REG-BARCLAYS PLC FORM 8.3 - NORTONLIFELOCK INC
18/08/2021 10:25
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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: 17 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: 1,609,118 0.28% 555,264 0.10%
(2) Cash-settled derivatives:
105,094 0.02% 1,279,498 0.22%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 261,900 0.05% 13,500 0.00%
TOTAL: 1,976,112 0.34% 1,848,262 0.32%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 136,000 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: 136,000 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 12 25.8125 USD
USD 0.01 common Purchase 25 25.8240 USD
USD 0.01 common Purchase 27 25.8633 USD
USD 0.01 common Purchase 57 21.6700 EUR
USD 0.01 common Purchase 140 25.9650 USD
USD 0.01 common Purchase 152 25.9664 USD
USD 0.01 common Purchase 200 25.8750 USD
USD 0.01 common Purchase 286 25.9319 USD
USD 0.01 common Purchase 328 25.9456 USD
USD 0.01 common Purchase 365 25.9530 USD
USD 0.01 common Purchase 399 25.9560 USD
USD 0.01 common Purchase 400 25.9675 USD
USD 0.01 common Purchase 400 25.9662 USD
USD 0.01 common Purchase 402 25.8824 USD
USD 0.01 common Purchase 404 25.9490 USD
USD 0.01 common Purchase 500 25.9550 USD
USD 0.01 common Purchase 500 25.8400 USD
USD 0.01 common Purchase 514 25.9398 USD
USD 0.01 common Purchase 582 25.8684 USD
USD 0.01 common Purchase 706 25.9399 USD
USD 0.01 common Purchase 881 25.9488 USD
USD 0.01 common Purchase 1,145 21.9482 EUR
USD 0.01 common Purchase 1,301 25.8992 USD
USD 0.01 common Purchase 1,539 25.8925 USD
USD 0.01 common Purchase 1,605 25.9750 USD
USD 0.01 common Purchase 1,665 25.9211 USD
USD 0.01 common Purchase 2,013 25.8990 USD
USD 0.01 common Purchase 2,838 25.8982 USD
USD 0.01 common Purchase 3,327 25.8931 USD
USD 0.01 common Purchase 4,634 25.8930 USD
USD 0.01 common Purchase 5,500 25.9200 USD
USD 0.01 common Purchase 7,500 25.8724 USD
USD 0.01 common Purchase 7,719 25.9194 USD
USD 0.01 common Purchase 8,097 25.9000 USD
USD 0.01 common Purchase 8,389 25.9537 USD
USD 0.01 common Purchase 8,593 25.8988 USD
USD 0.01 common Purchase 12,059 25.9221 USD
USD 0.01 common Purchase 14,464 25.9416 USD
USD 0.01 common Purchase 18,883 25.9219 USD
USD 0.01 common Purchase 18,894 25.8472 USD
USD 0.01 common Purchase 20,824 25.9600 USD
USD 0.01 common Purchase 57,502 25.9252 USD
USD 0.01 common Purchase 70,000 26.0000 USD
USD 0.01 common Sale 10 25.9850 USD
USD 0.01 common Sale 10 25.9550 USD
USD 0.01 common Sale 20 25.9450 USD
USD 0.01 common Sale 30 25.9333 USD
USD 0.01 common Sale 30 25.9400 USD
USD 0.01 common Sale 32 25.8887 USD
USD 0.01 common Sale 34 25.9100 USD
USD 0.01 common Sale 37 25.8856 USD
USD 0.01 common Sale 40 25.9525 USD
USD 0.01 common Sale 44 25.9079 USD
USD 0.01 common Sale 46 25.9039 USD
USD 0.01 common Sale 48 25.8962 USD
USD 0.01 common Sale 49 25.9236 USD
USD 0.01 common Sale 50 25.9460 USD
USD 0.01 common Sale 50 25.8926 USD
USD 0.01 common Sale 57 21.6700 EUR
USD 0.01 common Sale 92 25.9057 USD
USD 0.01 common Sale 100 25.8325 USD
USD 0.01 common Sale 100 25.8150 USD
USD 0.01 common Sale 100 25.9000 USD
USD 0.01 common Sale 110 25.9065 USD
USD 0.01 common Sale 110 25.9463 USD
USD 0.01 common Sale 118 25.8893 USD
USD 0.01 common Sale 120 25.9533 USD
USD 0.01 common Sale 180 25.9075 USD
USD 0.01 common Sale 200 25.8700 USD
USD 0.01 common Sale 238 25.9205 USD
USD 0.01 common Sale 246 25.9434 USD
USD 0.01 common Sale 266 25.9135 USD
USD 0.01 common Sale 300 25.8200 USD
USD 0.01 common Sale 300 25.8416 USD
USD 0.01 common Sale 301 25.8299 USD
USD 0.01 common Sale 302 25.8766 USD
USD 0.01 common Sale 582 25.8684 USD
USD 0.01 common Sale 600 25.9500 USD
USD 0.01 common Sale 600 25.8025 USD
USD 0.01 common Sale 800 25.9650 USD
USD 0.01 common Sale 847 25.8349 USD
USD 0.01 common Sale 900 25.8300 USD
USD 0.01 common Sale 999 25.9519 USD
USD 0.01 common Sale 1,145 21.9482 EUR
USD 0.01 common Sale 1,318 25.9344 USD
USD 0.01 common Sale 1,404 25.8759 USD
USD 0.01 common Sale 1,487 25.8400 USD
USD 0.01 common Sale 1,817 25.9595 USD
USD 0.01 common Sale 2,317 25.8930 USD
USD 0.01 common Sale 2,757 25.8758 USD
USD 0.01 common Sale 3,361 25.8244 USD
USD 0.01 common Sale 3,400 25.8355 USD
USD 0.01 common Sale 3,900 25.9046 USD
USD 0.01 common Sale 4,066 25.8290 USD
USD 0.01 common Sale 5,500 25.9200 USD
USD 0.01 common Sale 6,008 25.9452 USD
USD 0.01 common Sale 8,119 25.8746 USD
USD 0.01 common Sale 8,381 25.9195 USD
USD 0.01 common Sale 8,798 25.9250 USD
USD 0.01 common Sale 9,165 25.9226 USD
USD 0.01 common Sale 10,183 25.9238 USD
USD 0.01 common Sale 12,461 25.9510 USD
USD 0.01 common Sale 12,703 25.9255 USD
USD 0.01 common Sale 17,364 25.9404 USD
USD 0.01 common Sale 23,081 25.9600 USD
USD 0.01 common Sale 32,495 25.9242 USD
USD 0.01 common Sale 38,922 25.9926 USD
USD 0.01 common Sale 70,000 26.0000 USD
(b) Cash-settled derivative transactions
Class of Product Nature of dealing Number of Price per
relevant description reference unit
security securities
USD 0.01 common SWAP Long 16,293 25.7993 USD
(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: 18 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=52478726&newsitemid=20210818005346&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=8355948ae69e79ead68184de76b3ede0)
.
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 Call Options Purchased 11,400 26.0000 American 20 Aug 2021
USD 0.01 common Call Options Purchased 50,000 25.0000 American 20 Aug 2021
USD 0.01 common Call Options Purchased 200,000 24.0000 American 20 Aug 2021
USD 0.01 common Put Options Purchased -11,400 26.0000 American 20 Aug 2021
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=52478726&newsitemid=20210818005346&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=2dd0eb3f196a2d1042243441f163f1f8)
.
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