REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
26/08/2021 11:50
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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 interests and short positions disclosed, if
different from 1(a):
The naming of nominee or vehicle companies is insufficient. For a trust, the
trustee(s), settlor and beneficiaries must be named.
(c) Name of offeror/offeree in relation to whose relevant securities this form NORTONLIFELOCK INC
relates:
Use a separate form for each offeror/offeree
(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: 25 August 2021
For an opening position disclosure, state the latest practicable date prior to
the disclosure
(f) In addition to the company in 1(c) above, is the discloser making YES : AVAST PLC
disclosures in respect of any other party to the offer?
If it is a cash offer or possible cash offer, state “N/A”
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: 1,521,695 0.26% 343,855 0.06%
(2) Cash-settled derivatives:
168,836 0.03% 1,279,498 0.22%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
(4)
TOTAL: 1,691,031 0.29% 1,625,453 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%
(4)
TOTAL: 136,000 0.02% 0 0.00%
0
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 26.8350 USD
USD 0.01 common Purchase 38 26.6936 USD
USD 0.01 common Purchase 100 26.4350 USD
USD 0.01 common Purchase 100 26.4400 USD
USD 0.01 common Purchase 100 26.6400 USD
USD 0.01 common Purchase 100 26.6500 USD
USD 0.01 common Purchase 100 26.6300 USD
USD 0.01 common Purchase 107 26.4431 USD
USD 0.01 common Purchase 113 26.5600 USD
USD 0.01 common Purchase 166 26.5959 USD
USD 0.01 common Purchase 193 26.5940 USD
USD 0.01 common Purchase 376 26.5800 USD
USD 0.01 common Purchase 385 26.5242 USD
USD 0.01 common Purchase 400 26.5300 USD
USD 0.01 common Purchase 400 26.5312 USD
USD 0.01 common Purchase 433 22.6722 EUR
USD 0.01 common Purchase 459 26.5691 USD
USD 0.01 common Purchase 488 26.5532 USD
USD 0.01 common Purchase 500 26.5050 USD
USD 0.01 common Purchase 521 26.5771 USD
USD 0.01 common Purchase 585 26.7141 USD
USD 0.01 common Purchase 600 26.5375 USD
USD 0.01 common Purchase 600 26.5341 USD
USD 0.01 common Purchase 656 26.5392 USD
USD 0.01 common Purchase 704 26.5400 USD
USD 0.01 common Purchase 800 26.5550 USD
USD 0.01 common Purchase 824 26.7587 USD
USD 0.01 common Purchase 828 26.6237 USD
USD 0.01 common Purchase 992 26.6760 USD
USD 0.01 common Purchase 1,200 26.5662 USD
USD 0.01 common Purchase 1,736 26.5308 USD
USD 0.01 common Purchase 1,834 26.4648 USD
USD 0.01 common Purchase 2,139 26.6266 USD
USD 0.01 common Purchase 2,274 26.5448 USD
USD 0.01 common Purchase 2,500 26.6316 USD
USD 0.01 common Purchase 2,571 26.6143 USD
USD 0.01 common Purchase 2,842 26.5674 USD
USD 0.01 common Purchase 3,307 26.5631 USD
USD 0.01 common Purchase 3,489 26.5596 USD
USD 0.01 common Purchase 3,964 26.5476 USD
USD 0.01 common Purchase 4,350 26.5759 USD
USD 0.01 common Purchase 4,537 26.5539 USD
USD 0.01 common Purchase 4,754 26.5872 USD
USD 0.01 common Purchase 5,140 26.5815 USD
USD 0.01 common Purchase 5,464 26.7000 USD
USD 0.01 common Purchase 6,786 26.5899 USD
USD 0.01 common Purchase 8,134 26.5622 USD
USD 0.01 common Purchase 8,770 26.5608 USD
USD 0.01 common Purchase 8,839 26.5554 USD
USD 0.01 common Purchase 9,135 26.6151 USD
USD 0.01 common Purchase 9,316 26.6993 USD
USD 0.01 common Purchase 9,629 26.6704 USD
USD 0.01 common Purchase 10,194 26.6418 USD
USD 0.01 common Purchase 10,674 26.5680 USD
USD 0.01 common Purchase 11,524 26.6219 USD
USD 0.01 common Purchase 12,318 26.5869 USD
USD 0.01 common Purchase 13,886 26.6369 USD
USD 0.01 common Purchase 14,707 26.6306 USD
USD 0.01 common Purchase 17,402 26.6731 USD
USD 0.01 common Purchase 18,587 26.6968 USD
USD 0.01 common Purchase 44,220 26.6053 USD
