REG-BARCLAYS PLC FORM 8.3 – NORTONLIFELOCK INC
29/07/2021 13:10
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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: 28 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: 1,918,640 0.33% 305,724 0.05%
(2) Cash-settled derivatives:
82,539 0.01% 1,279,498 0.22%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
TOTAL: 2,001,679 0.35% 1,587,322 0.27%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 128,000 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: 128,000 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
Convertible Bond Purchase 1,000 132.4375 USD
Convertible Bond Sale 2,000 132.4375 USD
USD 0.01 common Purchase 10 25.0335 USD
USD 0.01 common Purchase 63 25.0100 USD
USD 0.01 common Purchase 83 25.2650 USD
USD 0.01 common Purchase 100 25.3900 USD
USD 0.01 common Purchase 100 25.2600 USD
USD 0.01 common Purchase 100 25.3000 USD
USD 0.01 common Purchase 200 25.2150 USD
USD 0.01 common Purchase 328 25.0000 USD
USD 0.01 common Purchase 697 25.3855 USD
USD 0.01 common Purchase 801 25.3104 USD
USD 0.01 common Purchase 900 25.2355 USD
USD 0.01 common Purchase 913 25.3832 USD
USD 0.01 common Purchase 1,000 25.3535 USD
USD 0.01 common Purchase 1,172 25.5987 USD
USD 0.01 common Purchase 1,258 25.5411 USD
USD 0.01 common Purchase 1,300 25.3984 USD
USD 0.01 common Purchase 1,333 25.2922 USD
USD 0.01 common Purchase 1,343 25.2853 USD
USD 0.01 common Purchase 1,350 25.2929 USD
USD 0.01 common Purchase 1,400 25.4500 USD
USD 0.01 common Purchase 1,453 25.3543 USD
USD 0.01 common Purchase 1,504 25.3262 USD
USD 0.01 common Purchase 1,575 25.3775 USD
USD 0.01 common Purchase 1,600 25.6000 USD
USD 0.01 common Purchase 1,650 25.4172 USD
USD 0.01 common Purchase 1,753 25.5370 USD
USD 0.01 common Purchase 1,775 25.4359 USD
USD 0.01 common Purchase 1,815 25.5878 USD
USD 0.01 common Purchase 1,828 25.4800 USD
USD 0.01 common Purchase 1,888 25.4153 USD
USD 0.01 common Purchase 1,898 25.3002 USD
USD 0.01 common Purchase 2,058 25.2534 USD
USD 0.01 common Purchase 2,264 25.5648 USD
USD 0.01 common Purchase 2,300 25.5847 USD
USD 0.01 common Purchase 2,358 25.2415 USD
USD 0.01 common Purchase 2,400 25.4400 USD
USD 0.01 common Purchase 2,781 25.4446 USD
USD 0.01 common Purchase 3,088 25.5529 USD
USD 0.01 common Purchase 3,091 25.5946 USD
USD 0.01 common Purchase 3,675 25.1847 USD
USD 0.01 common Purchase 3,717 25.5693 USD
USD 0.01 common Purchase 3,800 25.5300 USD
USD 0.01 common Purchase 4,099 25.4235 USD
USD 0.01 common Purchase 4,177 25.3938 USD
USD 0.01 common Purchase 4,501 25.3655 USD
USD 0.01 common Purchase 4,526 25.4176 USD
USD 0.01 common Purchase 4,630 25.4270 USD
USD 0.01 common Purchase 5,312 25.2686 USD
USD 0.01 common Purchase 5,374 25.3407 USD
USD 0.01 common Purchase 5,812 25.2897 USD
USD 0.01 common Purchase 7,871 25.2669 USD
USD 0.01 common Purchase 8,186 25.2130 USD
USD 0.01 common Purchase 8,649 25.2365 USD
USD 0.01 common Purchase 10,207 25.4946 USD
USD 0.01 common Purchase 10,252 25.4517 USD
USD 0.01 common Purchase 14,627 25.3969 USD
USD 0.01 common Purchase 17,158 25.2700 USD
