REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
22/07/2021 12:55
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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: 21 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: 1,886,883 0.33% 199,007 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: 1,911,722 0.33% 1,480,605 0.26%
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 3 25.5400 USD
USD 0.01 common Purchase 5 25.6900 USD
USD 0.01 common Purchase 50 25.6650 USD
USD 0.01 common Purchase 66 25.6200 USD
USD 0.01 common Purchase 66 25.6300 USD
USD 0.01 common Purchase 100 25.6800 USD
USD 0.01 common Purchase 100 25.5800 USD
USD 0.01 common Purchase 100 25.6050 USD
USD 0.01 common Purchase 100 25.5950 USD
USD 0.01 common Purchase 100 25.5850 USD
USD 0.01 common Purchase 100 25.5700 USD
USD 0.01 common Purchase 300 25.5883 USD
USD 0.01 common Purchase 300 25.6500 USD
USD 0.01 common Purchase 372 25.5930 USD
USD 0.01 common Purchase 400 25.5150 USD
USD 0.01 common Purchase 423 25.6158 USD
USD 0.01 common Purchase 500 25.5200 USD
USD 0.01 common Purchase 600 25.5100 USD
USD 0.01 common Purchase 700 25.5250 USD
USD 0.01 common Purchase 831 25.5878 USD
USD 0.01 common Purchase 1,051 25.5893 USD
USD 0.01 common Purchase 1,416 25.6955 USD
USD 0.01 common Purchase 1,731 25.6016 USD
USD 0.01 common Purchase 2,333 25.6082 USD
USD 0.01 common Purchase 3,000 25.5198 USD
USD 0.01 common Purchase 3,007 25.6012 USD
USD 0.01 common Purchase 3,856 25.5900 USD
USD 0.01 common Purchase 4,541 25.6011 USD
USD 0.01 common Purchase 5,395 25.5952 USD
USD 0.01 common Purchase 5,704 25.5545 USD
USD 0.01 common Purchase 5,922 25.5541 USD
USD 0.01 common Purchase 7,654 25.5968 USD
USD 0.01 common Purchase 8,736 25.5907 USD
USD 0.01 common Purchase 9,930 25.6028 USD
USD 0.01 common Purchase 10,089 25.5934 USD
USD 0.01 common Purchase 10,331 25.5668 USD
USD 0.01 common Purchase 10,562 25.6042 USD
USD 0.01 common Purchase 12,465 25.5776 USD
USD 0.01 common Purchase 13,260 25.6197 USD
USD 0.01 common Purchase 13,963 25.5844 USD
USD 0.01 common Purchase 17,690 25.6089 USD
USD 0.01 common Purchase 17,992 25.5904 USD
USD 0.01 common Purchase 18,162 25.6310 USD
USD 0.01 common Purchase 18,621 25.5719 USD
USD 0.01 common Purchase 21,830 25.5547 USD
USD 0.01 common Purchase 28,779 25.5897 USD
USD 0.01 common Purchase 43,073 25.6172 USD
USD 0.01 common Purchase 62,939 25.6238 USD
USD 0.01 common Purchase 89,548 25.5660 USD
USD 0.01 common Sale 3 25.5400 USD
USD 0.01 common Sale 50 25.6650 USD
USD 0.01 common Sale 100 25.6050 USD
USD 0.01 common Sale 131 25.5300 USD
USD 0.01 common Sale 158 25.4989 USD
USD 0.01 common Sale 300 25.5700 USD
USD 0.01 common Sale 300 25.6500 USD
USD 0.01 common Sale 400 25.5350 USD
USD 0.01 common Sale 400 25.5112 USD
USD 0.01 common Sale 400 25.5675 USD
USD 0.01 common Sale 500 25.5920 USD
USD 0.01 common Sale 500 25.5200 USD
USD 0.01 common Sale 673 25.5795 USD
USD 0.01 common Sale 692 25.5595 USD
USD 0.01 common Sale 700 25.5785 USD
USD 0.01 common Sale 900 25.5577 USD
USD 0.01 common Sale 900 25.5283 USD
USD 0.01 common Sale 956 25.6294 USD
USD 0.01 common Sale 992 25.5427 USD
USD 0.01 common Sale 1,100 25.6000 USD
USD 0.01 common Sale 1,200 25.5479 USD
USD 0.01 common Sale 1,208 25.5491 USD
USD 0.01 common Sale 1,277 25.5881 USD
USD 0.01 common Sale 1,416 25.6955 USD
USD 0.01 common Sale 1,500 25.5680 USD
USD 0.01 common Sale 1,800 25.5363 USD
USD 0.01 common Sale 2,020 25.5974 USD
USD 0.01 common Sale 2,194 25.5764 USD
USD 0.01 common Sale 2,201 25.5487 USD
USD 0.01 common Sale 2,722 25.5734 USD
USD 0.01 common Sale 2,899 25.5745 USD
USD 0.01 common Sale 3,042 25.5784 USD
USD 0.01 common Sale 3,132 25.5326 USD
USD 0.01 common Sale 3,388 25.5677 USD
USD 0.01 common Sale 3,555 25.5528 USD
USD 0.01 common Sale 3,723 25.5869 USD
USD 0.01 common Sale 4,700 25.5189 USD
USD 0.01 common Sale 6,832 25.5896 USD
USD 0.01 common Sale 7,214 25.5756 USD
USD 0.01 common Sale 7,654 25.5968 USD
USD 0.01 common Sale 8,742 25.5736 USD
USD 0.01 common Sale 8,795 25.5748 USD
USD 0.01 common Sale 10,043 25.5879 USD
USD 0.01 common Sale 11,398 25.5771 USD
USD 0.01 common Sale 11,803 25.5739 USD
USD 0.01 common Sale 14,084 25.5793 USD
USD 0.01 common Sale 19,096 25.5904 USD
USD 0.01 common Sale 19,718 25.5721 USD
USD 0.01 common Sale 20,406 25.5800 USD
USD 0.01 common Sale 26,404 25.5747 USD
USD 0.01 common Sale 32,372 25.5900 USD
USD 0.01 common Sale 62,939 25.6238 USD
USD 0.01 common Sale 154,024 25.5720 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: 22 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=52463996&newsitemid=20210722005565&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=62a7df026054574f46f49ed37acb3bbc)
.
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=52463996&newsitemid=20210722005565&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=8260a4fb48b4fe25b883f01869d91d1b)
.
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