REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
14/09/2021 12:35
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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: 13 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: 1,427,523 0.25% 545,012 0.09%
(2) Cash-settled derivatives:
160,930 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: 1,588,953 0.27% 1,575,434 0.27%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 141,000 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: 141,000 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
Convertible Bond Purchase 4,000 134.1250 USD
Convertible Bond Sale 2,000 134.1250 USD
USD 0.01 common Purchase 13 26.6900 USD
USD 0.01 common Purchase 19 26.6600 USD
USD 0.01 common Purchase 26 26.7075 USD
USD 0.01 common Purchase 37 26.9700 USD
USD 0.01 common Purchase 50 26.7800 USD
USD 0.01 common Purchase 64 26.9900 USD
USD 0.01 common Purchase 100 26.8750 USD
USD 0.01 common Purchase 100 26.8550 USD
USD 0.01 common Purchase 100 26.8450 USD
USD 0.01 common Purchase 100 26.7700 USD
USD 0.01 common Purchase 100 26.5400 USD
USD 0.01 common Purchase 100 26.9000 USD
USD 0.01 common Purchase 100 26.8950 USD
USD 0.01 common Purchase 127 26.9029 USD
USD 0.01 common Purchase 200 26.7300 USD
USD 0.01 common Purchase 200 26.8150 USD
USD 0.01 common Purchase 200 26.8900 USD
USD 0.01 common Purchase 200 26.8825 USD
USD 0.01 common Purchase 220 23.4170 EUR
USD 0.01 common Purchase 250 26.7740 USD
USD 0.01 common Purchase 304 27.0795 USD
USD 0.01 common Purchase 346 27.0651 USD
USD 0.01 common Purchase 373 27.0300 USD
USD 0.01 common Purchase 395 26.7768 USD
USD 0.01 common Purchase 450 26.7148 USD
USD 0.01 common Purchase 483 27.4600 USD
USD 0.01 common Purchase 542 26.8549 USD
USD 0.01 common Purchase 584 26.7281 USD
USD 0.01 common Purchase 593 26.9677 USD
USD 0.01 common Purchase 600 26.9004 USD
USD 0.01 common Purchase 600 26.9291 USD
USD 0.01 common Purchase 643 26.7064 USD
USD 0.01 common Purchase 650 26.6050 USD
USD 0.01 common Purchase 700 26.8292 USD
USD 0.01 common Purchase 797 26.7071 USD
USD 0.01 common Purchase 921 26.6205 USD
USD 0.01 common Purchase 1,230 27.1295 USD
USD 0.01 common Purchase 1,300 27.1269 USD
USD 0.01 common Purchase 2,250 26.8151 USD
USD 0.01 common Purchase 2,300 27.1310 USD
USD 0.01 common Purchase 2,500 26.8506 USD
USD 0.01 common Purchase 3,116 27.1307 USD
USD 0.01 common Purchase 3,400 27.1058 USD
USD 0.01 common Purchase 3,482 27.1258 USD
USD 0.01 common Purchase 3,679 26.8072 USD
USD 0.01 common Purchase 3,742 26.6943 USD
USD 0.01 common Purchase 4,197 27.1043 USD
USD 0.01 common Purchase 6,546 26.6100 USD
USD 0.01 common Purchase 6,630 27.0942 USD
USD 0.01 common Purchase 6,899 27.0934 USD
USD 0.01 common Purchase 7,322 26.7533 USD
USD 0.01 common Purchase 7,507 27.2600 USD
USD 0.01 common Purchase 7,606 26.9699 USD
USD 0.01 common Purchase 8,404 27.1079 USD
USD 0.01 common Purchase 8,711 26.6413 USD
USD 0.01 common Purchase 9,689 26.7308 USD
USD 0.01 common Purchase 12,397 26.9157 USD
USD 0.01 common Purchase 12,572 27.1105 USD
USD 0.01 common Purchase 13,595 27.1139 USD
USD 0.01 common Purchase 19,887 26.8744 USD
USD 0.01 common Purchase 32,359 26.8247 USD
USD 0.01 common Purchase 46,412 27.0084 USD
