0.01 common Purchase 300 25.7650 USD
USD 0.01 common Purchase 400 25.6175 USD
USD 0.01 common Purchase 446 25.6110 USD
USD 0.01 common Purchase 588 25.6114 USD
USD 0.01 common Purchase 600 25.1800 USD
USD 0.01 common Purchase 659 25.5924 USD
USD 0.01 common Purchase 890 25.4905 USD
USD 0.01 common Purchase 958 25.5708 USD
USD 0.01 common Purchase 1,300 25.6749 USD
USD 0.01 common Purchase 1,504 25.7450 USD
USD 0.01 common Purchase 1,894 25.6135 USD
USD 0.01 common Purchase 2,100 25.4614 USD
USD 0.01 common Purchase 2,304 25.7708 USD
USD 0.01 common Purchase 2,700 25.5896 USD
USD 0.01 common Purchase 3,112 25.5840 USD
USD 0.01 common Purchase 3,525 25.5684 USD
USD 0.01 common Purchase 4,499 25.6076 USD
USD 0.01 common Purchase 6,150 25.5862 USD
USD 0.01 common Purchase 8,871 25.6206 USD
USD 0.01 common Purchase 9,922 25.3851 USD
USD 0.01 common Purchase 13,428 25.7501 USD
USD 0.01 common Purchase 17,398 25.7357 USD
USD 0.01 common Purchase 18,522 25.4626 USD
USD 0.01 common Purchase 21,441 25.5109 USD
USD 0.01 common Purchase 31,149 25.5759 USD
USD 0.01 common Purchase 46,035 25.6305 USD
USD 0.01 common Purchase 48,380 25.6260 USD
USD 0.01 common Purchase 96,743 25.7500 USD
USD 0.01 common Purchase 123,787 25.5523 USD
USD 0.01 common Purchase 202,922 25.6824 USD
USD 0.01 common Purchase 230,950 25.1700 USD
USD 0.01 common Sale 6 25.7300 USD
USD 0.01 common Sale 35 21.6100 EUR
USD 0.01 common Sale 44 25.2395 USD
USD 0.01 common Sale 92 25.6703 USD
USD 0.01 common Sale 100 25.7450 USD
USD 0.01 common Sale 100 25.4400 USD
USD 0.01 common Sale 100 25.7550 USD
USD 0.01 common Sale 100 25.7250 USD
USD 0.01 common Sale 200 25.7400 USD
USD 0.01 common Sale 200 25.7650 USD
USD 0.01 common Sale 200 25.7350 USD
USD 0.01 common Sale 245 25.6591 USD
USD 0.01 common Sale 301 25.7700 USD
USD 0.01 common Sale 611 25.7501 USD
USD 0.01 common Sale 616 25.7600 USD
USD 0.01 common Sale 746 25.7692 USD
USD 0.01 common Sale 800 25.7481 USD
USD 0.01 common Sale 800 25.7562 USD
USD 0.01 common Sale 973 25.7592 USD
USD 0.01 common Sale 1,110 25.4950 USD
USD 0.01 common Sale 1,200 25.1800 USD
USD 0.01 common Sale 1,290 25.7378 USD
USD 0.01 common Sale 1,400 25.7655 USD
USD 0.01 common Sale 1,500 25.7646 USD
USD 0.01 common Sale 2,100 25.4614 USD
USD 0.01 common Sale 2,100 25.5247 USD
USD 0.01 common Sale 2,145 25.6400 USD
USD 0.01 common Sale 3,052 25.7563 USD
USD 0.01 common Sale 4,719 25.7053 USD
USD 0.01 common Sale 5,030 25.6635 USD
USD 0.01 common Sale 5,361 25.7198 USD
USD 0.01 common Sale 5,919 25.5529 USD
USD 0.01 common Sale 8,474 25.7593 USD
USD 0.01 common Sale 12,266 25.7498 USD
USD 0.01 common Sale 16,080 25.4412 USD
USD 0.01 common Sale 16,393 25.6926 USD
USD 0.01 common Sale 16,564 25.6665 USD
USD 0.01 common Sale 18,941 25.7227 USD
USD 0.01 common Sale 21,018 25.4979 USD
USD 0.01 common Sale 46,035 25.6304 USD
USD 0.01 common Sale 107,170 25.7500 USD
USD 0.01 common Sale 144,942 25.6747 USD
USD 0.01 common Sale 230,950 25.1700 USD
USD 0.01 common Sale 231,840 25.1712 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: 27 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=52499188&newsitemid=20210927005565&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=e0a1403f65ea56e861b5c0b402fc5471)
.
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=52499188&newsitemid=20210927005565&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=aeeea609281f6b2d43034b477a26156f)
.
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