REG-BARCLAYS PLC FORM 8.3 – NORTONLIFELOCK INC
20/07/2021 12:30
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FORM 8.3 – NORTONLIFELOCK INC
FORM 8.3
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: 19 July 2021
(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: 1,880,660 0.32% 183,909 0.03%
(2) Cash-settled derivatives:
24,339 0.00% 1,279,498 0.22%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
TOTAL: 1,905,499 0.33% 1,465,507 0.25%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 129,000 0.02% 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: 129,000 0.02% 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 22.2250 EUR
USD 0.01 common Purchase 45 26.0800 USD
USD 0.01 common Purchase 72 25.9000 USD
USD 0.01 common Purchase 100 26.0450 USD
USD 0.01 common Purchase 100 26.0100 USD
USD 0.01 common Purchase 283 26.0376 USD
USD 0.01 common Purchase 300 26.1700 USD
USD 0.01 common Purchase 400 26.0499 USD
USD 0.01 common Purchase 405 26.0424 USD
USD 0.01 common Purchase 500 26.0500 USD
USD 0.01 common Purchase 500 26.1300 USD
USD 0.01 common Purchase 550 26.0700 USD
USD 0.01 common Purchase 600 26.0433 USD
USD 0.01 common Purchase 630 26.0685 USD
USD 0.01 common Purchase 984 26.0430 USD
USD 0.01 common Purchase 1,100 25.9936 USD
USD 0.01 common Purchase 1,194 26.0478 USD
USD 0.01 common Purchase 1,598 25.9975 USD
USD 0.01 common Purchase 1,758 26.0199 USD
USD 0.01 common Purchase 2,340 26.0134 USD
USD 0.01 common Purchase 2,500 25.9998 USD
USD 0.01 common Purchase 2,744 25.9968 USD
USD 0.01 common Purchase 2,808 25.9803 USD
USD 0.01 common Purchase 2,900 25.9596 USD
USD 0.01 common Purchase 3,590 26.0455 USD
USD 0.01 common Purchase 3,722 25.9818 USD
USD 0.01 common Purchase 3,854 26.0278 USD
USD 0.01 common Purchase 3,900 26.0353 USD
USD 0.01 common Purchase 4,416 26.0063 USD
USD 0.01 common Purchase 4,501 26.0024 USD
USD 0.01 common Purchase 5,156 26.0015 USD
USD 0.01 common Purchase 5,907 26.0191 USD
USD 0.01 common Purchase 6,100 26.0231 USD
USD 0.01 common Purchase 8,411 25.9835 USD
USD 0.01 common Purchase 8,625 25.9882 USD
USD 0.01 common Purchase 15,054 25.9915 USD
USD 0.01 common Purchase 27,607 26.0002 USD
USD 0.01 common Purchase 33,900 26.0177 USD
USD 0.01 common Purchase 36,964 26.0400 USD
USD 0.01 common Purchase 42,164 26.0260 USD
USD 0.01 common Purchase 58,731 26.0399 USD
USD 0.01 common Purchase 131,184 26.0268 USD
USD 0.01 common Sale 3 25.8700 USD
USD 0.01 common Sale 4 25.9600 USD
USD 0.01 common Sale 6 22.2250 EUR
USD 0.01 common Sale 8 25.9150 USD
USD 0.01 common Sale 12 26.0033 USD
USD 0.01 common Sale 16 25.9737 USD
USD 0.01 common Sale 29 26.0855 USD
USD 0.01 common Sale 33 26.0263 USD
USD 0.01 common Sale 36 25.9688 USD
USD 0.01 common Sale 36 25.9344 USD
USD 0.01 common Sale 52 25.9753 USD
USD 0.01 common Sale 57 25.9817 USD
USD 0.01 common Sale 60 25.9700 USD
USD 0.01 common Sale 72 25.9000 USD
USD 0.01 common Sale 100 26.0200 USD
USD 0.01 common Sale 300 26.1700 USD
USD 0.01 common Sale 348 25.9612 USD
USD 0.01 common Sale 400 26.0887 USD
USD 0.01 common Sale 400 26.0050 USD
USD 0.01 common Sale 480 26.0029 USD
USD 0.01 common Sale 533 26.0408 USD
USD 0.01 common Sale 550 26.0700 USD
USD 0.01 common Sale 552 26.0580 USD
USD 0.01 common Sale 600 26.1300 USD
USD 0.01 common Sale 640 26.0244 USD
USD 0.01 common Sale 774 26.0647 USD
USD 0.01 common Sale 1,000 26.0870 USD
USD 0.01 common Sale 1,099 26.0435 USD
USD 0.01 common Sale 1,100 26.0350 USD
USD 0.01 common Sale 1,419 25.9171 USD
USD 0.01 common Sale 1,596 26.0443 USD
USD 0.01 common Sale 1,781 25.9572 USD
USD 0.01 common Sale 1,904 25.9100 USD
USD 0.01 common Sale 2,470 26.0420 USD
USD 0.01 common Sale 2,630 26.0539 USD
USD 0.01 common Sale 3,638 26.0067 USD
USD 0.01 common Sale 3,859 25.9972 USD
USD 0.01 common Sale 5,052 25.9739 USD
USD 0.01 common Sale 6,169 25.9609 USD
USD 0.01 common Sale 6,369 26.0089 USD
USD 0.01 common Sale 7,587 26.0105 USD
USD 0.01 common Sale 8,332 25.9968 USD
USD 0.01 common Sale 9,791 26.0065 USD
USD 0.01 common Sale 13,729 26.0080 USD
USD 0.01 common Sale 14,960 25.9994 USD
USD 0.01 common Sale 15,896 26.0148 USD
USD 0.01 common Sale 19,661 26.0365 USD
USD 0.01 common Sale 21,456 26.0230 USD
USD 0.01 common Sale 41,403 26.0229 USD
USD 0.01 common Sale 64,800 26.0168 USD
USD 0.01 common Sale 69,812 26.0282 USD
USD 0.01 common Sale 93,302 26.0400 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 Jul 2021
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=52460447&newsitemid=20210720005686&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=d8020488d3b946eda8a6115bdf1eaac8)
.
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 Call Options Purchased 500 27.0000 American 21 Jan 2022
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&esheet=52460447&newsitemid=20210720005686&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=da69b238b6e8e9945eb2bf09bc2e1b37)
.
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