REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC - AMENDMENT
03/11/2021 14:50
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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: 1 Nov 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: 1,670,187 0.29% 1,054,306 0.18%
(2) Cash-settled derivatives:
665,053 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: 2,335,740 0.40% 2,084,728 0.36%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 361,000 0.06% 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: 361,000 0.06% 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 48 25.5600 USD
USD 0.01 common Purchase 68 25.2900 USD
USD 0.01 common Purchase 68 25.6500 USD
USD 0.01 common Purchase 70 25.3050 USD
USD 0.01 common Purchase 120 25.3100 USD
USD 0.01 common Purchase 124 25.3746 USD
USD 0.01 common Purchase 140 25.3000 USD
USD 0.01 common Purchase 163 25.4566 USD
USD 0.01 common Purchase 200 25.3200 USD
USD 0.01 common Purchase 253 25.3783 USD
USD 0.01 common Purchase 300 25.3400 USD
USD 0.01 common Purchase 422 25.4200 USD
USD 0.01 common Purchase 475 25.3989 USD
USD 0.01 common Purchase 540 25.3911 USD
USD 0.01 common Purchase 541 25.4900 USD
USD 0.01 common Purchase 578 25.4199 USD
USD 0.01 common Purchase 685 25.3823 USD
USD 0.01 common Purchase 1,045 25.2896 USD
USD 0.01 common Purchase 1,097 25.3389 USD
USD 0.01 common Purchase 1,400 25.3964 USD
USD 0.01 common Purchase 2,187 25.4382 USD
USD 0.01 common Purchase 2,502 25.4114 USD
USD 0.01 common Purchase 2,926 25.3815 USD
USD 0.01 common Purchase 3,616 25.3818 USD
USD 0.01 common Purchase 4,401 25.3898 USD
USD 0.01 common Purchase 5,381 25.3913 USD
USD 0.01 common Purchase 5,907 25.3759 USD
USD 0.01 common Purchase 6,417 25.4157 USD
USD 0.01 common Purchase 10,520 25.3848 USD
USD 0.01 common Purchase 10,520 25.3847 USD
USD 0.01 common Purchase 15,707 25.3674 USD
USD 0.01 common Purchase 26,442 25.3819 USD
USD 0.01 common Purchase 39,770 25.3655 USD
USD 0.01 common Purchase 77,957 25.3500 USD
USD 0.01 common Sale 2 25.3250 USD
USD 0.01 common Sale 7 25.5771 USD
USD 0.01 common Sale 12 25.3150 USD
USD 0.01 common Sale 68 25.2900 USD
USD 0.01 common Sale 94 25.6150 USD
USD 0.01 common Sale 100 25.6000 USD
USD 0.01 common Sale 100 25.5650 USD
USD 0.01 common Sale 100 25.5200 USD
USD 0.01 common Sale 100 25.3600 USD
USD 0.01 common Sale 113 25.3241 USD
USD 0.01 common Sale 200 25.2800 USD
USD 0.01 common Sale 200 25.3000 USD
USD 0.01 common Sale 200 25.4400 USD
USD 0.01 common Sale 200 25.4250 USD
USD 0.01 common Sale 200 25.3525 USD
USD 0.01 common Sale 300 25.3183 USD
USD 0.01 common Sale 400 25.3125 USD
USD 0.01 common Sale 414 25.4620 USD
USD 0.01 common Sale 431 25.3383 USD
USD 0.01 common Sale 500 25.3160 USD
USD 0.01 common Sale 512 25.4525 USD
USD 0.01 common Sale 631 25.5255 USD
USD 0.01 common Sale 641 25.4603 USD
USD 0.01 common Sale 701 25.3157 USD
USD 0.01 common Sale 786 25.3159 USD
USD 0.01 common Sale 1,285 25.4140 USD
USD 0.01 common Sale 1,900 25.4664 USD
USD 0.01 common Sale 2,187 25.4382 USD
USD 0.01 common Sale 2,699 25.3135 USD
USD 0.01 common Sale 3,379 25.3487 USD
USD 0.01 common Sale 3,597 25.3517 USD
USD 0.01 common Sale 3,975 25.4089 USD
USD 0.01 common Sale 4,587 25.3852 USD
USD 0.01 common Sale 4,976 25.4592 USD
USD 0.01 common Sale 8,419 25.4150 USD
USD 0.01 common Sale 10,520 25.3847 USD
USD 0.01 common Sale 14,322 25.3571 USD
USD 0.01 common Sale 31,733 25.3811 USD
USD 0.01 common Sale 43,642 25.3643 USD
USD 0.01 common Sale 78,079 25.3500 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: 3 Nov 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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