REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC - AMENDMENT
29/09/2021 16:00
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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 interests and short positions disclosed, if
different from 1(a):
The naming of nominee or vehicle companies is insufficient. For a trust, the
trustee(s), settlor and beneficiaries must be named.
(c) Name of offeror/offeree in relation to whose relevant securities this form NORTONLIFELOCK INC
relates:
Use a separate form for each offeror/offeree
(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: 27 Sept 2021
For an opening position disclosure, state the latest practicable date prior to
the disclosure
(f) In addition to the company in 1(c) above, is the discloser making YES : Avast PLC
disclosures in respect of any other party to the offer?
If it is a cash offer or possible cash offer, state “N/A”
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: 1,478,792 0.25% 458,542 0.08%
(2) Cash-settled derivatives:
159,730 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%
(4)
TOTAL: 1,639,022 0.28% 1,488,964 0.26%
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%
(4)
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
USD 0.01 common Purchase 1 25.5200 USD
USD 0.01 common Purchase 5 25.8350 USD
USD 0.01 common Purchase 5 25.8500 USD
USD 0.01 common Purchase 7 25.7021 USD
USD 0.01 common Purchase 7 25.7678 USD
USD 0.01 common Purchase 17 25.8132 USD
USD 0.01 common Purchase 18 25.7077 USD
USD 0.01 common Purchase 18 25.6736 USD
USD 0.01 common Purchase 22 25.6800 USD
USD 0.01 common Purchase 27 25.6700 USD
USD 0.01 common Purchase 38 25.8200 USD
USD 0.01 common Purchase 49 25.6661 USD
USD 0.01 common Purchase 53 25.6326 USD
USD 0.01 common Purchase 61 25.6630 USD
USD 0.01 common Purchase 63 25.5400 USD
USD 0.01 common Purchase 100 25.7700 USD
USD 0.01 common Purchase 110 25.7365 USD
USD 0.01 common Purchase 113 25.6300 USD
USD 0.01 common Purchase 114 25.6435 USD
USD 0.01 common Purchase 143 21.9693 EUR
USD 0.01 common Purchase 199 25.8111 USD
USD 0.01 common Purchase 224 25.5300 USD
USD 0.01 common Purchase 300 25.6733 USD
USD 0.01 common Purchase 400 25.7350 USD
USD 0.01 common Purchase 441 25.7831 USD
USD 0.01 common Purchase 524 25.5493 USD
USD 0.01 common Purchase 568 25.5482 USD
USD 0.01 common Purchase 600 25.5466 USD
USD 0.01 common Purchase 643 25.7086 USD
USD 0.01 common Purchase 713 25.5500 USD
USD 0.01 common Purchase 800 25.8075 USD
USD 0.01 common Purchase 1,100 25.5272 USD
USD 0.01 common Purchase 1,100 25.5454 USD
USD 0.01 common Purchase 1,107 25.5498 USD
USD 0.01 common Purchase 1,192 25.5449 USD
USD 0.01 common Purchase 1,603 25.5432 USD
USD 0.01 common Purchase 1,624 25.5451 USD
USD 0.01 common Purchase 2,000 25.5470 USD
USD 0.01 common Purchase 2,296 25.7109 USD
USD 0.01 common Purchase 2,521 25.7104 USD
USD 0.01 common Purchase 3,015 25.5286 USD
USD 0.01 common Purchase 3,134 25.8121 USD
USD 0.01 common Purchase 3,800 25.8166 USD
USD 0.01 common Purchase 4,555 25.6844 USD
USD 0.01 common Purchase 5,468 25.7257 USD
USD 0.01 common Purchase 6,449 25.7642 USD
USD 0.01 common Purchase 6,752 25.8141 USD
USD 0.01 common Purchase 11,196 25.8065 USD
USD 0.01 common Purchase 11,742 25.5441 USD
USD 0.01 common Purchase 29,283 25.7467 USD
USD 0.01 common Purchase 31,433 25.7336 USD
USD 0.01 common Purchase 58,595 25.8085 USD
USD 0.01 common Purchase 63,772 25.8100 USD
USD 0.01 common Sale 61 25.8200 USD
USD 0.01 common Sale 63 25.5400 USD
USD 0.01 common Sale 100 25.7200 USD
USD 0.01 common Sale 100 25.5800 USD
USD 0.01 common Sale 100 25.8150 USD
USD 0.01 common Sale 110 25.8140 USD
USD 0.01 common Sale 119 25.8036 USD
USD 0.01 common Sale 121 25.8303 USD
USD 0.01 common Sale 124 25.8500 USD
USD 0.01 common Sale 127 25.5755 USD
USD 0.01 common Sale 143 21.9693 EUR
USD 0.01 common Sale 167 25.6958 USD
USD 0.01 common Sale 186 25.8210 USD
USD 0.01 common Sale 191 25.8013 USD
USD 0.01 common Sale 204 25.8083 USD
USD 0.01 common Sale 214 25.7906 USD
USD 0.01 common Sale 224 25.5300 USD
USD 0.01 common Sale 254 25.8193 USD
USD 0.01 common Sale 294 25.6504 USD
USD 0.01 common Sale 341 25.8031 USD
USD 0.01 common Sale 400 25.8050 USD
USD 0.01 common Sale 401 25.8096 USD
USD 0.01 common Sale 428 25.8154 USD
USD 0.01 common Sale 484 25.7761 USD
USD 0.01 common Sale 500 25.8040 USD
USD 0.01 common Sale 511 25.8118 USD
USD 0.01 common Sale 526 25.8395 USD
USD 0.01 common Sale 595 25.7993 USD
USD 0.01 common Sale 600 25.8000 USD
USD 0.01 common Sale 641 25.8179 USD
USD 0.01 common Sale 676 25.8275 USD
USD 0.01 common Sale 678 25.8098 USD
USD 0.01 common Sale 752 25.6811 USD
USD 0.01 common Sale 867 25.7503 USD
USD 0.01 common Sale 958 25.7087 USD
USD 0.01 common Sale 1,000 25.6871 USD
USD 0.01 common Sale 1,000 25.5250 USD
USD 0.01 common Sale 1,092 25.6937 USD
USD 0.01 common Sale 1,388 25.7951 USD
USD 0.01 common Sale 1,600 25.7837 USD
USD 0.01 common Sale 2,000 25.8089 USD
USD 0.01 common Sale 2,100 25.8014 USD
USD 0.01 common Sale 2,124 25.7643 USD
USD 0.01 common Sale 2,600 25.8104 USD
USD 0.01 common Sale 2,750 25.7109 USD
USD 0.01 common Sale 2,976 25.7393 USD
USD 0.01 common Sale 3,251 25.6979 USD
USD 0.01 common Sale 6,036 25.8061 USD
USD 0.01 common Sale 7,690 25.7698 USD
USD 0.01 common Sale 9,042 25.8300 USD
USD 0.01 common Sale 9,196 25.7650 USD
USD 0.01 common Sale 10,515 25.8102 USD
USD 0.01 common Sale 12,347 25.7664 USD
USD 0.01 common Sale 14,093 25.7343 USD
USD 0.01 common Sale 30,371 25.7424 USD
USD 0.01 common Sale 52,081 25.8100 USD
USD 0.01 common Sale 67,032 25.8082 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: 29 Sept 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
Full name of person making disclosure: Barclays PLC.
Name of offeror/offeree in relation to whose relevant securities the NORTONLIFELOCK INC
disclosure 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
(http://www.thetakeoverpanel.org.uk/) .
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