REG-BARCLAYS PLC FORM 8.3 - NORTONLIFELOCK INC. - AMENDMENT
18/10/2021 16:40
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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: 14 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: 1,522,884 0.26% 886,075 0.15%
(2) Cash-settled derivatives:
641,167 0.11% 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: 2,164,551 0.37% 1,916,497 0.33%
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 52 25.1917 USD
USD 0.01 common Purchase 63 25.2883 USD
USD 0.01 common Purchase 64 25.2650 USD
USD 0.01 common Purchase 65 25.2897 USD
USD 0.01 common Purchase 84 25.2950 USD
USD 0.01 common Purchase 93 25.3103 USD
USD 0.01 common Purchase 100 25.2400 USD
USD 0.01 common Purchase 100 25.4150 USD
USD 0.01 common Purchase 100 25.3300 USD
USD 0.01 common Purchase 103 25.2954 USD
USD 0.01 common Purchase 158 25.2800 USD
USD 0.01 common Purchase 170 25.2888 USD
USD 0.01 common Purchase 251 25.2855 USD
USD 0.01 common Purchase 300 25.3000 USD
USD 0.01 common Purchase 650 25.2686 USD
USD 0.01 common Purchase 1,000 25.3200 USD
USD 0.01 common Purchase 1,300 25.2369 USD
USD 0.01 common Purchase 1,300 25.3138 USD
USD 0.01 common Purchase 1,843 25.2182 USD
USD 0.01 common Purchase 1,850 25.2945 USD
USD 0.01 common Purchase 2,220 25.2864 USD
USD 0.01 common Purchase 2,785 25.2208 USD
USD 0.01 common Purchase 2,900 25.2903 USD
USD 0.01 common Purchase 3,395 25.3078 USD
USD 0.01 common Purchase 4,188 25.3053 USD
USD 0.01 common Purchase 8,695 25.3418 USD
USD 0.01 common Purchase 9,026 25.3086 USD
USD 0.01 common Purchase 9,573 25.2782 USD
USD 0.01 common Purchase 10,654 25.2893 USD
USD 0.01 common Purchase 14,045 25.2784 USD
USD 0.01 common Purchase 15,443 25.2973 USD
USD 0.01 common Purchase 48,150 25.2899 USD
USD 0.01 common Purchase 53,091 25.2916 USD
USD 0.01 common Purchase 63,451 25.2926 USD
USD 0.01 common Purchase 184,105 25.2900 USD
USD 0.01 common Sale 1 25.3600 USD
USD 0.01 common Sale 3 25.3666 USD
USD 0.01 common Sale 12 25.2600 USD
USD 0.01 common Sale 52 25.1917 USD
USD 0.01 common Sale 79 25.2800 USD
USD 0.01 common Sale 185 25.2950 USD
USD 0.01 common Sale 200 25.3000 USD
USD 0.01 common Sale 408 25.3307 USD
USD 0.01 common Sale 576 25.2874 USD
USD 0.01 common Sale 1,854 25.3091 USD
USD 0.01 common Sale 2,315 25.2784 USD
USD 0.01 common Sale 5,321 25.3036 USD
USD 0.01 common Sale 8,151 25.2990 USD
USD 0.01 common Sale 10,859 25.2975 USD
USD 0.01 common Sale 12,322 25.3183 USD
USD 0.01 common Sale 16,537 25.3022 USD
USD 0.01 common Sale 18,195 25.2793 USD
USD 0.01 common Sale 48,515 25.2899 USD
USD 0.01 common Sale 57,761 25.2932 USD
USD 0.01 common Sale 62,518 25.2851 USD
USD 0.01 common Sale 190,016 25.2900 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: 18 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=52510801&newsitemid=20211018005732&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=f3a08eed4af889203ea31f0836365e2c)
.
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=52510801&newsitemid=20211018005732&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=16ad0e36f15b4de0513aaca243072e1c)
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