REG-BARCLAYS PLC FORM 8.3 – NORTONLIFELOCK INC
28/07/2021 15:15
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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: 27 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: 1,882,743 0.32% 301,164 0.05%
(2) Cash-settled derivatives:
140,739 0.02% 1,279,498 0.22%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
TOTAL: 2,023,982 0.35% 1,582,762 0.27%
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 30 25.4900 USD
USD 0.01 common Purchase 55 25.4400 USD
USD 0.01 common Purchase 87 25.4303 USD
USD 0.01 common Purchase 100 25.5000 USD
USD 0.01 common Purchase 100 25.5700 USD
USD 0.01 common Purchase 100 25.5500 USD
USD 0.01 common Purchase 200 25.4850 USD
USD 0.01 common Purchase 200 25.5225 USD
USD 0.01 common Purchase 200 25.4675 USD
USD 0.01 common Purchase 300 25.4433 USD
USD 0.01 common Purchase 300 25.2900 USD
USD 0.01 common Purchase 310 25.5209 USD
USD 0.01 common Purchase 400 25.4950 USD
USD 0.01 common Purchase 400 25.4350 USD
USD 0.01 common Purchase 400 25.4662 USD
USD 0.01 common Purchase 454 25.4685 USD
USD 0.01 common Purchase 600 25.3266 USD
USD 0.01 common Purchase 640 25.4965 USD
USD 0.01 common Purchase 661 25.4750 USD
USD 0.01 common Purchase 700 25.5171 USD
USD 0.01 common Purchase 700 25.4657 USD
USD 0.01 common Purchase 803 25.5196 USD
USD 0.01 common Purchase 898 25.5188 USD
USD 0.01 common Purchase 900 25.4000 USD
USD 0.01 common Purchase 1,459 25.5120 USD
USD 0.01 common Purchase 1,592 25.7300 USD
USD 0.01 common Purchase 1,600 25.4084 USD
USD 0.01 common Purchase 2,903 25.4196 USD
USD 0.01 common Purchase 3,624 25.5122 USD
USD 0.01 common Purchase 3,968 25.4227 USD
USD 0.01 common Purchase 4,072 25.4800 USD
USD 0.01 common Purchase 4,428 25.4905 USD
USD 0.01 common Purchase 4,695 25.4725 USD
USD 0.01 common Purchase 4,929 25.5174 USD
USD 0.01 common Purchase 5,012 25.4802 USD
USD 0.01 common Purchase 5,730 25.4408 USD
USD 0.01 common Purchase 6,422 25.5130 USD
USD 0.01 common Purchase 8,519 25.4783 USD
USD 0.01 common Purchase 8,763 25.4367 USD
USD 0.01 common Purchase 10,085 25.4373 USD
USD 0.01 common Purchase 11,803 25.4798 USD
USD 0.01 common Purchase 15,503 25.4323 USD
USD 0.01 common Purchase 16,346 25.4661 USD
USD 0.01 common Purchase 18,030 25.4610 USD
USD 0.01 common Purchase 21,757 25.5018 USD
USD 0.01 common Purchase 31,839 25.4706 USD
USD 0.01 common Purchase 38,394 25.4787 USD
USD 0.01 common Purchase 47,036 25.4999 USD
USD 0.01 common Purchase 72,723 25.4632 USD
USD 0.01 common Purchase 74,547 25.4911 USD
USD 0.01 common Sale 1 25.4600 USD
USD 0.01 common Sale 83 25.5150 USD
USD 0.01 common Sale 100 25.5100 USD
USD 0.01 common Sale 100 25.5000 USD
USD 0.01 common Sale 179 25.3032 USD
USD 0.01 common Sale 200 25.4975 USD
USD 0.01 common Sale 200 25.4775 USD
USD 0.01 common Sale 200 25.4950 USD
USD 0.01 common Sale 200 25.4750 USD
USD 0.01 common Sale 300 25.4700 USD
USD 0.01 common Sale 322 25.4958 USD
USD 0.01 common Sale 452 25.5015 USD
USD 0.01 common Sale 474 25.4567 USD
USD 0.01 common Sale 500 25.4840 USD
USD 0.01 common Sale 600 25.3500 USD
USD 0.01 common Sale 690 25.4984 USD
USD 0.01 common Sale 713 25.3950 USD
USD 0.01 common Sale 747 25.4678 USD
USD 0.01 common Sale 911 25.4698 USD
USD 0.01 common Sale 934 25.3294 USD
USD 0.01 common Sale 1,052 25.3542 USD
USD 0.01 common Sale 1,055 25.4900 USD
USD 0.01 common Sale 1,300 25.4811 USD
USD 0.01 common Sale 1,300 25.4653 USD
USD 0.01 common Sale 1,400 25.4568 USD
USD 0.01 common Sale 1,530 25.4801 USD
USD 0.01 common Sale 1,600 25.3315 USD
USD 0.01 common Sale 1,842 25.3410 USD
USD 0.01 common Sale 1,900 25.3300 USD
USD 0.01 common Sale 1,900 25.4865 USD
USD 0.01 common Sale 2,140 25.3388 USD
USD 0.01 common Sale 2,227 25.4210 USD
USD 0.01 common Sale 2,577 25.3353 USD
USD 0.01 common Sale 3,501 25.4777 USD
USD 0.01 common Sale 4,706 25.4870 USD
USD 0.01 common Sale 4,800 25.3981 USD
USD 0.01 common Sale 4,885 25.4846 USD
USD 0.01 common Sale 5,276 25.3321 USD
USD 0.01 common Sale 6,096 25.4798 USD
USD 0.01 common Sale 6,197 25.4864 USD
USD 0.01 common Sale 6,700 25.3685 USD
USD 0.01 common Sale 6,965 25.4827 USD
USD 0.01 common Sale 7,381 25.4659 USD
USD 0.01 common Sale 8,580 25.4800 USD
USD 0.01 common Sale 11,720 25.4795 USD
USD 0.01 common Sale 11,761 25.3779 USD
USD 0.01 common Sale 17,106 25.5057 USD
USD 0.01 common Sale 25,180 25.4007 USD
USD 0.01 common Sale 26,037 25.4706 USD
USD 0.01 common Sale 26,225 25.4571 USD
USD 0.01 common Sale 32,812 25.4154 USD
USD 0.01 common Sale 39,159 25.4500 USD
USD 0.01 common Sale 50,672 25.4986 USD
USD 0.01 common Sale 104,519 25.4534 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: 28 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=52465604&newsitemid=20210728005667&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=7d6d936eb2db95cd6afb35191505ea8b)
.
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=52465604&newsitemid=20210728005667&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=d4fd0491f3ab19283a6acb7c0896c3e4)
.
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