REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC - AMENDMENT
04/11/2021 16:30
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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: 2 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: 1,652,237 0.28% 1,036,638 0.18%
(2) Cash-settled derivatives:
645,961 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: 2,298,698 0.40% 2,067,060 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 58 25.2681 USD
USD 0.01 common Purchase 65 25.2871 USD
USD 0.01 common Purchase 70 25.2205 USD
USD 0.01 common Purchase 71 25.2734 USD
USD 0.01 common Purchase 87 25.2972 USD
USD 0.01 common Purchase 100 25.2175 USD
USD 0.01 common Purchase 100 25.1850 USD
USD 0.01 common Purchase 100 25.2150 USD
USD 0.01 common Purchase 100 25.1900 USD
USD 0.01 common Purchase 101 25.3644 USD
USD 0.01 common Purchase 109 25.2374 USD
USD 0.01 common Purchase 116 25.2610 USD
USD 0.01 common Purchase 129 25.2129 USD
USD 0.01 common Purchase 164 25.2401 USD
USD 0.01 common Purchase 187 25.2519 USD
USD 0.01 common Purchase 244 25.5395 USD
USD 0.01 common Purchase 244 25.2022 USD
USD 0.01 common Purchase 245 25.2297 USD
USD 0.01 common Purchase 283 25.2100 USD
USD 0.01 common Purchase 300 25.2400 USD
USD 0.01 common Purchase 300 25.2516 USD
USD 0.01 common Purchase 300 25.1933 USD
USD 0.01 common Purchase 300 25.2350 USD
USD 0.01 common Purchase 448 25.1927 USD
USD 0.01 common Purchase 568 25.2367 USD
USD 0.01 common Purchase 600 25.2200 USD
USD 0.01 common Purchase 709 25.2655 USD
USD 0.01 common Purchase 963 25.2215 USD
USD 0.01 common Purchase 1,500 25.3246 USD
USD 0.01 common Purchase 1,800 25.3136 USD
USD 0.01 common Purchase 2,000 25.2382 USD
USD 0.01 common Purchase 2,074 25.2045 USD
USD 0.01 common Purchase 3,314 25.3440 USD
USD 0.01 common Purchase 3,612 25.2683 USD
USD 0.01 common Purchase 3,756 25.2230 USD
USD 0.01 common Purchase 4,489 25.3283 USD
USD 0.01 common Purchase 4,879 25.2265 USD
USD 0.01 common Purchase 6,840 25.2320 USD
USD 0.01 common Purchase 9,060 25.3500 USD
USD 0.01 common Purchase 15,107 25.4932 USD
USD 0.01 common Purchase 22,847 25.2774 USD
USD 0.01 common Purchase 26,104 25.2292 USD
USD 0.01 common Purchase 28,324 25.2325 USD
USD 0.01 common Purchase 70,778 25.2323 USD
USD 0.01 common Purchase 102,778 25.2300 USD
USD 0.01 common Sale 1 25.1600 USD
USD 0.01 common Sale 2 25.6800 USD
USD 0.01 common Sale 51 25.6186 USD
USD 0.01 common Sale 300 25.3583 USD
USD 0.01 common Sale 1,077 25.4315 USD
USD 0.01 common Sale 1,166 25.3700 USD
USD 0.01 common Sale 1,178 25.5783 USD
USD 0.01 common Sale 1,190 25.2977 USD
USD 0.01 common Sale 1,352 25.4506 USD
USD 0.01 common Sale 1,500 25.3246 USD
USD 0.01 common Sale 2,666 25.2497 USD
USD 0.01 common Sale 2,700 25.2857 USD
USD 0.01 common Sale 3,137 25.2756 USD
USD 0.01 common Sale 3,292 25.3395 USD
USD 0.01 common Sale 4,215 25.5408 USD
USD 0.01 common Sale 7,021 25.2571 USD
USD 0.01 common Sale 7,983 25.2341 USD
USD 0.01 common Sale 8,720 25.4764 USD
USD 0.01 common Sale 13,786 25.2298 USD
USD 0.01 common Sale 17,387 25.2265 USD
USD 0.01 common Sale 18,120 25.3500 USD
USD 0.01 common Sale 27,941 25.2271 USD
USD 0.01 common Sale 31,859 25.2251 USD
USD 0.01 common Sale 163,622 25.2300 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: 4 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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