REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC - Amendment
01/02/2022 14:40
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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: 27 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: 1,312,068 0.23% 591,814 0.10%
(2) Cash-settled derivatives:
341,824 0.06% 1,510,550 0.26%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
TOTAL: 1,653,892 0.28% 2,102,364 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 25.3500 USD
USD 0.01 common Purchase 10 25.3450 USD
USD 0.01 common Purchase 10 25.3400 USD
USD 0.01 common Purchase 11 25.2600 USD
USD 0.01 common Purchase 11 25.2700 USD
USD 0.01 common Purchase 20 25.3750 USD
USD 0.01 common Purchase 21 25.3657 USD
USD 0.01 common Purchase 22 25.2500 USD
USD 0.01 common Purchase 26 25.2984 USD
USD 0.01 common Purchase 26 25.2884 USD
USD 0.01 common Purchase 27 25.3550 USD
USD 0.01 common Purchase 30 25.3126 USD
USD 0.01 common Purchase 30 25.3033 USD
USD 0.01 common Purchase 40 25.3350 USD
USD 0.01 common Purchase 40 25.3412 USD
USD 0.01 common Purchase 40 25.3000 USD
USD 0.01 common Purchase 42 25.3279 USD
USD 0.01 common Purchase 44 25.2800 USD
USD 0.01 common Purchase 44 25.2625 USD
USD 0.01 common Purchase 50 25.3300 USD
USD 0.01 common Purchase 50 25.3240 USD
USD 0.01 common Purchase 74 25.3150 USD
USD 0.01 common Purchase 98 25.2077 USD
USD 0.01 common Purchase 100 25.2100 USD
USD 0.01 common Purchase 110 25.3200 USD
USD 0.01 common Purchase 300 25.2300 USD
USD 0.01 common Purchase 400 25.2850 USD
USD 0.01 common Purchase 700 25.4000 USD
USD 0.01 common Purchase 2,167 25.3110 USD
USD 0.01 common Purchase 2,546 25.2822 USD
USD 0.01 common Purchase 3,044 25.4132 USD
USD 0.01 common Purchase 3,562 25.2806 USD
USD 0.01 common Purchase 3,959 25.3572 USD
USD 0.01 common Purchase 6,039 25.5489 USD
USD 0.01 common Purchase 6,083 25.2809 USD
USD 0.01 common Purchase 6,620 25.7001 USD
USD 0.01 common Purchase 16,572 25.3051 USD
USD 0.01 common Purchase 17,126 25.3100 USD
USD 0.01 common Purchase 49,978 25.2835 USD
USD 0.01 common Purchase 63,148 25.3062 USD
USD 0.01 common Sale 1 25.1600 USD
USD 0.01 common Sale 3 25.3500 USD
USD 0.01 common Sale 7 25.3900 USD
USD 0.01 common Sale 7 25.3275 USD
USD 0.01 common Sale 7 25.3300 USD
USD 0.01 common Sale 9 25.3561 USD
USD 0.01 common Sale 10 25.3450 USD
USD 0.01 common Sale 10 25.3385 USD
USD 0.01 common Sale 16 25.3271 USD
USD 0.01 common Sale 50 25.2000 USD
USD 0.01 common Sale 50 25.2300 USD
USD 0.01 common Sale 50 25.2350 USD
USD 0.01 common Sale 66 25.2500 USD
USD 0.01 common Sale 100 25.7050 USD
USD 0.01 common Sale 101 25.5463 USD
USD 0.01 common Sale 193 25.2900 USD
USD 0.01 common Sale 198 25.3528 USD
USD 0.01 common Sale 201 25.5489 USD
USD 0.01 common Sale 223 25.1410 USD
USD 0.01 common Sale 279 25.2475 USD
USD 0.01 common Sale 300 25.3150 USD
USD 0.01 common Sale 300 25.4333 USD
USD 0.01 common Sale 325 25.4621 USD
USD 0.01 common Sale 337 25.2954 USD
USD 0.01 common Sale 371 25.2938 USD
USD 0.01 common Sale 400 25.2137 USD
USD 0.01 common Sale 441 25.3256 USD
USD 0.01 common Sale 483 25.3043 USD
USD 0.01 common Sale 568 25.2932 USD
USD 0.01 common Sale 600 25.2750 USD
USD 0.01 common Sale 700 25.4000 USD
USD 0.01 common Sale 1,150 25.2437 USD
USD 0.01 common Sale 1,211 25.3348 USD
USD 0.01 common Sale 1,232 25.1686 USD
USD 0.01 common Sale 1,492 25.1719 USD
USD 0.01 common Sale 1,500 25.5500 USD
USD 0.01 common Sale 1,576 25.2046 USD
USD 0.01 common Sale 1,625 25.3149 USD
USD 0.01 common Sale 1,700 25.2235 USD
USD 0.01 common Sale 2,100 25.3224 USD
USD 0.01 common Sale 2,699 25.1895 USD
USD 0.01 common Sale 3,005 25.2902 USD
USD 0.01 common Sale 3,062 25.2720 USD
USD 0.01 common Sale 4,220 25.5498 USD
USD 0.01 common Sale 4,304 25.2641 USD
USD 0.01 common Sale 6,520 25.7000 USD
USD 0.01 common Sale 7,517 25.3313 USD
USD 0.01 common Sale 16,382 25.3053 USD
USD 0.01 common Sale 17,452 25.3100 USD
USD 0.01 common Sale 28,044 25.2953 USD
USD 0.01 common Sale 69,236 25.3131 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 6,017 25.5200 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? NO
Date of disclosure: 1 Feb 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
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