REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC Amendment
05/10/2021 17:10
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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: 01 October 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: 1,419,543 0.24% 448,780 0.08%
(2) Cash-settled derivatives:
178,619 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: 1,598,662 0.27% 1,479,202 0.25%
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
USD 0.01 common Purchase 56 25.7400 USD
USD 0.01 common Purchase 100 25.5550 USD
USD 0.01 common Purchase 100 25.5350 USD
USD 0.01 common Purchase 100 25.6850 USD
USD 0.01 common Purchase 171 25.6250 USD
USD 0.01 common Purchase 177 25.5575 USD
USD 0.01 common Purchase 200 25.6100 USD
USD 0.01 common Purchase 200 25.6450 USD
USD 0.01 common Purchase 200 25.6650 USD
USD 0.01 common Purchase 232 25.3347 USD
USD 0.01 common Purchase 300 25.5750 USD
USD 0.01 common Purchase 300 25.6500 USD
USD 0.01 common Purchase 340 25.4671 USD
USD 0.01 common Purchase 400 25.6050 USD
USD 0.01 common Purchase 707 25.5593 USD
USD 0.01 common Purchase 1,000 25.6510 USD
USD 0.01 common Purchase 1,041 25.6215 USD
USD 0.01 common Purchase 1,189 25.4625 USD
USD 0.01 common Purchase 1,200 25.4812 USD
USD 0.01 common Purchase 1,200 25.4991 USD
USD 0.01 common Purchase 1,240 25.5013 USD
USD 0.01 common Purchase 1,407 25.5463 USD
USD 0.01 common Purchase 1,414 25.5193 USD
USD 0.01 common Purchase 1,700 25.4911 USD
USD 0.01 common Purchase 1,860 25.5130 USD
USD 0.01 common Purchase 1,973 25.5216 USD
USD 0.01 common Purchase 2,029 25.5179 USD
USD 0.01 common Purchase 2,252 25.5198 USD
USD 0.01 common Purchase 2,788 25.5701 USD
USD 0.01 common Purchase 3,060 25.5537 USD
USD 0.01 common Purchase 3,091 25.5239 USD
USD 0.01 common Purchase 3,333 25.5110 USD
USD 0.01 common Purchase 3,656 25.5446 USD
USD 0.01 common Purchase 3,821 25.4831 USD
USD 0.01 common Purchase 4,005 25.4292 USD
USD 0.01 common Purchase 9,255 25.5402 USD
USD 0.01 common Purchase 12,413 25.4478 USD
USD 0.01 common Purchase 23,759 25.5302 USD
USD 0.01 common Purchase 27,420 25.3779 USD
USD 0.01 common Purchase 33,631 25.5559 USD
USD 0.01 common Purchase 36,374 25.5077 USD
USD 0.01 common Purchase 37,881 25.5612 USD
USD 0.01 common Purchase 47,958 25.5019 USD
USD 0.01 common Purchase 52,442 25.5620 USD
USD 0.01 common Purchase 64,286 25.5600 USD
USD 0.01 common Sale 16 25.7000 USD
USD 0.01 common Sale 25 25.5750 USD
USD 0.01 common Sale 100 25.4500 USD
USD 0.01 common Sale 100 25.3900 USD
USD 0.01 common Sale 100 25.3400 USD
USD 0.01 common Sale 100 25.6500 USD
USD 0.01 common Sale 102 25.3882 USD
USD 0.01 common Sale 112 25.5564 USD
USD 0.01 common Sale 171 25.6250 USD
USD 0.01 common Sale 200 25.7050 USD
USD 0.01 common Sale 344 25.3891 USD
USD 0.01 common Sale 580 25.5500 USD
USD 0.01 common Sale 600 25.5208 USD
USD 0.01 common Sale 600 25.3633 USD
USD 0.01 common Sale 693 25.5537 USD
USD 0.01 common Sale 707 25.5593 USD
USD 0.01 common Sale 707 25.5594 USD
USD 0.01 common Sale 762 25.5726 USD
USD 0.01 common Sale 800 25.3262 USD
USD 0.01 common Sale 900 25.4544 USD
USD 0.01 common Sale 901 25.4018 USD
USD 0.01 common Sale 985 25.5425 USD
USD 0.01 common Sale 1,000 25.6510 USD
USD 0.01 common Sale 1,045 25.4469 USD
USD 0.01 common Sale 1,200 25.4070 USD
USD 0.01 common Sale 1,257 25.5190 USD
USD 0.01 common Sale 1,278 25.4979 USD
USD 0.01 common Sale 1,425 25.5107 USD
USD 0.01 common Sale 1,555 25.4277 USD
USD 0.01 common Sale 1,770 25.4860 USD
USD 0.01 common Sale 2,070 25.4980 USD
USD 0.01 common Sale 2,326 25.4734 USD
USD 0.01 common Sale 2,450 25.4015 USD
USD 0.01 common Sale 2,560 25.4906 USD
USD 0.01 common Sale 2,574 25.6006 USD
USD 0.01 common Sale 2,641 25.4794 USD
USD 0.01 common Sale 2,656 25.5629 USD
USD 0.01 common Sale 2,826 25.4783 USD
USD 0.01 common Sale 3,201 25.5452 USD
USD 0.01 common Sale 3,456 25.5353 USD
USD 0.01 common Sale 3,520 25.5072 USD
USD 0.01 common Sale 3,701 25.4914 USD
USD 0.01 common Sale 4,049 25.4913 USD
USD 0.01 common Sale 4,319 25.5179 USD
USD 0.01 common Sale 4,547 25.4942 USD
USD 0.01 common Sale 5,105 25.3963 USD
USD 0.01 common Sale 5,836 25.5598 USD
USD 0.01 common Sale 5,952 25.4700 USD
USD 0.01 common Sale 7,485 25.4610 USD
USD 0.01 common Sale 10,909 25.4438 USD
USD 0.01 common Sale 15,114 25.3554 USD
USD 0.01 common Sale 16,913 25.4712 USD
USD 0.01 common Sale 21,083 25.5865 USD
USD 0.01 common Sale 25,033 25.5459 USD
USD 0.01 common Sale 34,761 25.5427 USD
USD 0.01 common Sale 38,881 25.5628 USD
USD 0.01 common Sale 39,262 25.5506 USD
USD 0.01 common Sale 43,983 25.5600 USD
USD 0.01 common Sale 59,288 25.5405 USD
(b) Cash-settled derivative transactions
Class of Product Nature of dealing Number of Price per
relevant description reference unit
security securities
USD 0.01 common SWAP Long 219 25.2200 USD
(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: 5 Oct 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=52502632&newsitemid=20211005005977&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=5b79fdb247ad64f8eeb7972d2befc5bb)
.
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&esheet=52502632&newsitemid=20211005005977&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=3d9caa06e1220ca240a930f253a2f435)
.
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(https://www.businesswire.com/news/home/20211005005977/en/)
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