REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC AMENDMENT
10/12/2021 16:10
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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: 08 December 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: 1,547,441 0.27% 674,749 0.12%
(2) Cash-settled derivatives:
386,198 0.07% 1,513,168 0.26%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 2,100 0.00%
TOTAL: 1,933,639 0.33% 2,190,017 0.38%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 386,000 0.07% 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: 386,000 0.07% 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 7 24.4000 USD
USD 0.01 common Purchase 100 24.4400 USD
USD 0.01 common Purchase 100 24.3900 USD
USD 0.01 common Purchase 114 24.4363 USD
USD 0.01 common Purchase 165 24.3958 USD
USD 0.01 common Purchase 200 24.4240 USD
USD 0.01 common Purchase 261 24.3787 USD
USD 0.01 common Purchase 268 24.4448 USD
USD 0.01 common Purchase 273 24.4200 USD
USD 0.01 common Purchase 319 24.4209 USD
USD 0.01 common Purchase 400 24.3500 USD
USD 0.01 common Purchase 418 24.4171 USD
USD 0.01 common Purchase 481 24.4085 USD
USD 0.01 common Purchase 516 24.4174 USD
USD 0.01 common Purchase 526 24.4045 USD
USD 0.01 common Purchase 545 24.4022 USD
USD 0.01 common Purchase 552 24.4026 USD
USD 0.01 common Purchase 640 24.4544 USD
USD 0.01 common Purchase 723 24.4188 USD
USD 0.01 common Purchase 2,270 24.4183 USD
USD 0.01 common Purchase 2,728 24.3934 USD
USD 0.01 common Purchase 2,758 24.4269 USD
USD 0.01 common Purchase 3,520 24.4097 USD
USD 0.01 common Purchase 3,700 24.4251 USD
USD 0.01 common Purchase 5,522 24.4107 USD
USD 0.01 common Purchase 9,789 24.3992 USD
USD 0.01 common Purchase 9,865 24.4165 USD
USD 0.01 common Purchase 12,945 24.4298 USD
USD 0.01 common Purchase 13,270 24.4106 USD
USD 0.01 common Purchase 18,136 24.4343 USD
USD 0.01 common Purchase 21,710 24.3895 USD
USD 0.01 common Purchase 52,256 24.4100 USD
USD 0.01 common Purchase 63,876 24.4195 USD
USD 0.01 common Sale 10 24.4020 USD
USD 0.01 common Sale 24 24.4200 USD
USD 0.01 common Sale 29 24.3925 USD
USD 0.01 common Sale 32 24.4031 USD
USD 0.01 common Sale 33 24.4266 USD
USD 0.01 common Sale 34 24.4555 USD
USD 0.01 common Sale 47 24.4176 USD
USD 0.01 common Sale 54 24.4075 USD
USD 0.01 common Sale 56 24.3701 USD
USD 0.01 common Sale 58 24.3867 USD
USD 0.01 common Sale 70 24.4098 USD
USD 0.01 common Sale 100 24.3700 USD
USD 0.01 common Sale 100 24.4240 USD
USD 0.01 common Sale 100 24.4140 USD
USD 0.01 common Sale 115 24.4235 USD
USD 0.01 common Sale 200 24.4050 USD
USD 0.01 common Sale 200 24.3725 USD
USD 0.01 common Sale 200 24.3200 USD
USD 0.01 common Sale 267 24.4494 USD
USD 0.01 common Sale 300 24.4216 USD
USD 0.01 common Sale 305 24.4065 USD
USD 0.01 common Sale 307 24.4000 USD
USD 0.01 common Sale 402 24.3500 USD
USD 0.01 common Sale 430 24.3393 USD
USD 0.01 common Sale 432 24.4037 USD
USD 0.01 common Sale 500 24.4300 USD
USD 0.01 common Sale 500 24.4226 USD
USD 0.01 common Sale 600 24.3866 USD
USD 0.01 common Sale 700 24.4021 USD
USD 0.01 common Sale 800 24.4237 USD
USD 0.01 common Sale 900 24.4238 USD
USD 0.01 common Sale 901 24.3883 USD
USD 0.01 common Sale 1,000 24.4261 USD
USD 0.01 common Sale 1,127 24.4429 USD
USD 0.01 common Sale 1,585 24.6882 USD
USD 0.01 common Sale 1,749 24.4252 USD
USD 0.01 common Sale 1,993 24.4126 USD
USD 0.01 common Sale 2,435 24.4144 USD
USD 0.01 common Sale 7,769 24.4017 USD
USD 0.01 common Sale 7,887 24.4184 USD
USD 0.01 common Sale 8,711 24.4118 USD
USD 0.01 common Sale 10,825 24.4505 USD
USD 0.01 common Sale 13,270 24.4106 USD
USD 0.01 common Sale 73,811 24.4100 USD
USD 0.01 common Sale 90,076 24.4099 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: 10 Dec 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=52545272&newsitemid=20211210005387&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=1b603ec14f088f5455580719366f8e81)
.
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=52545272&newsitemid=20211210005387&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=0c448de73850ef740293960c95b9f09b)
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