REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC - Amendment
20/01/2022 17:10
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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: 18 January 2022
(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: 1,292,409 0.22% 574,469 0.10%
(2) Cash-settled derivatives:
471,830 0.08% 1,513,170 0.26%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 2,100 0.00%
TOTAL: 1,764,239 0.30% 2,089,739 0.36%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 390,000 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: 390,000 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 10 26.8400 USD
USD 0.01 common Purchase 10 26.7700 USD
USD 0.01 common Purchase 13 23.2500 EUR
USD 0.01 common Purchase 20 26.7650 USD
USD 0.01 common Purchase 20 26.7975 USD
USD 0.01 common Purchase 40 26.7837 USD
USD 0.01 common Purchase 50 26.8060 USD
USD 0.01 common Purchase 52 26.7873 USD
USD 0.01 common Purchase 68 26.8100 USD
USD 0.01 common Purchase 74 26.7766 USD
USD 0.01 common Purchase 98 26.7000 USD
USD 0.01 common Purchase 100 26.7400 USD
USD 0.01 common Purchase 100 26.5300 USD
USD 0.01 common Purchase 100 26.6400 USD
USD 0.01 common Purchase 177 22.8488 EUR
USD 0.01 common Purchase 200 26.7850 USD
USD 0.01 common Purchase 220 26.7959 USD
USD 0.01 common Purchase 220 26.8000 USD
USD 0.01 common Purchase 285 26.7736 USD
USD 0.01 common Purchase 322 26.7573 USD
USD 0.01 common Purchase 349 26.7435 USD
USD 0.01 common Purchase 400 26.5112 USD
USD 0.01 common Purchase 642 26.7555 USD
USD 0.01 common Purchase 700 26.5685 USD
USD 0.01 common Purchase 928 26.7450 USD
USD 0.01 common Purchase 1,100 26.5190 USD
USD 0.01 common Purchase 1,300 26.7023 USD
USD 0.01 common Purchase 2,012 26.8020 USD
USD 0.01 common Purchase 2,307 26.7840 USD
USD 0.01 common Purchase 2,945 26.6373 USD
USD 0.01 common Purchase 3,300 26.7800 USD
USD 0.01 common Purchase 5,000 26.5762 USD
USD 0.01 common Purchase 6,804 26.7535 USD
USD 0.01 common Purchase 7,500 26.5660 USD
USD 0.01 common Purchase 10,925 26.7689 USD
USD 0.01 common Purchase 11,740 26.7713 USD
USD 0.01 common Purchase 43,230 26.7600 USD
USD 0.01 common Purchase 55,822 26.7256 USD
USD 0.01 common Purchase 63,375 26.7591 USD
USD 0.01 common Purchase 66,776 26.7999 USD
USD 0.01 common Sale 13 26.7300 USD
USD 0.01 common Sale 13 23.2500 EUR
USD 0.01 common Sale 20 26.8050 USD
USD 0.01 common Sale 25 26.8400 USD
USD 0.01 common Sale 47 26.7659 USD
USD 0.01 common Sale 64 26.7777 USD
USD 0.01 common Sale 100 26.4700 USD
USD 0.01 common Sale 145 26.7527 USD
USD 0.01 common Sale 145 26.7365 USD
USD 0.01 common Sale 170 26.7783 USD
USD 0.01 common Sale 177 22.8488 EUR
USD 0.01 common Sale 196 26.7381 USD
USD 0.01 common Sale 200 26.7650 USD
USD 0.01 common Sale 200 26.7950 USD
USD 0.01 common Sale 220 26.7031 USD
USD 0.01 common Sale 321 26.7305 USD
USD 0.01 common Sale 390 26.7850 USD
USD 0.01 common Sale 402 26.7890 USD
USD 0.01 common Sale 467 26.7952 USD
USD 0.01 common Sale 500 26.8300 USD
USD 0.01 common Sale 525 26.7357 USD
USD 0.01 common Sale 700 26.8100 USD
USD 0.01 common Sale 854 26.8189 USD
USD 0.01 common Sale 923 26.7339 USD
USD 0.01 common Sale 1,113 26.7534 USD
USD 0.01 common Sale 1,136 26.7576 USD
USD 0.01 common Sale 1,602 26.8318 USD
USD 0.01 common Sale 1,669 26.8202 USD
USD 0.01 common Sale 1,965 26.5891 USD
USD 0.01 common Sale 3,345 26.7800 USD
USD 0.01 common Sale 3,516 26.7824 USD
USD 0.01 common Sale 3,923 26.7542 USD
USD 0.01 common Sale 7,500 26.5660 USD
USD 0.01 common Sale 7,500 26.5661 USD
USD 0.01 common Sale 7,577 26.7622 USD
USD 0.01 common Sale 7,662 26.7840 USD
USD 0.01 common Sale 13,249 26.8027 USD
USD 0.01 common Sale 18,524 26.7739 USD
USD 0.01 common Sale 39,642 26.8000 USD
USD 0.01 common Sale 59,452 26.7259 USD
USD 0.01 common Sale 101,950 26.7600 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: 20 Jan 2022
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=52566184&newsitemid=20220120005814&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=311d722867cecb4be811519ac1ad5e7c)
.
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:
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