REG-BARCLAYS PLC FORM 8.3 - NORTONLIFELOCK INC
31/08/2021 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: 27 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: 1,389,774 0.24% 395,538 0.07%
(2) Cash-settled derivatives:
110,636 0.02% 2,056,644 0.35%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
TOTAL: 1,500,910 0.26% 2,454,282 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 5 26.7510 USD
USD 0.01 common Purchase 11 26.7863 USD
USD 0.01 common Purchase 15 26.7903 USD
USD 0.01 common Purchase 16 26.7725 USD
USD 0.01 common Purchase 21 26.7630 USD
USD 0.01 common Purchase 34 26.7694 USD
USD 0.01 common Purchase 37 26.7645 USD
USD 0.01 common Purchase 44 26.7640 USD
USD 0.01 common Purchase 50 26.7696 USD
USD 0.01 common Purchase 73 26.7715 USD
USD 0.01 common Purchase 81 26.7801 USD
USD 0.01 common Purchase 96 26.6500 USD
USD 0.01 common Purchase 100 26.7850 USD
USD 0.01 common Purchase 100 26.7870 USD
USD 0.01 common Purchase 100 26.7600 USD
USD 0.01 common Purchase 108 26.6670 USD
USD 0.01 common Purchase 120 26.7840 USD
USD 0.01 common Purchase 155 26.7670 USD
USD 0.01 common Purchase 180 26.7713 USD
USD 0.01 common Purchase 200 26.7625 USD
USD 0.01 common Purchase 205 26.7750 USD
USD 0.01 common Purchase 227 26.7677 USD
USD 0.01 common Purchase 228 26.8007 USD
USD 0.01 common Purchase 230 26.7830 USD
USD 0.01 common Purchase 285 26.7810 USD
USD 0.01 common Purchase 317 26.7650 USD
USD 0.01 common Purchase 330 26.7695 USD
USD 0.01 common Purchase 400 26.6275 USD
USD 0.01 common Purchase 400 26.7662 USD
USD 0.01 common Purchase 400 26.7825 USD
USD 0.01 common Purchase 436 26.7639 USD
USD 0.01 common Purchase 490 26.7814 USD
USD 0.01 common Purchase 500 26.7950 USD
USD 0.01 common Purchase 500 26.7690 USD
USD 0.01 common Purchase 513 26.7791 USD
USD 0.01 common Purchase 546 26.7197 USD
USD 0.01 common Purchase 600 26.7658 USD
USD 0.01 common Purchase 600 26.7983 USD
USD 0.01 common Purchase 633 26.7720 USD
USD 0.01 common Purchase 702 26.7799 USD
USD 0.01 common Purchase 786 26.8030 USD
USD 0.01 common Purchase 800 26.7550 USD
USD 0.01 common Purchase 1,034 26.8100 USD
USD 0.01 common Purchase 1,360 26.6884 USD
USD 0.01 common Purchase 1,400 26.7789 USD
USD 0.01 common Purchase 1,739 26.7585 USD
USD 0.01 common Purchase 1,878 26.7815 USD
USD 0.01 common Purchase 1,879 26.6462 USD
USD 0.01 common Purchase 2,148 26.7476 USD
USD 0.01 common Purchase 2,396 26.7805 USD
USD 0.01 common Purchase 3,033 26.7709 USD
USD 0.01 common Purchase 3,135 26.7712 USD
USD 0.01 common Purchase 3,331 26.7671 USD
USD 0.01 common Purchase 3,543 26.6862 USD
USD 0.01 common Purchase 3,810 26.7800 USD
USD 0.01 common Purchase 9,460 26.7700 USD
USD 0.01 common Purchase 11,795 26.7719 USD
USD 0.01 common Purchase 13,163 26.7816 USD
USD 0.01 common Purchase 14,000 26.7786 USD
USD 0.01 common Purchase 14,682 26.7542 USD
USD 0.01 common Purchase 15,955 26.7100 USD
USD 0.01 common Purchase 17,743 26.7556 USD
USD 0.01 common Purchase 21,391 26.7407 USD
USD 0.01 common Purchase 26,590 26.7723 USD
USD 0.01 common Purchase 28,607 26.6749 USD
USD 0.01 common Purchase 30,966 26.7514 USD
