REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
25/08/2021 10:20
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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: 23 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: 1,607,162 0.28% 341,359 0.06%
(2) Cash-settled derivatives:
110,636 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: 1,718,298 0.30% 1,622,957 0.28%
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 3 26.0900 USD
USD 0.01 common Purchase 3 26.1000 USD
USD 0.01 common Purchase 5 22.1950 EUR
USD 0.01 common Purchase 6 26.1050 USD
USD 0.01 common Purchase 6 26.0950 USD
USD 0.01 common Purchase 9 26.0283 USD
USD 0.01 common Purchase 9 25.9783 USD
USD 0.01 common Purchase 10 25.9860 USD
USD 0.01 common Purchase 21 25.9800 USD
USD 0.01 common Purchase 40 25.9792 USD
USD 0.01 common Purchase 100 26.0000 USD
USD 0.01 common Purchase 148 26.0772 USD
USD 0.01 common Purchase 200 26.0800 USD
USD 0.01 common Purchase 700 25.9328 USD
USD 0.01 common Purchase 950 25.9106 USD
USD 0.01 common Purchase 976 25.9771 USD
USD 0.01 common Purchase 1,233 25.9650 USD
USD 0.01 common Purchase 2,578 25.8664 USD
USD 0.01 common Purchase 5,078 25.9900 USD
USD 0.01 common Purchase 7,110 25.9813 USD
USD 0.01 common Purchase 14,847 26.0034 USD
USD 0.01 common Purchase 17,261 25.9885 USD
USD 0.01 common Purchase 18,612 25.9700 USD
USD 0.01 common Purchase 22,000 26.1500 USD
USD 0.01 common Purchase 23,120 25.9562 USD
USD 0.01 common Purchase 31,902 25.9953 USD
USD 0.01 common Purchase 36,878 26.0248 USD
USD 0.01 common Purchase 36,974 25.9436 USD
USD 0.01 common Purchase 105,268 26.0352 USD
USD 0.01 common Sale 5 22.1950 EUR
USD 0.01 common Sale 5 25.9600 USD
USD 0.01 common Sale 25 26.0500 USD
USD 0.01 common Sale 29 26.0268 USD
USD 0.01 common Sale 40 25.9475 USD
USD 0.01 common Sale 68 25.9571 USD
USD 0.01 common Sale 68 26.0308 USD
USD 0.01 common Sale 85 26.0188 USD
USD 0.01 common Sale 100 26.0000 USD
USD 0.01 common Sale 100 25.9900 USD
USD 0.01 common Sale 171 25.6400 USD
USD 0.01 common Sale 189 26.0515 USD
USD 0.01 common Sale 199 26.0200 USD
USD 0.01 common Sale 200 26.0950 USD
USD 0.01 common Sale 206 25.9937 USD
USD 0.01 common Sale 283 26.0037 USD
USD 0.01 common Sale 298 25.9800 USD
USD 0.01 common Sale 438 25.9981 USD
USD 0.01 common Sale 500 26.0640 USD
USD 0.01 common Sale 1,037 25.9874 USD
USD 0.01 common Sale 1,500 26.0726 USD
USD 0.01 common Sale 1,600 25.9775 USD
USD 0.01 common Sale 2,193 25.9795 USD
USD 0.01 common Sale 2,784 26.0983 USD
USD 0.01 common Sale 3,268 26.0483 USD
USD 0.01 common Sale 7,650 26.0468 USD
USD 0.01 common Sale 8,465 25.9845 USD
USD 0.01 common Sale 8,780 25.9700 USD
USD 0.01 common Sale 12,330 26.0209 USD
USD 0.01 common Sale 16,470 25.9701 USD
USD 0.01 common Sale 19,280 25.9792 USD
USD 0.01 common Sale 21,537 25.9552 USD
USD 0.01 common Sale 27,228 26.0153 USD
USD 0.01 common Sale 28,046 25.9991 USD
USD 0.01 common Sale 33,000 26.1500 USD
USD 0.01 common Sale 37,115 26.0232 USD
USD 0.01 common Sale 42,661 25.9408 USD
USD 0.01 common Sale 58,946 26.0413 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 Product Writing, Number Exercise Type Expiry Option
of description purchasing, of price date money
relevant selling, securities per unit paid/
security varying etc to which received
option per unit
relates
USD 0.01 common Call Options Selling 114 USD 0.0300 USD
USD 0.01 common Call Options Selling 114 USD 0.3500 USD
USD 0.01 common Call Options Selling 500 USD 0.6500 USD
USD 0.01 common Call Options Selling 2,000 USD 1.6000 USD
(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: 25 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=52481659&newsitemid=20210825005338&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=352a2b7d066c6032991f71c3e7fa02bf)
.
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=52481659&newsitemid=20210825005338&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=5f965c19473188df372f9472926ae037)
.
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