REG-BARCLAYS PLC FORM 8.3 – NORTONLIFELOCK INC
10/09/2021 12:01
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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: 09 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: 1,424,610 0.24% 544,276 0.09%
(2) Cash-settled derivatives:
167,653 0.03% 1,028,322 0.18%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
TOTAL: 1,592,763 0.27% 1,574,698 0.27%
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 30 27.5200 USD
USD 0.01 common Purchase 100 27.9300 USD
USD 0.01 common Purchase 100 27.4900 USD
USD 0.01 common Purchase 100 27.4700 USD
USD 0.01 common Purchase 110 27.4961 USD
USD 0.01 common Purchase 131 28.1291 USD
USD 0.01 common Purchase 184 27.7108 USD
USD 0.01 common Purchase 214 27.9550 USD
USD 0.01 common Purchase 300 27.4233 USD
USD 0.01 common Purchase 400 27.4925 USD
USD 0.01 common Purchase 500 27.4920 USD
USD 0.01 common Purchase 700 27.7850 USD
USD 0.01 common Purchase 756 27.6458 USD
USD 0.01 common Purchase 873 27.4341 USD
USD 0.01 common Purchase 1,000 27.4940 USD
USD 0.01 common Purchase 1,000 27.3730 USD
USD 0.01 common Purchase 1,200 27.7100 USD
USD 0.01 common Purchase 1,234 27.7635 USD
USD 0.01 common Purchase 1,437 27.4942 USD
USD 0.01 common Purchase 1,596 27.4962 USD
USD 0.01 common Purchase 1,796 27.4816 USD
USD 0.01 common Purchase 2,277 27.5000 USD
USD 0.01 common Purchase 2,401 27.4914 USD
USD 0.01 common Purchase 3,000 27.4968 USD
USD 0.01 common Purchase 5,523 27.6586 USD
USD 0.01 common Purchase 5,554 27.4948 USD
USD 0.01 common Purchase 6,650 27.4414 USD
USD 0.01 common Purchase 10,478 27.7109 USD
USD 0.01 common Purchase 11,650 27.5505 USD
USD 0.01 common Purchase 13,366 27.6606 USD
USD 0.01 common Purchase 14,543 27.4653 USD
USD 0.01 common Purchase 25,446 27.4965 USD
USD 0.01 common Purchase 25,775 27.3981 USD
USD 0.01 common Purchase 40,200 27.3843 USD
USD 0.01 common Purchase 42,356 27.3800 USD
USD 0.01 common Purchase 43,049 27.7971 USD
USD 0.01 common Purchase 59,350 27.4497 USD
USD 0.01 common Purchase 71,035 27.5130 USD
USD 0.01 common Purchase 73,147 27.6083 USD
USD 0.01 common Purchase 138,071 27.7096 USD
USD 0.01 common Sale 10 27.4250 USD
USD 0.01 common Sale 20 27.4800 USD
USD 0.01 common Sale 20 27.4900 USD
USD 0.01 common Sale 20 27.4500 USD
USD 0.01 common Sale 30 27.5200 USD
USD 0.01 common Sale 39 27.4053 USD
USD 0.01 common Sale 40 27.3825 USD
USD 0.01 common Sale 40 27.4600 USD
USD 0.01 common Sale 50 27.8750 USD
USD 0.01 common Sale 53 28.1100 USD
USD 0.01 common Sale 87 27.8310 USD
USD 0.01 common Sale 90 27.9546 USD
USD 0.01 common Sale 100 28.1850 USD
USD 0.01 common Sale 120 27.4366 USD
USD 0.01 common Sale 131 28.1291 USD
USD 0.01 common Sale 149 27.6507 USD
USD 0.01 common Sale 158 27.4768 USD
USD 0.01 common Sale 191 27.8606 USD
USD 0.01 common Sale 200 28.1700 USD
USD 0.01 common Sale 201 27.5485 USD
USD 0.01 common Sale 300 27.7533 USD
USD 0.01 common Sale 312 27.9167 USD
USD 0.01 common Sale 400 27.4725 USD
USD 0.01 common Sale 486 27.5620 USD
USD 0.01 common Sale 494 27.4385 USD
USD 0.01 common Sale 500 27.5860 USD
USD 0.01 common Sale 540 28.0915 USD
USD 0.01 common Sale 670 27.4200 USD
USD 0.01 common Sale 1,000 27.7680 USD
USD 0.01 common Sale 1,234 27.7635 USD
USD 0.01 common Sale 1,396 27.4842 USD
USD 0.01 common Sale 1,500 27.7530 USD
USD 0.01 common Sale 1,727 27.7563 USD
USD 0.01 common Sale 1,789 27.6102 USD
USD 0.01 common Sale 2,900 27.7500 USD
USD 0.01 common Sale 3,200 27.4400 USD
USD 0.01 common Sale 3,410 27.4428 USD
USD 0.01 common Sale 4,217 27.6048 USD
USD 0.01 common Sale 4,240 27.9511 USD
USD 0.01 common Sale 4,529 27.4071 USD
USD 0.01 common Sale 4,731 27.5621 USD
USD 0.01 common Sale 6,148 27.7578 USD
USD 0.01 common Sale 8,508 27.7231 USD
USD 0.01 common Sale 9,696 27.8173 USD
USD 0.01 common Sale 9,738 27.6281 USD
USD 0.01 common Sale 10,808 27.7521 USD
USD 0.01 common Sale 20,202 27.6151 USD
USD 0.01 common Sale 24,692 27.3801 USD
USD 0.01 common Sale 38,688 27.3800 USD
USD 0.01 common Sale 40,200 27.3843 USD
USD 0.01 common Sale 58,706 27.6056 USD
USD 0.01 common Sale 59,350 27.4497 USD
USD 0.01 common Sale 59,550 27.4496 USD
USD 0.01 common Sale 78,222 27.5279 USD
USD 0.01 common Sale 166,484 27.7196 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: 10 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.
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