REG-BARCLAYS PLC FORM 8.3 - NORTONLIFELOCK INC - Amendment
23/11/2021 16:05
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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: 19 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: 1,667,817 0.29% 817,110 0.14%
(2) Cash-settled derivatives:
644,072 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: 2,311,889 0.40% 2,128,193 0.37%
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 24.6850 USD
USD 0.01 common Purchase 1 24.8300 USD
USD 0.01 common Purchase 2 24.8000 USD
USD 0.01 common Purchase 20 24.6550 USD
USD 0.01 common Purchase 54 24.9317 USD
USD 0.01 common Purchase 72 24.9950 USD
USD 0.01 common Purchase 84 21.8804 EUR
USD 0.01 common Purchase 88 24.9700 USD
USD 0.01 common Purchase 100 24.9500 USD
USD 0.01 common Purchase 102 24.9730 USD
USD 0.01 common Purchase 141 24.8024 USD
USD 0.01 common Purchase 145 24.6824 USD
USD 0.01 common Purchase 153 21.7327 EUR
USD 0.01 common Purchase 200 24.7950 USD
USD 0.01 common Purchase 200 24.7050 USD
USD 0.01 common Purchase 490 24.6743 USD
USD 0.01 common Purchase 544 24.7148 USD
USD 0.01 common Purchase 700 25.0085 USD
USD 0.01 common Purchase 2,056 24.8588 USD
USD 0.01 common Purchase 2,576 24.9053 USD
USD 0.01 common Purchase 2,752 24.7900 USD
USD 0.01 common Purchase 3,258 24.6908 USD
USD 0.01 common Purchase 4,060 24.8456 USD
USD 0.01 common Purchase 5,637 24.6349 USD
USD 0.01 common Purchase 7,366 24.8403 USD
USD 0.01 common Purchase 7,504 24.8186 USD
USD 0.01 common Purchase 9,313 24.6222 USD
USD 0.01 common Purchase 9,318 24.7025 USD
USD 0.01 common Purchase 13,391 24.8302 USD
USD 0.01 common Purchase 14,020 24.8650 USD
USD 0.01 common Purchase 31,819 25.0000 USD
USD 0.01 common Purchase 57,661 24.7307 USD
USD 0.01 common Purchase 83,486 24.9420 USD
USD 0.01 common Sale 4 24.9625 USD
USD 0.01 common Sale 17 24.6864 USD
USD 0.01 common Sale 48 24.8091 USD
USD 0.01 common Sale 49 24.7597 USD
USD 0.01 common Sale 50 24.6040 USD
USD 0.01 common Sale 84 21.8804 EUR
USD 0.01 common Sale 84 24.9500 USD
USD 0.01 common Sale 88 24.9700 USD
USD 0.01 common Sale 100 24.9900 USD
USD 0.01 common Sale 134 24.9431 USD
USD 0.01 common Sale 135 24.8596 USD
USD 0.01 common Sale 147 24.9641 USD
USD 0.01 common Sale 153 21.7327 EUR
USD 0.01 common Sale 161 24.9600 USD
USD 0.01 common Sale 164 24.7150 USD
USD 0.01 common Sale 199 24.6614 USD
USD 0.01 common Sale 213 24.8731 USD
USD 0.01 common Sale 254 24.9576 USD
USD 0.01 common Sale 292 24.7334 USD
USD 0.01 common Sale 327 24.9385 USD
USD 0.01 common Sale 377 24.8940 USD
USD 0.01 common Sale 500 24.7300 USD
USD 0.01 common Sale 544 24.7148 USD
USD 0.01 common Sale 554 24.6307 USD
USD 0.01 common Sale 700 24.7357 USD
USD 0.01 common Sale 715 24.5700 USD
USD 0.01 common Sale 948 24.8915 USD
USD 0.01 common Sale 952 24.6178 USD
USD 0.01 common Sale 1,104 24.5664 USD
USD 0.01 common Sale 1,302 24.7400 USD
USD 0.01 common Sale 1,407 24.9702 USD
USD 0.01 common Sale 3,051 24.9392 USD
USD 0.01 common Sale 3,370 24.8789 USD
USD 0.01 common Sale 4,734 24.5873 USD
USD 0.01 common Sale 5,592 24.7518 USD
USD 0.01 common Sale 7,635 24.8902 USD
USD 0.01 common Sale 8,427 24.8083 USD
USD 0.01 common Sale 8,530 24.9086 USD
USD 0.01 common Sale 9,655 25.0000 USD
USD 0.01 common Sale 16,805 24.9628 USD
USD 0.01 common Sale 18,287 24.9356 USD
USD 0.01 common Sale 31,480 24.9488 USD
USD 0.01 common Sale 33,050 24.7417 USD
USD 0.01 common Sale 43,095 24.9432 USD
USD 0.01 common Sale 48,955 24.7183 USD
(b) Cash-settled derivative transactions
Class of Product Nature of dealing Number of Price per
relevant description reference unit
security securities
USD 0.01 common SWAP Long 7,495 24.5288 USD
(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: 23 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=52538643&newsitemid=20211123005951&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=ee4bba44661a2f32949e9e4d0fb7646c)
.
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=52538643&newsitemid=20211123005951&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=fdfe4d495f4632571b6a36ac34baff9e)
.
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