REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
27/08/2021 10:45
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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: 26 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: 1,434,485 0.25% 409,668 0.07%
(2) Cash-settled derivatives:
168,836 0.03% 2,056,644 0.35%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
TOTAL: 1,603,821 0.28% 2,468,412 0.42%
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 24 26.8970 USD
USD 0.01 common Purchase 26 26.8738 USD
USD 0.01 common Purchase 30 26.8573 USD
USD 0.01 common Purchase 38 26.8182 USD
USD 0.01 common Purchase 64 26.8887 USD
USD 0.01 common Purchase 77 26.8680 USD
USD 0.01 common Purchase 92 26.8118 USD
USD 0.01 common Purchase 98 26.7000 USD
USD 0.01 common Purchase 134 26.8746 USD
USD 0.01 common Purchase 197 26.7421 USD
USD 0.01 common Purchase 200 26.9300 USD
USD 0.01 common Purchase 213 26.9118 USD
USD 0.01 common Purchase 243 26.9505 USD
USD 0.01 common Purchase 300 26.9400 USD
USD 0.01 common Purchase 300 26.7433 USD
USD 0.01 common Purchase 305 26.9098 USD
USD 0.01 common Purchase 358 26.7313 USD
USD 0.01 common Purchase 407 26.6196 USD
USD 0.01 common Purchase 500 26.5980 USD
USD 0.01 common Purchase 500 26.8480 USD
USD 0.01 common Purchase 501 26.7350 USD
USD 0.01 common Purchase 534 26.6400 USD
USD 0.01 common Purchase 614 26.8842 USD
USD 0.01 common Purchase 659 26.7691 USD
USD 0.01 common Purchase 698 26.9170 USD
USD 0.01 common Purchase 700 26.7614 USD
USD 0.01 common Purchase 812 26.5996 USD
USD 0.01 common Purchase 1,056 26.7506 USD
USD 0.01 common Purchase 1,145 26.6425 USD
USD 0.01 common Purchase 1,205 26.8592 USD
USD 0.01 common Purchase 1,398 26.7393 USD
USD 0.01 common Purchase 1,481 26.7094 USD
USD 0.01 common Purchase 1,534 26.7910 USD
USD 0.01 common Purchase 1,583 26.7192 USD
USD 0.01 common Purchase 1,600 26.8471 USD
USD 0.01 common Purchase 1,657 26.9344 USD
USD 0.01 common Purchase 1,839 26.9329 USD
USD 0.01 common Purchase 1,900 26.8242 USD
USD 0.01 common Purchase 1,905 26.6671 USD
USD 0.01 common Purchase 2,517 26.7528 USD
USD 0.01 common Purchase 2,903 26.9367 USD
USD 0.01 common Purchase 3,031 26.9141 USD
USD 0.01 common Purchase 3,350 26.9447 USD
USD 0.01 common Purchase 3,365 26.9372 USD
USD 0.01 common Purchase 3,686 26.7100 USD
USD 0.01 common Purchase 3,771 26.9321 USD
USD 0.01 common Purchase 4,200 26.8535 USD
USD 0.01 common Purchase 4,247 26.7278 USD
USD 0.01 common Purchase 4,346 26.8670 USD
USD 0.01 common Purchase 4,470 26.8587 USD
USD 0.01 common Purchase 5,139 26.9520 USD
USD 0.01 common Purchase 5,560 26.9241 USD
USD 0.01 common Purchase 5,589 26.8784 USD
USD 0.01 common Purchase 6,355 26.7162 USD
USD 0.01 common Purchase 6,413 26.7996 USD
USD 0.01 common Purchase 6,608 26.8485 USD
USD 0.01 common Purchase 6,702 26.8791 USD
USD 0.01 common Purchase 6,908 26.7566 USD
USD 0.01 common Purchase 6,938 26.8959 USD
USD 0.01 common Purchase 8,078 26.9442 USD
USD 0.01 common Purchase 8,158 26.8389 USD
USD 0.01 common Purchase 8,758 26.8752 USD
USD 0.01 common Purchase 14,221 26.6630 USD
USD 0.01 common Purchase 16,420 26.8501 USD
USD 0.01 common Purchase 17,066 26.8518 USD
USD 0.01 common Purchase 18,120 26.6753 USD
USD 0.01 common Purchase 18,490 26.6700 USD
USD 0.01 common Purchase 22,991 26.6373 USD
USD 0.01 common Purchase 23,084 26.7290 USD
USD 0.01 common Purchase 28,099 26.9186 USD
USD 0.01 common Purchase 34,214 26.8693 USD
USD 0.01 common Purchase 35,023 26.9399 USD
USD 0.01 common Purchase 35,244 26.8392 USD
USD 0.01 common Purchase 40,845 26.7078 USD
USD 0.01 common Purchase 43,902 26.8454 USD
USD 0.01 common Purchase 76,860 26.8666 USD
USD 0.01 common Purchase 81,806 26.7856 USD
