REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC - Amendment
08/02/2022 15:55
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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: 02 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: 1,618,616 0.28% 639,652 0.11%
(2) Cash-settled derivatives:
343,720 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: 1,962,336 0.34% 2,150,202 0.37%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 218,000 0.04% 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: 218,000 0.04% 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 30 25.8570 USD
USD 0.01 common Purchase 43 25.9800 USD
USD 0.01 common Purchase 100 25.8500 USD
USD 0.01 common Purchase 100 25.8400 USD
USD 0.01 common Purchase 126 26.0923 USD
USD 0.01 common Purchase 143 26.0529 USD
USD 0.01 common Purchase 200 25.9150 USD
USD 0.01 common Purchase 204 25.9794 USD
USD 0.01 common Purchase 230 26.0639 USD
USD 0.01 common Purchase 300 25.8550 USD
USD 0.01 common Purchase 300 26.0300 USD
USD 0.01 common Purchase 393 26.0415 USD
USD 0.01 common Purchase 454 26.0659 USD
USD 0.01 common Purchase 507 26.0983 USD
USD 0.01 common Purchase 600 26.1100 USD
USD 0.01 common Purchase 673 26.0729 USD
USD 0.01 common Purchase 676 26.0281 USD
USD 0.01 common Purchase 743 26.0608 USD
USD 0.01 common Purchase 875 25.9469 USD
USD 0.01 common Purchase 1,095 26.0234 USD
USD 0.01 common Purchase 1,175 25.9677 USD
USD 0.01 common Purchase 1,414 25.9482 USD
USD 0.01 common Purchase 1,472 25.9493 USD
USD 0.01 common Purchase 1,479 25.9334 USD
USD 0.01 common Purchase 1,511 25.9405 USD
USD 0.01 common Purchase 1,600 25.8975 USD
USD 0.01 common Purchase 1,609 25.9413 USD
USD 0.01 common Purchase 1,621 26.0679 USD
USD 0.01 common Purchase 1,680 26.0355 USD
USD 0.01 common Purchase 1,752 25.9605 USD
USD 0.01 common Purchase 1,809 25.9563 USD
USD 0.01 common Purchase 1,822 25.9951 USD
USD 0.01 common Purchase 1,911 25.9576 USD
USD 0.01 common Purchase 2,030 25.9436 USD
USD 0.01 common Purchase 2,042 25.9739 USD
USD 0.01 common Purchase 2,088 25.9685 USD
USD 0.01 common Purchase 2,108 25.9279 USD
USD 0.01 common Purchase 2,384 25.9905 USD
USD 0.01 common Purchase 2,704 26.0507 USD
USD 0.01 common Purchase 2,800 26.0350 USD
USD 0.01 common Purchase 2,914 25.9394 USD
USD 0.01 common Purchase 3,162 26.0034 USD
USD 0.01 common Purchase 3,331 25.9712 USD
USD 0.01 common Purchase 3,602 25.9599 USD
USD 0.01 common Purchase 3,885 26.0681 USD
USD 0.01 common Purchase 4,866 25.9055 USD
USD 0.01 common Purchase 5,048 26.0696 USD
USD 0.01 common Purchase 5,472 26.0331 USD
USD 0.01 common Purchase 6,404 25.9133 USD
USD 0.01 common Purchase 6,800 26.0672 USD
USD 0.01 common Purchase 7,196 25.9065 USD
USD 0.01 common Purchase 7,737 26.0371 USD
USD 0.01 common Purchase 9,774 26.0819 USD
USD 0.01 common Purchase 10,094 26.0092 USD
USD 0.01 common Purchase 10,214 25.9317 USD
USD 0.01 common Purchase 12,714 25.9517 USD
USD 0.01 common Purchase 13,030 26.0534 USD
USD 0.01 common Purchase 13,742 26.0700 USD
USD 0.01 common Purchase 13,851 25.9885 USD
USD 0.01 common Purchase 24,104 25.9705 USD
USD 0.01 common Purchase 83,791 25.9416 USD
USD 0.01 common Purchase 110,904 25.9773 USD
USD 0.01 common Purchase 640,009 25.9587 USD
USD 0.01 common Sale 2 25.8800 USD
USD 0.01 common Sale 3 25.8600 USD
USD 0.01 common Sale 18 25.9700 USD
USD 0.01 common Sale 98 26.0512 USD
USD 0.01 common Sale 100 25.8500 USD
USD 0.01 common Sale 135 25.9867 USD
USD 0.01 common Sale 185 25.8408 USD
USD 0.01 common Sale 189 25.9650 USD
USD 0.01 common Sale 200 25.9000 USD
USD 0.01 common Sale 345 26.1081 USD
USD 0.01 common Sale 412 25.8351 USD
USD 0.01 common Sale 500 26.1050 USD
USD 0.01 common Sale 600 26.1100 USD
USD 0.01 common Sale 600 26.1025 USD
USD 0.01 common Sale 700 25.8444 USD
USD 0.01 common Sale 700 26.1007 USD
USD 0.01 common Sale 738 26.1006 USD
USD 0.01 common Sale 756 25.8339 USD
USD 0.01 common Sale 900 26.1000 USD
USD 0.01 common Sale 1,200 25.9979 USD
USD 0.01 common Sale 1,211 26.0519 USD
USD 0.01 common Sale 1,238 25.9705 USD
USD 0.01 common Sale 1,824 26.0798 USD
USD 0.01 common Sale 2,174 26.1067 USD
USD 0.01 common Sale 2,245 25.8442 USD
USD 0.01 common Sale 2,312 25.8400 USD
USD 0.01 common Sale 2,395 26.0152 USD
USD 0.01 common Sale 2,500 26.0800 USD
USD 0.01 common Sale 4,355 25.9981 USD
USD 0.01 common Sale 5,103 26.0684 USD
USD 0.01 common Sale 6,649 26.0033 USD
USD 0.01 common Sale 7,668 25.9778 USD
USD 0.01 common Sale 7,716 26.0567 USD
USD 0.01 common Sale 10,159 26.0178 USD
USD 0.01 common Sale 11,168 25.9900 USD
USD 0.01 common Sale 11,252 26.0307 USD
USD 0.01 common Sale 11,589 26.0304 USD
USD 0.01 common Sale 12,312 26.0331 USD
USD 0.01 common Sale 13,023 26.0162 USD
USD 0.01 common Sale 14,925 26.0488 USD
USD 0.01 common Sale 14,952 25.9855 USD
USD 0.01 common Sale 16,121 26.0179 USD
USD 0.01 common Sale 16,877 25.9449 USD
USD 0.01 common Sale 20,181 26.0700 USD
USD 0.01 common Sale 20,323 25.9672 USD
USD 0.01 common Sale 28,120 25.9755 USD
USD 0.01 common Sale 35,528 25.9520 USD
USD 0.01 common Sale 38,000 25.9602 USD
USD 0.01 common Sale 47,083 25.9321 USD
USD 0.01 common Sale 73,882 25.9339 USD
USD 0.01 common Sale 76,261 25.9714 USD
USD 0.01 common Sale 108,501 25.9425 USD
USD 0.01 common Sale 159,584 25.9647 USD
USD 0.01 common Sale 276,082 25.9518 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 Purchase 5,472 26.0331 USD
USD 0.01 common Purchase 7,737 26.0371 USD
USD 0.01 common Sale 12,312 26.0331 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: 8 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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