REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC - Amendment
25/01/2022 15:35
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Form 8.3 - NORTONLIFELOCK INC - Amendment
FORM 8.3 - Amendment to Sale & 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: 21 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: 1,346,812 0.23% 598,654 0.10%
(2) Cash-settled derivatives:
335,807 0.06% 1,513,170 0.26%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 2,100 0.00%
TOTAL: 1,682,619 0.29% 2,113,924 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 6 26.1733 USD
USD 0.01 common Purchase 25 25.9900 USD
USD 0.01 common Purchase 45 26.1488 USD
USD 0.01 common Purchase 47 26.1000 USD
USD 0.01 common Purchase 75 26.0933 USD
USD 0.01 common Purchase 75 26.0666 USD
USD 0.01 common Purchase 75 26.0533 USD
USD 0.01 common Purchase 94 26.0950 USD
USD 0.01 common Purchase 94 26.1100 USD
USD 0.01 common Purchase 94 26.0800 USD
USD 0.01 common Purchase 100 26.0575 USD
USD 0.01 common Purchase 100 26.3800 USD
USD 0.01 common Purchase 109 26.4200 USD
USD 0.01 common Purchase 125 26.0700 USD
USD 0.01 common Purchase 141 26.0866 USD
USD 0.01 common Purchase 166 26.0972 USD
USD 0.01 common Purchase 200 26.4000 USD
USD 0.01 common Purchase 200 26.4050 USD
USD 0.01 common Purchase 200 26.1200 USD
USD 0.01 common Purchase 209 26.2000 USD
USD 0.01 common Purchase 431 26.0546 USD
USD 0.01 common Purchase 500 26.3870 USD
USD 0.01 common Purchase 589 26.1437 USD
USD 0.01 common Purchase 672 26.1659 USD
USD 0.01 common Purchase 756 26.3978 USD
USD 0.01 common Purchase 800 26.4062 USD
USD 0.01 common Purchase 989 26.1056 USD
USD 0.01 common Purchase 3,250 26.0900 USD
USD 0.01 common Purchase 4,885 26.4095 USD
USD 0.01 common Purchase 5,089 26.1902 USD
USD 0.01 common Purchase 5,248 26.2038 USD
USD 0.01 common Purchase 7,517 26.1262 USD
USD 0.01 common Purchase 8,047 26.1981 USD
USD 0.01 common Purchase 11,557 26.1476 USD
USD 0.01 common Purchase 12,494 26.1312 USD
USD 0.01 common Purchase 12,657 26.3722 USD
USD 0.01 common Purchase 42,342 26.0710 USD
USD 0.01 common Purchase 43,387 26.1507 USD
USD 0.01 common Purchase 43,961 26.2106 USD
USD 0.01 common Purchase 84,319 26.0600 USD
USD 0.01 common Sale 18 26.3000 USD
USD 0.01 common Sale 22 26.1800 USD
USD 0.01 common Sale 23 26.0400 USD
USD 0.01 common Sale 46 26.0300 USD
USD 0.01 common Sale 69 26.0500 USD
USD 0.01 common Sale 100 26.1100 USD
USD 0.01 common Sale 100 26.1000 USD
USD 0.01 common Sale 100 26.1300 USD
USD 0.01 common Sale 100 26.1450 USD
USD 0.01 common Sale 100 26.2100 USD
USD 0.01 common Sale 100 26.2250 USD
USD 0.01 common Sale 156 26.3500 USD
USD 0.01 common Sale 200 26.2225 USD
USD 0.01 common Sale 225 26.2858 USD
USD 0.01 common Sale 259 26.0650 USD
USD 0.01 common Sale 339 26.0586 USD
USD 0.01 common Sale 459 26.2764 USD
USD 0.01 common Sale 466 26.2231 USD
USD 0.01 common Sale 500 26.1280 USD
USD 0.01 common Sale 500 26.3640 USD
USD 0.01 common Sale 656 26.0609 USD
USD 0.01 common Sale 800 26.2887 USD
USD 0.01 common Sale 998 26.2492 USD
USD 0.01 common Sale 1,291 26.0766 USD
USD 0.01 common Sale 1,384 26.0736 USD
USD 0.01 common Sale 1,526 26.0688 USD
USD 0.01 common Sale 1,753 26.0716 USD
USD 0.01 common Sale 1,778 26.0674 USD
USD 0.01 common Sale 2,054 26.0533 USD
USD 0.01 common Sale 2,083 26.0620 USD
USD 0.01 common Sale 2,096 26.0671 USD
USD 0.01 common Sale 2,406 26.3070 USD
USD 0.01 common Sale 2,718 26.0517 USD
USD 0.01 common Sale 3,200 26.0900 USD
USD 0.01 common Sale 3,478 26.2103 USD
USD 0.01 common Sale 4,034 26.2364 USD
USD 0.01 common Sale 4,109 26.1738 USD
USD 0.01 common Sale 4,313 26.0998 USD
USD 0.01 common Sale 4,729 26.1993 USD
USD 0.01 common Sale 6,750 26.4000 USD
USD 0.01 common Sale 6,984 26.0824 USD
USD 0.01 common Sale 7,042 26.1356 USD
USD 0.01 common Sale 7,550 26.4059 USD
USD 0.01 common Sale 7,550 26.4500 USD
USD 0.01 common Sale 7,866 26.3800 USD
USD 0.01 common Sale 8,385 26.1102 USD
USD 0.01 common Sale 13,303 26.1677 USD
USD 0.01 common Sale 14,688 26.0741 USD
USD 0.01 common Sale 21,957 26.0926 USD
USD 0.01 common Sale 25,365 26.2075 USD
USD 0.01 common Sale 27,140 26.0600 USD
USD 0.01 common Sale 40,093 26.1806 USD
USD 0.01 common Sale 64,472 26.1216 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: 25 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=52568205&newsitemid=20220125005840&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=3afa06acf1c2f8f35f13771f87779fff)
.
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=52568205&newsitemid=20220125005840&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=60585a2beda122e5569a09bb0fe68c30)
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