USD 0.01 common Purchase 127,387 26.8160 USD
USD 0.01 common Purchase 203,440 26.8311 USD
USD 0.01 common Sale 4 26.8575 USD
USD 0.01 common Sale 56 26.8667 USD
USD 0.01 common Sale 100 26.6050 USD
USD 0.01 common Sale 100 26.5400 USD
USD 0.01 common Sale 100 26.8650 USD
USD 0.01 common Sale 100 26.6900 USD
USD 0.01 common Sale 100 26.6100 USD
USD 0.01 common Sale 138 26.7739 USD
USD 0.01 common Sale 200 26.8625 USD
USD 0.01 common Sale 200 26.8550 USD
USD 0.01 common Sale 400 26.8275 USD
USD 0.01 common Sale 400 26.6537 USD
USD 0.01 common Sale 424 26.8216 USD
USD 0.01 common Sale 501 26.7350 USD
USD 0.01 common Sale 558 26.8610 USD
USD 0.01 common Sale 590 26.6577 USD
USD 0.01 common Sale 659 26.7691 USD
USD 0.01 common Sale 700 26.6557 USD
USD 0.01 common Sale 700 26.8700 USD
USD 0.01 common Sale 700 26.7550 USD
USD 0.01 common Sale 743 26.9000 USD
USD 0.01 common Sale 800 26.7500 USD
USD 0.01 common Sale 908 26.7475 USD
USD 0.01 common Sale 943 26.9793 USD
USD 0.01 common Sale 1,008 26.7819 USD
USD 0.01 common Sale 1,084 26.7383 USD
USD 0.01 common Sale 1,162 26.7477 USD
USD 0.01 common Sale 1,200 26.8083 USD
USD 0.01 common Sale 1,250 26.8844 USD
USD 0.01 common Sale 1,416 26.8429 USD
USD 0.01 common Sale 1,465 26.6402 USD
USD 0.01 common Sale 1,600 26.8393 USD
USD 0.01 common Sale 1,608 26.8954 USD
USD 0.01 common Sale 1,745 26.8370 USD
USD 0.01 common Sale 1,832 26.8233 USD
USD 0.01 common Sale 1,909 26.8400 USD
USD 0.01 common Sale 2,040 26.7917 USD
USD 0.01 common Sale 2,108 26.8090 USD
USD 0.01 common Sale 2,128 26.7598 USD
USD 0.01 common Sale 2,232 26.9199 USD
USD 0.01 common Sale 2,303 26.7933 USD
USD 0.01 common Sale 2,316 26.8154 USD
USD 0.01 common Sale 2,405 26.7243 USD
USD 0.01 common Sale 2,416 26.7663 USD
USD 0.01 common Sale 2,463 26.7625 USD
USD 0.01 common Sale 2,484 26.8611 USD
USD 0.01 common Sale 2,502 26.8021 USD
USD 0.01 common Sale 2,775 26.7799 USD
USD 0.01 common Sale 2,975 26.9150 USD
USD 0.01 common Sale 3,000 26.7980 USD
USD 0.01 common Sale 3,100 26.8353 USD
USD 0.01 common Sale 3,387 26.7055 USD
USD 0.01 common Sale 3,895 26.7950 USD
USD 0.01 common Sale 3,969 26.7969 USD
USD 0.01 common Sale 4,200 26.8640 USD
USD 0.01 common Sale 4,300 26.8594 USD
USD 0.01 common Sale 4,449 26.8222 USD
USD 0.01 common Sale 4,470 26.8587 USD
USD 0.01 common Sale 4,800 26.7756 USD
USD 0.01 common Sale 5,200 26.7656 USD
USD 0.01 common Sale 5,672 26.7859 USD
USD 0.01 common Sale 5,723 26.8477 USD
USD 0.01 common Sale 6,370 26.7396 USD
USD 0.01 common Sale 6,702 26.8791 USD
USD 0.01 common Sale 7,681 26.8134 USD
USD 0.01 common Sale 7,975 26.7721 USD
USD 0.01 common Sale 8,510 26.8780 USD
USD 0.01 common Sale 8,975 26.8144 USD
USD 0.01 common Sale 10,564 26.7100 USD
USD 0.01 common Sale 11,098 26.6658 USD
USD 0.01 common Sale 15,724 26.7850 USD
USD 0.01 common Sale 18,555 26.8114 USD
USD 0.01 common Sale 22,991 26.6373 USD
USD 0.01 common Sale 28,568 26.7239 USD
USD 0.01 common Sale 31,044 26.8390 USD
USD 0.01 common Sale 34,409 26.8038 USD
USD 0.01 common Sale 40,845 26.7078 USD
USD 0.01 common Sale 123,337 26.8201 USD
USD 0.01 common Sale 203,440 26.8311 USD
USD 0.01 common Sale 303,440 26.8648 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: 27 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=52482402&newsitemid=20210827005126&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=ec7e5d885f89ea3f4f540a7a8df2400d)
.
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&esheet=52482402&newsitemid=20210827005126&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=60232c54c9745d55cbf59d4a2aa25b66)
.
View source version on businesswire.com:
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