USD 0.01 common Purchase 19,489 25.1057 USD
USD 0.01 common Purchase 19,940 25.3887 USD
USD 0.01 common Purchase 20,789 25.2795 USD
USD 0.01 common Purchase 21,359 25.2707 USD
USD 0.01 common Purchase 23,692 25.5886 USD
USD 0.01 common Purchase 30,486 25.4831 USD
USD 0.01 common Purchase 40,178 25.2855 USD
USD 0.01 common Purchase 45,138 25.2544 USD
USD 0.01 common Purchase 49,887 25.3965 USD
USD 0.01 common Purchase 101,972 25.2999 USD
USD 0.01 common Purchase 335,366 25.4957 USD
USD 0.01 common Sale 3 25.0000 USD
USD 0.01 common Sale 20 25.0100 USD
USD 0.01 common Sale 99 25.2833 USD
USD 0.01 common Sale 100 25.2600 USD
USD 0.01 common Sale 100 25.2550 USD
USD 0.01 common Sale 100 25.1600 USD
USD 0.01 common Sale 130 25.4065 USD
USD 0.01 common Sale 200 25.3350 USD
USD 0.01 common Sale 219 25.2604 USD
USD 0.01 common Sale 232 25.1859 USD
USD 0.01 common Sale 278 25.2941 USD
USD 0.01 common Sale 380 25.0920 USD
USD 0.01 common Sale 423 25.6222 USD
USD 0.01 common Sale 515 25.6200 USD
USD 0.01 common Sale 517 25.2446 USD
USD 0.01 common Sale 578 25.1913 USD
USD 0.01 common Sale 639 25.1476 USD
USD 0.01 common Sale 678 25.1757 USD
USD 0.01 common Sale 679 25.1238 USD
USD 0.01 common Sale 794 25.1695 USD
USD 0.01 common Sale 800 25.3675 USD
USD 0.01 common Sale 900 25.6000 USD
USD 0.01 common Sale 1,056 25.1976 USD
USD 0.01 common Sale 1,081 25.6103 USD
USD 0.01 common Sale 1,156 25.1592 USD
USD 0.01 common Sale 1,158 25.1839 USD
USD 0.01 common Sale 1,200 25.3333 USD
USD 0.01 common Sale 1,296 25.6354 USD
USD 0.01 common Sale 1,379 25.6384 USD
USD 0.01 common Sale 1,464 25.4800 USD
USD 0.01 common Sale 1,517 25.1596 USD
USD 0.01 common Sale 1,700 25.6376 USD
USD 0.01 common Sale 1,740 25.6242 USD
USD 0.01 common Sale 2,206 25.3944 USD
USD 0.01 common Sale 2,500 25.4050 USD
USD 0.01 common Sale 2,634 25.6071 USD
USD 0.01 common Sale 3,045 25.4750 USD
USD 0.01 common Sale 3,152 25.5637 USD
USD 0.01 common Sale 3,361 25.5258 USD
USD 0.01 common Sale 3,594 25.2700 USD
USD 0.01 common Sale 3,600 25.5465 USD
USD 0.01 common Sale 3,904 25.5438 USD
USD 0.01 common Sale 4,990 25.2693 USD
USD 0.01 common Sale 7,087 25.3193 USD
USD 0.01 common Sale 8,408 25.2765 USD
USD 0.01 common Sale 8,729 25.1551 USD
USD 0.01 common Sale 9,874 25.3847 USD
USD 0.01 common Sale 10,172 25.6010 USD
USD 0.01 common Sale 19,940 25.3888 USD
USD 0.01 common Sale 22,847 25.3816 USD
USD 0.01 common Sale 25,400 25.4000 USD
USD 0.01 common Sale 27,040 25.3922 USD
USD 0.01 common Sale 28,881 25.6314 USD
USD 0.01 common Sale 31,176 25.2689 USD
USD 0.01 common Sale 36,865 25.3575 USD
USD 0.01 common Sale 39,122 25.2957 USD
USD 0.01 common Sale 40,013 25.3994 USD
USD 0.01 common Sale 44,439 25.3801 USD
USD 0.01 common Sale 69,895 25.2260 USD
USD 0.01 common Sale 86,758 25.2581 USD
USD 0.01 common Sale 318,272 25.5075 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: 29 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
(http://www.thetakeoverpanel.org.uk/) .
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.
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