USD 0.01 common Purchase 38,593 26.7798 USD
USD 0.01 common Purchase 67,632 26.7398 USD
USD 0.01 common Sale 28 26.7750 USD
USD 0.01 common Sale 42 26.7766 USD
USD 0.01 common Sale 56 26.7650 USD
USD 0.01 common Sale 70 26.7600 USD
USD 0.01 common Sale 96 26.6500 USD
USD 0.01 common Sale 100 26.6750 USD
USD 0.01 common Sale 100 26.6400 USD
USD 0.01 common Sale 200 26.6850 USD
USD 0.01 common Sale 224 26.7432 USD
USD 0.01 common Sale 228 26.7608 USD
USD 0.01 common Sale 228 26.7793 USD
USD 0.01 common Sale 300 26.6700 USD
USD 0.01 common Sale 300 26.7333 USD
USD 0.01 common Sale 328 26.7551 USD
USD 0.01 common Sale 365 26.7974 USD
USD 0.01 common Sale 366 26.7576 USD
USD 0.01 common Sale 380 26.7726 USD
USD 0.01 common Sale 400 26.7275 USD
USD 0.01 common Sale 425 26.7534 USD
USD 0.01 common Sale 428 26.7200 USD
USD 0.01 common Sale 441 26.6911 USD
USD 0.01 common Sale 500 26.7740 USD
USD 0.01 common Sale 500 26.7420 USD
USD 0.01 common Sale 500 26.6780 USD
USD 0.01 common Sale 569 26.7683 USD
USD 0.01 common Sale 581 26.7701 USD
USD 0.01 common Sale 600 26.7983 USD
USD 0.01 common Sale 600 26.7716 USD
USD 0.01 common Sale 621 26.7436 USD
USD 0.01 common Sale 700 26.7607 USD
USD 0.01 common Sale 800 26.7712 USD
USD 0.01 common Sale 856 26.7762 USD
USD 0.01 common Sale 881 26.7357 USD
USD 0.01 common Sale 887 26.7673 USD
USD 0.01 common Sale 1,008 26.7710 USD
USD 0.01 common Sale 1,090 26.8086 USD
USD 0.01 common Sale 1,100 26.6772 USD
USD 0.01 common Sale 1,200 26.6625 USD
USD 0.01 common Sale 1,200 26.7725 USD
USD 0.01 common Sale 1,200 26.7675 USD
USD 0.01 common Sale 1,300 26.7753 USD
USD 0.01 common Sale 1,500 26.7850 USD
USD 0.01 common Sale 1,501 26.7303 USD
USD 0.01 common Sale 1,596 26.7859 USD
USD 0.01 common Sale 1,824 26.7754 USD
USD 0.01 common Sale 1,942 26.7700 USD
USD 0.01 common Sale 2,217 26.6922 USD
USD 0.01 common Sale 2,700 26.7629 USD
USD 0.01 common Sale 3,647 26.7709 USD
USD 0.01 common Sale 4,000 26.7803 USD
USD 0.01 common Sale 4,823 26.7746 USD
USD 0.01 common Sale 5,730 26.7737 USD
USD 0.01 common Sale 6,040 26.7572 USD
USD 0.01 common Sale 7,700 26.7450 USD
USD 0.01 common Sale 8,148 26.6881 USD
USD 0.01 common Sale 12,979 26.6904 USD
USD 0.01 common Sale 13,163 26.7816 USD
USD 0.01 common Sale 13,590 26.7314 USD
USD 0.01 common Sale 13,612 26.7509 USD
USD 0.01 common Sale 15,701 26.6661 USD
USD 0.01 common Sale 15,955 26.7100 USD
USD 0.01 common Sale 18,120 26.7785 USD
USD 0.01 common Sale 18,163 26.7579 USD
USD 0.01 common Sale 20,766 26.7774 USD
USD 0.01 common Sale 40,384 26.7384 USD
USD 0.01 common Sale 41,355 26.7800 USD
USD 0.01 common Sale 45,044 26.7537 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: 31 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=52484208&newsitemid=20210831005503&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=edc0db418dab24cfb397a5a4096e8846)
.
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=52484208&newsitemid=20210831005503&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=dc7da7434c5bc5faa4a97c19ace9415a)
.
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