REG-BARCLAYS PLC FORM 8.3 - NORTONLIFELOCK INC
03/08/2021 13:45
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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: 02 August 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: 2,012,590 0.35% 297,849 0.05%
(2) Cash-settled derivatives:
101,747 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: 2,114,837 0.36% 1,579,447 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
USD 0.01 common Purchase 100 24.7500 USD
USD 0.01 common Purchase 100 24.6900 USD
USD 0.01 common Purchase 144 24.7200 USD
USD 0.01 common Purchase 200 24.7300 USD
USD 0.01 common Purchase 214 24.6880 USD
USD 0.01 common Purchase 300 24.7366 USD
USD 0.01 common Purchase 531 24.7496 USD
USD 0.01 common Purchase 600 24.6933 USD
USD 0.01 common Purchase 600 24.7250 USD
USD 0.01 common Purchase 610 24.6434 USD
USD 0.01 common Purchase 1,300 24.6921 USD
USD 0.01 common Purchase 2,059 24.6355 USD
USD 0.01 common Purchase 2,639 24.6716 USD
USD 0.01 common Purchase 3,480 24.6565 USD
USD 0.01 common Purchase 4,392 24.7179 USD
USD 0.01 common Purchase 5,472 24.7344 USD
USD 0.01 common Purchase 7,736 24.7152 USD
USD 0.01 common Purchase 8,023 24.7566 USD
USD 0.01 common Purchase 8,421 24.7031 USD
USD 0.01 common Purchase 9,984 24.6796 USD
USD 0.01 common Purchase 14,414 24.6022 USD
USD 0.01 common Purchase 33,201 24.6000 USD
USD 0.01 common Purchase 38,079 24.6348 USD
USD 0.01 common Purchase 45,324 24.7131 USD
USD 0.01 common Sale 20 24.6500 USD
USD 0.01 common Sale 60 24.6483 USD
USD 0.01 common Sale 60 24.6366 USD
USD 0.01 common Sale 100 24.6350 USD
USD 0.01 common Sale 100 24.6460 USD
USD 0.01 common Sale 115 24.6900 USD
USD 0.01 common Sale 120 24.6450 USD
USD 0.01 common Sale 138 24.6685 USD
USD 0.01 common Sale 192 24.6691 USD
USD 0.01 common Sale 200 24.6300 USD
USD 0.01 common Sale 200 24.7450 USD
USD 0.01 common Sale 208 24.7200 USD
USD 0.01 common Sale 300 24.6583 USD
USD 0.01 common Sale 454 24.7400 USD
USD 0.01 common Sale 600 24.6400 USD
USD 0.01 common Sale 992 24.6120 USD
USD 0.01 common Sale 1,087 24.6945 USD
USD 0.01 common Sale 1,200 24.7525 USD
USD 0.01 common Sale 1,491 24.6951 USD
USD 0.01 common Sale 1,558 24.6860 USD
USD 0.01 common Sale 1,727 24.7113 USD
USD 0.01 common Sale 1,890 24.6660 USD
USD 0.01 common Sale 2,937 24.7351 USD
USD 0.01 common Sale 3,349 24.8196 USD
USD 0.01 common Sale 5,000 24.7262 USD
USD 0.01 common Sale 5,002 24.7088 USD
USD 0.01 common Sale 5,090 24.7052 USD
USD 0.01 common Sale 5,792 24.6994 USD
USD 0.01 common Sale 8,297 24.6806 USD
USD 0.01 common Sale 21,553 24.6000 USD
USD 0.01 common Sale 28,241 24.6029 USD
USD 0.01 common Sale 43,144 24.6394 USD
USD 0.01 common Sale 46,706 24.7180 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: 3 Aug 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=52469607&newsitemid=20210803005678&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=e6f47811102f032ef7252e67093e7659)
.
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=52469607&newsitemid=20210803005678&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=abeb474dc720686f031262aac0544315)
.
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