USD 0.01 common Purchase 90,746 26.6723 USD
USD 0.01 common Purchase 112,599 26.6320 USD
USD 0.01 common Purchase 172,952 26.6440 USD
USD 0.01 common Purchase 257,056 26.5715 USD
USD 0.01 common Sale 2 26.6200 USD
USD 0.01 common Sale 2 26.4700 USD
USD 0.01 common Sale 5 26.4440 USD
USD 0.01 common Sale 6 26.5500 USD
USD 0.01 common Sale 7 26.3971 USD
USD 0.01 common Sale 9 26.5627 USD
USD 0.01 common Sale 13 26.4950 USD
USD 0.01 common Sale 22 26.5240 USD
USD 0.01 common Sale 26 26.6544 USD
USD 0.01 common Sale 26 26.6748 USD
USD 0.01 common Sale 53 26.6496 USD
USD 0.01 common Sale 69 26.6128 USD
USD 0.01 common Sale 76 26.6505 USD
USD 0.01 common Sale 100 26.7100 USD
USD 0.01 common Sale 100 26.6650 USD
USD 0.01 common Sale 100 26.6750 USD
USD 0.01 common Sale 100 26.6800 USD
USD 0.01 common Sale 100 26.6900 USD
USD 0.01 common Sale 101 26.6941 USD
USD 0.01 common Sale 134 26.5620 USD
USD 0.01 common Sale 159 26.5486 USD
USD 0.01 common Sale 166 26.6184 USD
USD 0.01 common Sale 166 26.5668 USD
USD 0.01 common Sale 200 26.6350 USD
USD 0.01 common Sale 200 26.5850 USD
USD 0.01 common Sale 200 26.6050 USD
USD 0.01 common Sale 217 26.5725 USD
USD 0.01 common Sale 231 26.5785 USD
USD 0.01 common Sale 272 26.6641 USD
USD 0.01 common Sale 300 26.6500 USD
USD 0.01 common Sale 321 26.4674 USD
USD 0.01 common Sale 334 26.6752 USD
USD 0.01 common Sale 360 26.5419 USD
USD 0.01 common Sale 400 26.6300 USD
USD 0.01 common Sale 400 26.5975 USD
USD 0.01 common Sale 419 26.5951 USD
USD 0.01 common Sale 433 22.6722 EUR
USD 0.01 common Sale 442 26.5320 USD
USD 0.01 common Sale 467 26.6186 USD
USD 0.01 common Sale 500 26.6660 USD
USD 0.01 common Sale 528 26.6457 USD
USD 0.01 common Sale 577 26.6757 USD
USD 0.01 common Sale 600 26.5933 USD
USD 0.01 common Sale 600 26.6850 USD
USD 0.01 common Sale 730 26.6105 USD
USD 0.01 common Sale 900 26.7233 USD
USD 0.01 common Sale 1,000 26.7325 USD
USD 0.01 common Sale 1,016 26.6406 USD
USD 0.01 common Sale 1,063 26.5425 USD
USD 0.01 common Sale 1,300 26.6180 USD
USD 0.01 common Sale 1,400 26.6507 USD
USD 0.01 common Sale 1,530 26.6575 USD
USD 0.01 common Sale 1,600 26.7190 USD
USD 0.01 common Sale 1,956 26.6139 USD
USD 0.01 common Sale 2,022 26.5300 USD
USD 0.01 common Sale 2,300 26.6317 USD
USD 0.01 common Sale 2,525 26.6760 USD
USD 0.01 common Sale 2,800 26.6475 USD
USD 0.01 common Sale 2,885 26.5793 USD
USD 0.01 common Sale 3,314 26.6359 USD
USD 0.01 common Sale 3,359 26.5444 USD
USD 0.01 common Sale 3,413 26.6626 USD
USD 0.01 common Sale 3,916 26.7147 USD
USD 0.01 common Sale 4,166 26.4945 USD
USD 0.01 common Sale 5,450 26.6326 USD
USD 0.01 common Sale 5,942 26.6125 USD
USD 0.01 common Sale 5,959 26.6216 USD
USD 0.01 common Sale 5,965 26.6161 USD
USD 0.01 common Sale 6,732 26.6194 USD
USD 0.01 common Sale 6,786 26.5899 USD
USD 0.01 common Sale 8,436 26.6551 USD
USD 0.01 common Sale 10,910 26.7000 USD
USD 0.01 common Sale 12,595 26.6425 USD
USD 0.01 common Sale 12,595 26.6151 USD
USD 0.01 common Sale 16,510 26.5902 USD
USD 0.01 common Sale 17,247 26.6993 USD
USD 0.01 common Sale 19,438 26.6227 USD
USD 0.01 common Sale 19,500 26.6719 USD
USD 0.01 common Sale 19,868 26.5740 USD
USD 0.01 common Sale 29,314 26.6172 USD
USD 0.01 common Sale 111,004 26.6526 USD
USD 0.01 common Sale 257,056 26.5715 USD
USD 0.01 common Sale 290,000 26.5699 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: 26 August 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
Full name of person making disclosure: Barclays PLC.
Name of offeror/offeree in relation to whose relevant securities the NORTONLIFELOCK INC
disclosure 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
(http://www.thetakeoverpanel.org.uk/) .
View source version on businesswire.com:
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