REG-BARCLAYS PLC FORM 8.3 - NORTONLIFELOCK INC - Amendment
03/02/2022 17:15
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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: 01 February 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: 1,339,896 0.23% 563,483 0.10%
(2) Cash-settled derivatives:
366,366 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: 1,706,262 0.29% 2,074,033 0.36%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 218,000 0.04% 38,000 0.01%
(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: 218,000 0.04% 38,000 0.01%
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
Convertible Bond Purchase 38,000 128.4375 USD
Convertible Bond Sale 38,000 128.4375 USD
USD 0.01 common Purchase 100 26.0200 USD
USD 0.01 common Purchase 101 26.0100 USD
USD 0.01 common Purchase 132 26.0445 USD
USD 0.01 common Purchase 176 26.0315 USD
USD 0.01 common Purchase 200 26.0025 USD
USD 0.01 common Purchase 200 26.0350 USD
USD 0.01 common Purchase 200 26.0300 USD
USD 0.01 common Purchase 250 26.0180 USD
USD 0.01 common Purchase 264 26.0396 USD
USD 0.01 common Purchase 291 26.0042 USD
USD 0.01 common Purchase 295 26.0072 USD
USD 0.01 common Purchase 300 26.0366 USD
USD 0.01 common Purchase 300 26.0233 USD
USD 0.01 common Purchase 358 26.0093 USD
USD 0.01 common Purchase 393 26.0816 USD
USD 0.01 common Purchase 420 26.0497 USD
USD 0.01 common Purchase 456 26.0165 USD
USD 0.01 common Purchase 600 26.1133 USD
USD 0.01 common Purchase 649 26.0137 USD
USD 0.01 common Purchase 1,016 26.0701 USD
USD 0.01 common Purchase 1,043 26.0617 USD
USD 0.01 common Purchase 1,429 25.9861 USD
USD 0.01 common Purchase 1,498 26.0732 USD
USD 0.01 common Purchase 1,640 26.0409 USD
USD 0.01 common Purchase 2,709 26.0750 USD
USD 0.01 common Purchase 3,113 26.0820 USD
USD 0.01 common Purchase 4,697 26.0055 USD
USD 0.01 common Purchase 6,145 25.9971 USD
USD 0.01 common Purchase 7,025 26.0886 USD
USD 0.01 common Purchase 7,813 26.0473 USD
USD 0.01 common Purchase 10,163 26.0621 USD
USD 0.01 common Purchase 13,789 26.0355 USD
USD 0.01 common Purchase 17,626 26.0342 USD
USD 0.01 common Purchase 22,656 26.0001 USD
USD 0.01 common Purchase 42,568 26.0561 USD
USD 0.01 common Purchase 54,924 26.0000 USD
USD 0.01 common Purchase 186,207 26.0218 USD
USD 0.01 common Purchase 474,043 26.0616 USD
USD 0.01 common Sale 7 26.0300 USD
USD 0.01 common Sale 7 25.9950 USD
USD 0.01 common Sale 9 26.1083 USD
USD 0.01 common Sale 10 26.1000 USD
USD 0.01 common Sale 14 26.0075 USD
USD 0.01 common Sale 15 25.9900 USD
USD 0.01 common Sale 21 26.0133 USD
USD 0.01 common Sale 21 26.1200 USD
USD 0.01 common Sale 21 25.9916 USD
USD 0.01 common Sale 28 26.0125 USD
USD 0.01 common Sale 56 26.0150 USD
USD 0.01 common Sale 107 26.0200 USD
USD 0.01 common Sale 154 26.0100 USD
USD 0.01 common Sale 200 26.1150 USD
USD 0.01 common Sale 214 26.0250 USD
USD 0.01 common Sale 247 26.0900 USD
USD 0.01 common Sale 273 26.0413 USD
USD 0.01 common Sale 300 26.0233 USD
USD 0.01 common Sale 400 26.0762 USD
USD 0.01 common Sale 700 26.0285 USD
USD 0.01 common Sale 785 26.0775 USD
USD 0.01 common Sale 1,072 26.1114 USD
USD 0.01 common Sale 1,730 26.0825 USD
USD 0.01 common Sale 2,250 26.0175 USD
USD 0.01 common Sale 2,991 26.0557 USD
USD 0.01 common Sale 3,002 26.0539 USD
USD 0.01 common Sale 3,010 26.1021 USD
USD 0.01 common Sale 3,066 26.0831 USD
USD 0.01 common Sale 3,132 26.0191 USD
USD 0.01 common Sale 3,171 26.0073 USD
USD 0.01 common Sale 3,904 26.0690 USD
USD 0.01 common Sale 4,096 26.0913 USD
USD 0.01 common Sale 6,145 25.9971 USD
USD 0.01 common Sale 6,269 26.0616 USD
USD 0.01 common Sale 6,342 26.0611 USD
USD 0.01 common Sale 8,489 26.0649 USD
USD 0.01 common Sale 8,534 26.0193 USD
USD 0.01 common Sale 8,618 26.0647 USD
USD 0.01 common Sale 11,140 26.0117 USD
USD 0.01 common Sale 13,249 26.0450 USD
USD 0.01 common Sale 27,469 26.0641 USD
USD 0.01 common Sale 31,282 26.0568 USD
USD 0.01 common Sale 62,201 26.0000 USD
USD 0.01 common Sale 77,095 26.0737 USD
USD 0.01 common Sale 126,564 26.0403 USD
USD 0.01 common Sale 177,095 26.0784 USD
USD 0.01 common Sale 222,168 26.0282 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? NO
Date of disclosure: 3 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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