REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC - Amendment
20/10/2021 12:35
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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: 15 Oct 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: 1,576,501 0.27% 886,125 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: 2,218,168 0.38% 1,916,547 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 2 25.3250 USD
USD 0.01 common Purchase 4 25.4150 USD
USD 0.01 common Purchase 7 25.2500 USD
USD 0.01 common Purchase 7 25.2950 USD
USD 0.01 common Purchase 14 25.2875 USD
USD 0.01 common Purchase 14 25.2200 USD
USD 0.01 common Purchase 14 25.2671 USD
USD 0.01 common Purchase 14 25.2925 USD
USD 0.01 common Purchase 21 25.2266 USD
USD 0.01 common Purchase 21 25.2516 USD
USD 0.01 common Purchase 26 25.2630 USD
USD 0.01 common Purchase 28 25.2575 USD
USD 0.01 common Purchase 35 25.2750 USD
USD 0.01 common Purchase 41 25.3047 USD
USD 0.01 common Purchase 45 25.4031 USD
USD 0.01 common Purchase 53 25.4200 USD
USD 0.01 common Purchase 71 25.3301 USD
USD 0.01 common Purchase 76 25.3394 USD
USD 0.01 common Purchase 76 25.3018 USD
USD 0.01 common Purchase 85 25.2369 USD
USD 0.01 common Purchase 100 25.2150 USD
USD 0.01 common Purchase 100 25.3196 USD
USD 0.01 common Purchase 112 25.3114 USD
USD 0.01 common Purchase 116 25.3129 USD
USD 0.01 common Purchase 124 25.3535 USD
USD 0.01 common Purchase 140 25.3172 USD
USD 0.01 common Purchase 144 25.3327 USD
USD 0.01 common Purchase 148 25.3448 USD
USD 0.01 common Purchase 160 25.3385 USD
USD 0.01 common Purchase 230 25.2563 USD
USD 0.01 common Purchase 234 21.8447 EUR
USD 0.01 common Purchase 249 25.2650 USD
USD 0.01 common Purchase 669 25.3733 USD
USD 0.01 common Purchase 900 25.2400 USD
USD 0.01 common Purchase 979 25.2840 USD
USD 0.01 common Purchase 1,126 25.3555 USD
USD 0.01 common Purchase 1,200 25.3950 USD
USD 0.01 common Purchase 1,316 25.2732 USD
USD 0.01 common Purchase 1,427 25.2999 USD
USD 0.01 common Purchase 1,805 25.3900 USD
USD 0.01 common Purchase 2,200 25.2877 USD
USD 0.01 common Purchase 2,528 25.3211 USD
USD 0.01 common Purchase 2,684 25.3748 USD
USD 0.01 common Purchase 2,691 25.3061 USD
USD 0.01 common Purchase 2,718 25.2762 USD
USD 0.01 common Purchase 3,748 25.2960 USD
USD 0.01 common Purchase 4,918 25.3346 USD
USD 0.01 common Purchase 6,112 25.4051 USD
USD 0.01 common Purchase 10,059 25.3739 USD
USD 0.01 common Purchase 13,970 25.3471 USD
USD 0.01 common Purchase 16,096 25.3317 USD
USD 0.01 common Purchase 28,050 25.3017 USD
USD 0.01 common Purchase 37,389 25.3880 USD
USD 0.01 common Purchase 44,129 25.3119 USD
USD 0.01 common Purchase 64,139 25.3000 USD
USD 0.01 common Sale 1 25.2550 USD
USD 0.01 common Sale 1 25.3400 USD
USD 0.01 common Sale 24 25.3470 USD
USD 0.01 common Sale 25 25.4772 USD
USD 0.01 common Sale 34 25.2857 USD
USD 0.01 common Sale 34 25.2755 USD
USD 0.01 common Sale 35 25.3008 USD
USD 0.01 common Sale 44 25.3756 USD
USD 0.01 common Sale 53 25.4200 USD
USD 0.01 common Sale 55 25.3600 USD
USD 0.01 common Sale 59 25.3918 USD
USD 0.01 common Sale 73 25.3261 USD
USD 0.01 common Sale 85 25.2369 USD
USD 0.01 common Sale 100 25.2700 USD
USD 0.01 common Sale 100 25.2400 USD
USD 0.01 common Sale 107 25.2200 USD
USD 0.01 common Sale 200 25.2800 USD
USD 0.01 common Sale 234 21.8447 EUR
USD 0.01 common Sale 236 25.3760 USD
USD 0.01 common Sale 301 25.2697 USD
USD 0.01 common Sale 364 25.2842 USD
USD 0.01 common Sale 400 25.3087 USD
USD 0.01 common Sale 578 25.3900 USD
USD 0.01 common Sale 616 25.3476 USD
USD 0.01 common Sale 651 25.3495 USD
USD 0.01 common Sale 950 25.3724 USD
USD 0.01 common Sale 1,015 25.3913 USD
USD 0.01 common Sale 2,468 25.3808 USD
USD 0.01 common Sale 2,564 25.3211 USD
USD 0.01 common Sale 3,052 25.4074 USD
USD 0.01 common Sale 3,999 25.3133 USD
USD 0.01 common Sale 7,174 25.3571 USD
USD 0.01 common Sale 10,060 25.3691 USD
USD 0.01 common Sale 11,003 25.3016 USD
USD 0.01 common Sale 16,187 25.3230 USD
USD 0.01 common Sale 17,286 25.3398 USD
USD 0.01 common Sale 25,207 25.3000 USD
USD 0.01 common Sale 27,463 25.3017 USD
USD 0.01 common Sale 37,523 25.3876 USD
USD 0.01 common Sale 40,030 25.3113 USD
USD 0.01 common Sale 40,788 25.3005 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: 20 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
(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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