REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
23/08/2021 11:25
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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: 20 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: 1,631,021 0.28% 578,675 0.10%
(2) Cash-settled derivatives:
110,636 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: 2,003,557 0.34% 1,871,673 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 1 25.6300 USD
USD 0.01 common Purchase 13 25.5953 USD
USD 0.01 common Purchase 15 25.6900 USD
USD 0.01 common Purchase 22 25.6550 USD
USD 0.01 common Purchase 25 25.5800 USD
USD 0.01 common Purchase 50 25.6050 USD
USD 0.01 common Purchase 86 25.7350 USD
USD 0.01 common Purchase 100 25.5775 USD
USD 0.01 common Purchase 100 25.7400 USD
USD 0.01 common Purchase 100 25.6500 USD
USD 0.01 common Purchase 124 25.6650 USD
USD 0.01 common Purchase 188 25.6878 USD
USD 0.01 common Purchase 198 25.7292 USD
USD 0.01 common Purchase 200 25.7200 USD
USD 0.01 common Purchase 200 25.7650 USD
USD 0.01 common Purchase 264 25.6545 USD
USD 0.01 common Purchase 448 25.6700 USD
USD 0.01 common Purchase 457 25.6705 USD
USD 0.01 common Purchase 500 25.6640 USD
USD 0.01 common Purchase 500 25.6540 USD
USD 0.01 common Purchase 506 25.6408 USD
USD 0.01 common Purchase 558 25.6529 USD
USD 0.01 common Purchase 558 25.6484 USD
USD 0.01 common Purchase 600 25.6441 USD
USD 0.01 common Purchase 970 25.6509 USD
USD 0.01 common Purchase 1,000 25.6320 USD
USD 0.01 common Purchase 1,066 25.6016 USD
USD 0.01 common Purchase 1,154 25.6000 USD
USD 0.01 common Purchase 1,400 25.5721 USD
USD 0.01 common Purchase 1,800 25.6255 USD
USD 0.01 common Purchase 2,115 25.6240 USD
USD 0.01 common Purchase 2,355 25.6065 USD
USD 0.01 common Purchase 2,519 25.6157 USD
USD 0.01 common Purchase 4,767 25.7120 USD
USD 0.01 common Purchase 6,101 25.6447 USD
USD 0.01 common Purchase 7,200 25.5700 USD
USD 0.01 common Purchase 7,289 25.6814 USD
USD 0.01 common Purchase 7,346 25.6343 USD
USD 0.01 common Purchase 7,841 25.6260 USD
USD 0.01 common Purchase 9,312 25.6528 USD
USD 0.01 common Purchase 9,393 25.6196 USD
USD 0.01 common Purchase 10,549 25.6679 USD
USD 0.01 common Purchase 10,969 25.7493 USD
USD 0.01 common Purchase 19,737 25.6245 USD
USD 0.01 common Purchase 25,872 25.6423 USD
USD 0.01 common Purchase 26,462 25.7376 USD
USD 0.01 common Purchase 32,435 25.6501 USD
USD 0.01 common Purchase 66,077 25.7500 USD
USD 0.01 common Purchase 91,080 25.6703 USD
USD 0.01 common Purchase 114,017 25.7437 USD
USD 0.01 common Purchase 650,000 25.6623 USD
USD 0.01 common Sale 1 25.6300 USD
USD 0.01 common Sale 13 25.5953 USD
USD 0.01 common Sale 21 25.6683 USD
USD 0.01 common Sale 21 25.6550 USD
USD 0.01 common Sale 25 25.6324 USD
USD 0.01 common Sale 28 25.5925 USD
USD 0.01 common Sale 35 25.6711 USD
USD 0.01 common Sale 49 25.6185 USD
USD 0.01 common Sale 65 25.6303 USD
USD 0.01 common Sale 90 25.6750 USD
USD 0.01 common Sale 100 25.7300 USD
USD 0.01 common Sale 100 25.5950 USD
USD 0.01 common Sale 122 25.6000 USD
USD 0.01 common Sale 200 25.6800 USD
USD 0.01 common Sale 277 25.7022 USD
USD 0.01 common Sale 353 25.6261 USD
USD 0.01 common Sale 500 25.6920 USD
USD 0.01 common Sale 600 25.7200 USD
USD 0.01 common Sale 642 25.6700 USD
USD 0.01 common Sale 659 25.5897 USD
USD 0.01 common Sale 1,100 25.7354 USD
USD 0.01 common Sale 1,402 25.5939 USD
USD 0.01 common Sale 1,707 25.7197 USD
USD 0.01 common Sale 2,001 25.5970 USD
USD 0.01 common Sale 2,728 25.7157 USD
USD 0.01 common Sale 2,793 25.6079 USD
USD 0.01 common Sale 3,410 25.7180 USD
USD 0.01 common Sale 3,608 25.6173 USD
USD 0.01 common Sale 3,956 25.6125 USD
USD 0.01 common Sale 6,513 25.6279 USD
USD 0.01 common Sale 7,105 25.6525 USD
USD 0.01 common Sale 7,200 25.5700 USD
USD 0.01 common Sale 8,462 25.6385 USD
USD 0.01 common Sale 9,142 25.6529 USD
USD 0.01 common Sale 10,549 25.6679 USD
USD 0.01 common Sale 12,016 25.7457 USD
USD 0.01 common Sale 14,202 25.6500 USD
USD 0.01 common Sale 14,980 25.6278 USD
USD 0.01 common Sale 16,842 25.6316 USD
USD 0.01 common Sale 16,917 25.6386 USD
USD 0.01 common Sale 17,653 25.6699 USD
USD 0.01 common Sale 17,935 25.6394 USD
USD 0.01 common Sale 21,437 25.6253 USD
USD 0.01 common Sale 23,185 25.7072 USD
USD 0.01 common Sale 23,585 25.7404 USD
USD 0.01 common Sale 25,090 25.6466 USD
USD 0.01 common Sale 34,000 25.7025 USD
USD 0.01 common Sale 35,238 25.6554 USD
USD 0.01 common Sale 87,213 25.6880 USD
USD 0.01 common Sale 106,012 25.6633 USD
USD 0.01 common Sale 122,678 25.6343 USD
USD 0.01 common Sale 153,750 25.7500 USD
USD 0.01 common Sale 325,000 25.6623 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: 23 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=52478047&newsitemid=20210823005286&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=4b0708a1327b8733fa066a6e72f8d8f7)
.
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=52478047&newsitemid=20210823005286&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=8e3a8db101f5cf253732fdf68df08fbf)
.
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