REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC - Amendment
10/12/2021 17:15
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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 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: 7 DEC 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: 1,623,884 0.28% 685,848 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%
(4)
TOTAL: 2,010,082 0.35% 2,201,116 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%
(4)
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 12 24.7950 USD
USD 0.01 common Purchase 43 24.7350 USD
USD 0.01 common Purchase 57 24.5500 USD
USD 0.01 common Purchase 78 24.8800 USD
USD 0.01 common Purchase 99 24.5404 USD
USD 0.01 common Purchase 100 24.5400 USD
USD 0.01 common Purchase 113 21.8950 EUR
USD 0.01 common Purchase 292 24.5057 USD
USD 0.01 common Purchase 323 24.5690 USD
USD 0.01 common Purchase 400 24.5700 USD
USD 0.01 common Purchase 434 24.6042 USD
USD 0.01 common Purchase 518 24.5959 USD
USD 0.01 common Purchase 725 24.6608 USD
USD 0.01 common Purchase 1,372 24.6189 USD
USD 0.01 common Purchase 1,700 24.6721 USD
USD 0.01 common Purchase 1,776 24.6400 USD
USD 0.01 common Purchase 1,996 24.6395 USD
USD 0.01 common Purchase 2,203 24.5707 USD
USD 0.01 common Purchase 2,453 24.6013 USD
USD 0.01 common Purchase 3,439 24.5997 USD
USD 0.01 common Purchase 3,703 24.5982 USD
USD 0.01 common Purchase 3,775 24.6300 USD
USD 0.01 common Purchase 3,967 24.6141 USD
USD 0.01 common Purchase 4,264 24.5965 USD
USD 0.01 common Purchase 4,519 24.5905 USD
USD 0.01 common Purchase 4,559 24.6027 USD
USD 0.01 common Purchase 4,766 24.7627 USD
USD 0.01 common Purchase 4,940 24.6355 USD
USD 0.01 common Purchase 5,062 24.6216 USD
USD 0.01 common Purchase 5,121 24.6220 USD
USD 0.01 common Purchase 5,258 24.6011 USD
USD 0.01 common Purchase 5,462 24.6538 USD
USD 0.01 common Purchase 5,643 24.6219 USD
USD 0.01 common Purchase 5,896 24.7126 USD
USD 0.01 common Purchase 6,096 24.6462 USD
USD 0.01 common Purchase 6,470 24.6109 USD
USD 0.01 common Purchase 6,554 24.6289 USD
USD 0.01 common Purchase 6,754 24.6205 USD
USD 0.01 common Purchase 7,530 24.6281 USD
USD 0.01 common Purchase 7,630 24.6475 USD
USD 0.01 common Purchase 9,709 24.5658 USD
USD 0.01 common Purchase 13,433 24.6531 USD
USD 0.01 common Purchase 14,158 24.6576 USD
USD 0.01 common Purchase 16,853 24.7340 USD
USD 0.01 common Purchase 19,139 24.6415 USD
USD 0.01 common Purchase 20,204 24.5785 USD
USD 0.01 common Purchase 41,482 24.7400 USD
USD 0.01 common Purchase 45,873 24.6391 USD
USD 0.01 common Purchase 56,592 24.7080 USD
USD 0.01 common Purchase 72,381 24.6147 USD
USD 0.01 common Purchase 80,984 24.7378 USD
USD 0.01 common Purchase 126,000 24.7298 USD
USD 0.01 common Purchase 249,045 24.7228 USD
USD 0.01 common Purchase 455,274 24.6864 USD
USD 0.01 common Sale 1 24.6300 USD
USD 0.01 common Sale 11 24.5400 USD
USD 0.01 common Sale 22 24.6150 USD
USD 0.01 common Sale 33 24.5766 USD
USD 0.01 common Sale 33 24.5500 USD
USD 0.01 common Sale 33 24.5600 USD
USD 0.01 common Sale 54 24.6993 USD
USD 0.01 common Sale 55 24.5560 USD
USD 0.01 common Sale 66 24.5550 USD
USD 0.01 common Sale 100 24.5900 USD
USD 0.01 common Sale 113 21.8950 EUR
USD 0.01 common Sale 283 24.7153 USD
USD 0.01 common Sale 292 24.5057 USD
USD 0.01 common Sale 300 24.5966 USD
USD 0.01 common Sale 300 24.7866 USD
USD 0.01 common Sale 300 24.5800 USD
USD 0.01 common Sale 400 24.5700 USD
USD 0.01 common Sale 600 24.6441 USD
USD 0.01 common Sale 600 24.7683 USD
USD 0.01 common Sale 609 24.6195 USD
USD 0.01 common Sale 700 24.5992 USD
USD 0.01 common Sale 700 24.7071 USD
USD 0.01 common Sale 900 24.5661 USD
USD 0.01 common Sale 1,000 24.6844 USD
USD 0.01 common Sale 1,003 24.7049 USD
USD 0.01 common Sale 1,011 24.6434 USD
USD 0.01 common Sale 1,100 24.6868 USD
USD 0.01 common Sale 1,391 24.5253 USD
USD 0.01 common Sale 1,489 24.6724 USD
USD 0.01 common Sale 1,529 24.7507 USD
USD 0.01 common Sale 1,640 24.5885 USD
USD 0.01 common Sale 1,776 24.6400 USD
USD 0.01 common Sale 2,103 24.6573 USD
USD 0.01 common Sale 2,584 24.7744 USD
USD 0.01 common Sale 3,242 24.6994 USD
USD 0.01 common Sale 3,359 24.6516 USD
USD 0.01 common Sale 4,666 24.7641 USD
USD 0.01 common Sale 6,150 24.7093 USD
USD 0.01 common Sale 7,247 24.7342 USD
USD 0.01 common Sale 8,451 24.6652 USD
USD 0.01 common Sale 9,354 24.6368 USD
USD 0.01 common Sale 10,544 24.7400 USD
USD 0.01 common Sale 12,676 24.7275 USD
USD 0.01 common Sale 17,009 24.7322 USD
USD 0.01 common Sale 101,289 24.7371 USD
USD 0.01 common Sale 105,422 24.6027 USD
USD 0.01 common Sale 155,000 24.6436 USD
USD 0.01 common Sale 187,200 24.7521 USD
USD 0.01 common Sale 230,837 24.6871 USD
USD 0.01 common Sale 682,911 24.6864 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 227,637 24.6864 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
(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 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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