REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
09/09/2021 10:50
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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 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: 08 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: 1,449,628 0.25% 634,287 0.11%
(2) Cash-settled derivatives:
223,704 0.04% 1,028,322 0.18%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
TOTAL: 1,673,832 0.29% 1,664,709 0.29%
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 7 27.4250 USD
USD 0.01 common Purchase 7 27.4800 USD
USD 0.01 common Purchase 14 27.4625 USD
USD 0.01 common Purchase 14 27.4725 USD
USD 0.01 common Purchase 14 27.4700 USD
USD 0.01 common Purchase 14 27.4650 USD
USD 0.01 common Purchase 21 27.4783 USD
USD 0.01 common Purchase 28 27.4600 USD
USD 0.01 common Purchase 40 27.1410 USD
USD 0.01 common Purchase 42 27.4833 USD
USD 0.01 common Purchase 75 27.4586 USD
USD 0.01 common Purchase 91 27.4715 USD
USD 0.01 common Purchase 100 26.9500 USD
USD 0.01 common Purchase 125 27.4300 USD
USD 0.01 common Purchase 200 27.4350 USD
USD 0.01 common Purchase 225 27.4490 USD
USD 0.01 common Purchase 286 27.2112 USD
USD 0.01 common Purchase 500 27.4500 USD
USD 0.01 common Purchase 647 27.2772 USD
USD 0.01 common Purchase 700 27.4450 USD
USD 0.01 common Purchase 999 27.4440 USD
USD 0.01 common Purchase 1,100 27.3527 USD
USD 0.01 common Purchase 1,162 27.3424 USD
USD 0.01 common Purchase 1,400 27.4414 USD
USD 0.01 common Purchase 1,441 27.4413 USD
USD 0.01 common Purchase 1,500 27.4493 USD
USD 0.01 common Purchase 2,000 27.2788 USD
USD 0.01 common Purchase 2,176 27.4453 USD
USD 0.01 common Purchase 2,183 27.1639 USD
USD 0.01 common Purchase 2,192 27.3916 USD
USD 0.01 common Purchase 3,100 27.3083 USD
USD 0.01 common Purchase 3,488 27.4467 USD
USD 0.01 common Purchase 4,600 27.4511 USD
USD 0.01 common Purchase 5,188 27.1200 USD
USD 0.01 common Purchase 5,388 27.1311 USD
USD 0.01 common Purchase 7,770 27.4203 USD
USD 0.01 common Purchase 7,996 27.4452 USD
USD 0.01 common Purchase 8,031 27.3223 USD
USD 0.01 common Purchase 10,659 27.3896 USD
USD 0.01 common Purchase 12,047 27.2958 USD
USD 0.01 common Purchase 14,583 27.3540 USD
USD 0.01 common Purchase 15,259 27.4292 USD
USD 0.01 common Purchase 34,396 27.3257 USD
USD 0.01 common Purchase 35,914 27.3410 USD
USD 0.01 common Purchase 41,285 27.3172 USD
USD 0.01 common Purchase 88,019 27.3807 USD
USD 0.01 common Purchase 131,000 27.4200 USD
USD 0.01 common Sale 10 27.4700 USD
USD 0.01 common Sale 40 27.1410 USD
USD 0.01 common Sale 100 27.4300 USD
USD 0.01 common Sale 100 27.5200 USD
USD 0.01 common Sale 101 27.2675 USD
USD 0.01 common Sale 187 27.3114 USD
USD 0.01 common Sale 190 27.1453 USD
USD 0.01 common Sale 200 27.4225 USD
USD 0.01 common Sale 200 27.3500 USD
USD 0.01 common Sale 284 27.3192 USD
USD 0.01 common Sale 300 27.4366 USD
USD 0.01 common Sale 300 27.4450 USD
USD 0.01 common Sale 300 27.2100 USD
USD 0.01 common Sale 314 27.4322 USD
USD 0.01 common Sale 320 27.3224 USD
USD 0.01 common Sale 321 27.4664 USD
USD 0.01 common Sale 339 27.4317 USD
USD 0.01 common Sale 363 27.3215 USD
USD 0.01 common Sale 366 27.3434 USD
USD 0.01 common Sale 381 27.2582 USD
USD 0.01 common Sale 556 27.4470 USD
USD 0.01 common Sale 564 27.3396 USD
USD 0.01 common Sale 600 27.4333 USD
USD 0.01 common Sale 629 27.2973 USD
USD 0.01 common Sale 743 27.0400 USD
USD 0.01 common Sale 880 27.3099 USD
USD 0.01 common Sale 1,000 27.1000 USD
USD 0.01 common Sale 1,000 27.3820 USD
USD 0.01 common Sale 1,003 27.4542 USD
USD 0.01 common Sale 1,162 27.3424 USD
USD 0.01 common Sale 1,183 27.2179 USD
USD 0.01 common Sale 2,640 27.1995 USD
USD 0.01 common Sale 3,018 27.3917 USD
USD 0.01 common Sale 3,375 27.3949 USD
USD 0.01 common Sale 4,600 27.4511 USD
USD 0.01 common Sale 4,976 27.3614 USD
USD 0.01 common Sale 5,188 27.1200 USD
USD 0.01 common Sale 10,947 27.4260 USD
USD 0.01 common Sale 13,534 27.3054 USD
USD 0.01 common Sale 15,969 27.3513 USD
USD 0.01 common Sale 18,941 27.3608 USD
USD 0.01 common Sale 21,988 27.2772 USD
USD 0.01 common Sale 24,741 27.4200 USD
USD 0.01 common Sale 29,711 27.3171 USD
USD 0.01 common Sale 41,233 27.3129 USD
USD 0.01 common Sale 101,977 27.3837 USD
USD 0.01 common Sale 102,721 27.4199 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: 9 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
(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
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
(http://www.thetakeoverpanel.org.uk/)
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