REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
21/07/2021 13:00
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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: 20 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: 1,891,996 0.33% 183,630 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: 1,916,835 0.33% 1,465,228 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 100 26.0250 USD
USD 0.01 common Purchase 100 25.8600 USD
USD 0.01 common Purchase 200 25.8000 USD
USD 0.01 common Purchase 200 25.9000 USD
USD 0.01 common Purchase 200 25.8550 USD
USD 0.01 common Purchase 200 25.8150 USD
USD 0.01 common Purchase 243 26.0241 USD
USD 0.01 common Purchase 300 25.8700 USD
USD 0.01 common Purchase 500 25.8460 USD
USD 0.01 common Purchase 503 25.9494 USD
USD 0.01 common Purchase 546 25.8570 USD
USD 0.01 common Purchase 600 26.0283 USD
USD 0.01 common Purchase 830 25.8500 USD
USD 0.01 common Purchase 1,124 25.8504 USD
USD 0.01 common Purchase 1,406 25.8714 USD
USD 0.01 common Purchase 1,740 25.8478 USD
USD 0.01 common Purchase 1,816 25.8475 USD
USD 0.01 common Purchase 1,988 25.9025 USD
USD 0.01 common Purchase 2,122 25.8495 USD
USD 0.01 common Purchase 2,382 25.9442 USD
USD 0.01 common Purchase 3,421 26.1000 USD
USD 0.01 common Purchase 4,144 25.8740 USD
USD 0.01 common Purchase 4,581 25.9080 USD
USD 0.01 common Purchase 5,468 25.8697 USD
USD 0.01 common Purchase 5,712 25.9132 USD
USD 0.01 common Purchase 5,940 25.8064 USD
USD 0.01 common Purchase 7,457 25.8505 USD
USD 0.01 common Purchase 7,736 25.8119 USD
USD 0.01 common Purchase 8,664 25.8085 USD
USD 0.01 common Purchase 8,708 25.8634 USD
USD 0.01 common Purchase 9,256 25.8783 USD
USD 0.01 common Purchase 12,343 25.8668 USD
USD 0.01 common Purchase 20,831 25.8140 USD
USD 0.01 common Purchase 22,962 25.9018 USD
USD 0.01 common Purchase 56,980 25.8324 USD
USD 0.01 common Purchase 84,424 25.8100 USD
USD 0.01 common Purchase 143,005 25.8464 USD
USD 0.01 common Sale 2 26.0500 USD
USD 0.01 common Sale 6 25.9450 USD
USD 0.01 common Sale 12 25.9150 USD
USD 0.01 common Sale 36 25.9075 USD
USD 0.01 common Sale 39 25.9246 USD
USD 0.01 common Sale 57 25.9442 USD
USD 0.01 common Sale 69 25.9443 USD
USD 0.01 common Sale 70 25.8600 USD
USD 0.01 common Sale 74 25.9562 USD
USD 0.01 common Sale 78 25.9957 USD
USD 0.01 common Sale 82 25.8500 USD
USD 0.01 common Sale 127 25.8477 USD
USD 0.01 common Sale 138 25.8027 USD
USD 0.01 common Sale 176 25.9168 USD
USD 0.01 common Sale 199 25.9600 USD
USD 0.01 common Sale 200 25.9800 USD
USD 0.01 common Sale 221 25.9219 USD
USD 0.01 common Sale 300 25.9300 USD
USD 0.01 common Sale 300 25.8700 USD
USD 0.01 common Sale 300 25.9500 USD
USD 0.01 common Sale 323 25.9546 USD
USD 0.01 common Sale 403 25.9716 USD
USD 0.01 common Sale 425 25.9744 USD
USD 0.01 common Sale 476 25.8566 USD
USD 0.01 common Sale 500 25.9720 USD
USD 0.01 common Sale 554 25.9978 USD
USD 0.01 common Sale 600 25.9400 USD
USD 0.01 common Sale 600 26.0283 USD
USD 0.01 common Sale 611 25.8883 USD
USD 0.01 common Sale 700 25.9728 USD
USD 0.01 common Sale 1,299 25.8055 USD
USD 0.01 common Sale 1,380 25.8058 USD
USD 0.01 common Sale 1,491 25.8288 USD
USD 0.01 common Sale 1,543 25.9872 USD
USD 0.01 common Sale 1,589 25.8691 USD
USD 0.01 common Sale 1,637 25.9953 USD
USD 0.01 common Sale 1,716 26.0132 USD
USD 0.01 common Sale 2,002 25.9803 USD
USD 0.01 common Sale 2,076 25.8382 USD
USD 0.01 common Sale 2,082 25.9434 USD
USD 0.01 common Sale 3,435 26.0988 USD
USD 0.01 common Sale 3,584 25.8966 USD
USD 0.01 common Sale 3,939 25.9824 USD
USD 0.01 common Sale 4,868 25.8611 USD
USD 0.01 common Sale 5,705 25.9209 USD
USD 0.01 common Sale 5,940 25.8064 USD
USD 0.01 common Sale 10,258 25.8417 USD
USD 0.01 common Sale 11,342 25.9325 USD
USD 0.01 common Sale 18,555 25.8617 USD
USD 0.01 common Sale 21,174 25.8174 USD
USD 0.01 common Sale 56,980 25.8324 USD
USD 0.01 common Sale 88,150 25.8100 USD
USD 0.01 common Sale 169,906 25.8496 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: 21 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=52463486&newsitemid=20210721005519&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=09ac8ed49699f420d202e88caae3b9bf)
.
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%2F&esheet=52463486&newsitemid=20210721005519&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=2cd5b52c3f568f946908c16c7a59733d)
.
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(https://www.businesswire.com/news/home/20210721005519/en/)
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