REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
03/09/2021 11:30
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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: 02 September 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: 1,316,847 0.23% 368,276 0.06%
(2) Cash-settled derivatives:
111,602 0.02% 1,028,322 0.18%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
TOTAL: 1,428,949 0.25% 1,398,698 0.24%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 139,000 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: 139,000 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 26.9133 USD
USD 0.01 common Purchase 7 27.0300 USD
USD 0.01 common Purchase 12 26.9358 USD
USD 0.01 common Purchase 13 26.9453 USD
USD 0.01 common Purchase 19 26.9555 USD
USD 0.01 common Purchase 21 27.0188 USD
USD 0.01 common Purchase 28 26.9400 USD
USD 0.01 common Purchase 39 26.8900 USD
USD 0.01 common Purchase 46 27.0159 USD
USD 0.01 common Purchase 52 26.8807 USD
USD 0.01 common Purchase 98 27.0642 USD
USD 0.01 common Purchase 100 26.8400 USD
USD 0.01 common Purchase 100 27.0150 USD
USD 0.01 common Purchase 116 27.1251 USD
USD 0.01 common Purchase 116 26.7758 USD
USD 0.01 common Purchase 136 27.1450 USD
USD 0.01 common Purchase 166 26.9036 USD
USD 0.01 common Purchase 200 26.8300 USD
USD 0.01 common Purchase 210 27.1242 USD
USD 0.01 common Purchase 253 26.9950 USD
USD 0.01 common Purchase 256 26.9369 USD
USD 0.01 common Purchase 359 26.7000 USD
USD 0.01 common Purchase 400 26.8387 USD
USD 0.01 common Purchase 500 26.8360 USD
USD 0.01 common Purchase 823 27.0650 USD
USD 0.01 common Purchase 1,065 26.8410 USD
USD 0.01 common Purchase 1,225 27.0434 USD
USD 0.01 common Purchase 2,814 27.1093 USD
USD 0.01 common Purchase 3,167 26.9825 USD
USD 0.01 common Purchase 4,350 27.0091 USD
USD 0.01 common Purchase 5,375 26.9929 USD
USD 0.01 common Purchase 5,868 26.7916 USD
USD 0.01 common Purchase 9,958 27.1500 USD
USD 0.01 common Purchase 12,194 26.9242 USD
USD 0.01 common Purchase 20,878 26.9486 USD
USD 0.01 common Purchase 22,350 27.1475 USD
USD 0.01 common Purchase 29,978 27.1474 USD
USD 0.01 common Purchase 40,883 27.1127 USD
USD 0.01 common Purchase 121,765 27.0153 USD
USD 0.01 common Sale 46 26.9900 USD
USD 0.01 common Sale 46 27.0000 USD
USD 0.01 common Sale 46 27.0200 USD
USD 0.01 common Sale 46 27.0050 USD
USD 0.01 common Sale 67 27.0081 USD
USD 0.01 common Sale 92 27.0175 USD
USD 0.01 common Sale 92 26.9875 USD
USD 0.01 common Sale 100 26.9700 USD
USD 0.01 common Sale 108 27.0207 USD
USD 0.01 common Sale 235 26.8900 USD
USD 0.01 common Sale 359 26.7000 USD
USD 0.01 common Sale 465 26.8468 USD
USD 0.01 common Sale 528 26.8816 USD
USD 0.01 common Sale 783 27.1474 USD
USD 0.01 common Sale 847 26.8772 USD
USD 0.01 common Sale 1,100 26.9553 USD
USD 0.01 common Sale 1,181 26.8503 USD
USD 0.01 common Sale 1,250 27.0002 USD
USD 0.01 common Sale 1,300 27.0376 USD
USD 0.01 common Sale 1,400 26.9378 USD
USD 0.01 common Sale 1,858 26.9477 USD
USD 0.01 common Sale 1,998 27.0040 USD
USD 0.01 common Sale 2,934 26.7916 USD
USD 0.01 common Sale 2,934 26.7917 USD
USD 0.01 common Sale 3,187 26.8078 USD
USD 0.01 common Sale 3,467 27.1082 USD
USD 0.01 common Sale 3,565 26.9115 USD
USD 0.01 common Sale 3,633 27.0202 USD
USD 0.01 common Sale 3,959 26.8918 USD
USD 0.01 common Sale 6,430 26.9923 USD
USD 0.01 common Sale 14,538 26.9258 USD
USD 0.01 common Sale 18,278 26.9489 USD
USD 0.01 common Sale 39,702 27.1206 USD
USD 0.01 common Sale 62,289 27.1500 USD
USD 0.01 common Sale 110,748 27.0227 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: 3 Sep 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=52486176&newsitemid=20210903005151&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=8535d3e35947145fbc91d692b775a069)
.
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=52486176&newsitemid=20210903005151&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=4f376cbb4ef297456f02e0928c07c7d4)
.
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(https://www.businesswire.com/news/home/20210903005151/en/)
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