REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC - Amendment
22/11/2021 14:55
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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: 18 November 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: 1,631,641 0.28% 793,503 0.14%
(2) Cash-settled derivatives:
636,577 0.11% 1,308,983 0.23%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 2,100 0.00%
TOTAL: 2,268,218 0.39% 2,104,586 0.36%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 376,000 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%
TOTAL: 376,000 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 1 24.6900 USD
USD 0.01 common Purchase 21 24.7916 USD
USD 0.01 common Purchase 25 24.7868 USD
USD 0.01 common Purchase 50 24.7330 USD
USD 0.01 common Purchase 58 24.7284 USD
USD 0.01 common Purchase 85 24.7470 USD
USD 0.01 common Purchase 90 24.7525 USD
USD 0.01 common Purchase 99 24.7845 USD
USD 0.01 common Purchase 100 24.7000 USD
USD 0.01 common Purchase 100 24.7465 USD
USD 0.01 common Purchase 105 24.7761 USD
USD 0.01 common Purchase 105 24.7371 USD
USD 0.01 common Purchase 106 24.7879 USD
USD 0.01 common Purchase 113 24.7508 USD
USD 0.01 common Purchase 116 24.7642 USD
USD 0.01 common Purchase 123 24.7719 USD
USD 0.01 common Purchase 127 24.8000 USD
USD 0.01 common Purchase 131 24.8514 USD
USD 0.01 common Purchase 144 24.7500 USD
USD 0.01 common Purchase 180 24.7325 USD
USD 0.01 common Purchase 201 24.7449 USD
USD 0.01 common Purchase 301 24.7229 USD
USD 0.01 common Purchase 358 24.7324 USD
USD 0.01 common Purchase 369 24.7560 USD
USD 0.01 common Purchase 378 24.7395 USD
USD 0.01 common Purchase 391 24.7200 USD
USD 0.01 common Purchase 422 21.8327 EUR
USD 0.01 common Purchase 500 27.0000 USD
USD 0.01 common Purchase 500 24.7620 USD
USD 0.01 common Purchase 506 24.6389 USD
USD 0.01 common Purchase 600 24.7291 USD
USD 0.01 common Purchase 843 24.8274 USD
USD 0.01 common Purchase 1,054 24.7300 USD
USD 0.01 common Purchase 2,169 24.7521 USD
USD 0.01 common Purchase 2,179 24.7695 USD
USD 0.01 common Purchase 3,341 24.7856 USD
USD 0.01 common Purchase 4,418 24.7496 USD
USD 0.01 common Purchase 10,915 24.7744 USD
USD 0.01 common Purchase 16,756 24.7800 USD
USD 0.01 common Purchase 22,554 24.7733 USD
USD 0.01 common Purchase 27,672 24.7624 USD
USD 0.01 common Purchase 39,116 24.7735 USD
USD 0.01 common Purchase 41,154 24.7482 USD
USD 0.01 common Purchase 81,289 24.7036 USD
USD 0.01 common Sale 1 24.6900 USD
USD 0.01 common Sale 12 24.8200 USD
USD 0.01 common Sale 12 24.8100 USD
USD 0.01 common Sale 21 24.6804 USD
USD 0.01 common Sale 47 24.7400 USD
USD 0.01 common Sale 157 24.6376 USD
USD 0.01 common Sale 300 24.7616 USD
USD 0.01 common Sale 360 24.8600 USD
USD 0.01 common Sale 400 24.7625 USD
USD 0.01 common Sale 422 21.8327 EUR
USD 0.01 common Sale 700 24.7242 USD
USD 0.01 common Sale 700 24.7607 USD
USD 0.01 common Sale 731 24.7800 USD
USD 0.01 common Sale 988 24.7600 USD
USD 0.01 common Sale 1,300 24.7650 USD
USD 0.01 common Sale 1,982 24.6941 USD
USD 0.01 common Sale 2,442 24.7322 USD
USD 0.01 common Sale 3,153 24.7976 USD
USD 0.01 common Sale 3,300 24.7602 USD
USD 0.01 common Sale 3,611 24.7678 USD
USD 0.01 common Sale 4,418 24.7497 USD
USD 0.01 common Sale 4,418 24.7496 USD
USD 0.01 common Sale 5,411 24.7936 USD
USD 0.01 common Sale 12,788 24.7729 USD
USD 0.01 common Sale 17,341 24.7806 USD
USD 0.01 common Sale 25,243 24.7653 USD
USD 0.01 common Sale 36,176 24.7740 USD
USD 0.01 common Sale 48,718 24.7500 USD
USD 0.01 common Sale 182,140 24.7109 USD
NB: The below transactions which were previously disclosed have been cancelled
Class of relevant Purchase/sale Number of Price per unit
security securities
USD 0.01 common Sale 91,070 24.7109 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 Product Writing, Number Exercise Type Expiry Option
of description purchasing, of price date money
relevant selling, securities per unit paid/
security varying etc to which received
option per unit
relates
USD 0.01 common Call Options Selling 500 27 USD American 21 Jan 2022 8.5000 USD
(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: 22 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
(https://cts.businesswire.com/ct/CT?id=smartlink&url=http%3A%2F%2Fwww.thetakeoverpanel.org.uk%2F&esheet=52531478&newsitemid=20211122006288&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=14274b7faf070d7e268929f4e796c494)
.
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 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=52531478&newsitemid=20211122006288&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=460f91856fa99a3e103c7543edb5f53f)
.
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