USD 0.01 common Purchase 56,808 27.1196 USD
USD 0.01 common Purchase 114,887 26.7294 USD
USD 0.01 common Purchase 128,433 26.7567 USD
USD 0.01 common Sale 1 26.7700 USD
USD 0.01 common Sale 1 26.7100 USD
USD 0.01 common Sale 1 26.6700 USD
USD 0.01 common Sale 2 26.6300 USD
USD 0.01 common Sale 4 26.6550 USD
USD 0.01 common Sale 6 26.5916 USD
USD 0.01 common Sale 6 26.5700 USD
USD 0.01 common Sale 6 26.7016 USD
USD 0.01 common Sale 12 26.7133 USD
USD 0.01 common Sale 17 26.6900 USD
USD 0.01 common Sale 28 26.7207 USD
USD 0.01 common Sale 66 26.6716 USD
USD 0.01 common Sale 66 26.8216 USD
USD 0.01 common Sale 100 26.6750 USD
USD 0.01 common Sale 100 26.8900 USD
USD 0.01 common Sale 102 27.1048 USD
USD 0.01 common Sale 103 27.0947 USD
USD 0.01 common Sale 120 27.1391 USD
USD 0.01 common Sale 143 26.7946 USD
USD 0.01 common Sale 143 26.7876 USD
USD 0.01 common Sale 150 26.9650 USD
USD 0.01 common Sale 165 26.7813 USD
USD 0.01 common Sale 165 26.7933 USD
USD 0.01 common Sale 200 27.1900 USD
USD 0.01 common Sale 220 23.4170 EUR
USD 0.01 common Sale 253 26.8604 USD
USD 0.01 common Sale 304 26.9503 USD
USD 0.01 common Sale 308 26.8403 USD
USD 0.01 common Sale 351 26.7781 USD
USD 0.01 common Sale 407 26.8454 USD
USD 0.01 common Sale 500 26.9025 USD
USD 0.01 common Sale 521 27.0623 USD
USD 0.01 common Sale 561 26.8323 USD
USD 0.01 common Sale 584 26.7281 USD
USD 0.01 common Sale 700 27.0785 USD
USD 0.01 common Sale 706 27.2100 USD
USD 0.01 common Sale 1,230 27.1295 USD
USD 0.01 common Sale 1,760 26.7695 USD
USD 0.01 common Sale 2,000 27.1275 USD
USD 0.01 common Sale 2,100 27.1097 USD
USD 0.01 common Sale 2,314 27.0715 USD
USD 0.01 common Sale 2,330 27.1204 USD
USD 0.01 common Sale 2,496 27.1663 USD
USD 0.01 common Sale 2,591 26.6800 USD
USD 0.01 common Sale 2,795 26.6833 USD
USD 0.01 common Sale 2,812 27.0986 USD
USD 0.01 common Sale 3,000 27.1156 USD
USD 0.01 common Sale 3,106 27.1749 USD
USD 0.01 common Sale 5,106 27.1005 USD
USD 0.01 common Sale 5,196 27.1013 USD
USD 0.01 common Sale 5,983 27.0562 USD
USD 0.01 common Sale 6,699 26.8369 USD
USD 0.01 common Sale 7,300 27.1291 USD
USD 0.01 common Sale 7,493 26.9700 USD
USD 0.01 common Sale 7,542 27.2600 USD
USD 0.01 common Sale 7,606 26.9699 USD
USD 0.01 common Sale 8,124 26.6176 USD
USD 0.01 common Sale 9,268 27.0375 USD
USD 0.01 common Sale 9,534 27.1106 USD
USD 0.01 common Sale 11,497 26.9010 USD
USD 0.01 common Sale 13,199 26.8534 USD
USD 0.01 common Sale 13,865 27.1224 USD
USD 0.01 common Sale 18,063 26.8486 USD
USD 0.01 common Sale 30,679 26.6100 USD
USD 0.01 common Sale 90,205 26.6126 USD
USD 0.01 common Sale 134,025 26.7328 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: 14 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=52491430&newsitemid=20210914005656&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=01409e7f285340a20d43352cfffa60aa)
.
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=52491430&newsitemid=20210914005656&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=1c340dca5eb11432d636f10e55085862)
.
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https://www.businesswire.com/news/home/20210914005656/en/
(https://www.businesswire.com/news/home/20210914005656/en/)
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