REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
17/09/2021 13:55
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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: 16 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)
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 1,434,759 0.25% 552,869 0.10%
(2) Cash-settled derivatives:
226,930 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: 1,662,189 0.29% 1,583,291 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
USD 0.01 common Purchase 5 26.0700 USD
USD 0.01 common Purchase 10 26.1400 USD
USD 0.01 common Purchase 100 26.1364 USD
USD 0.01 common Purchase 100 26.0050 USD
USD 0.01 common Purchase 200 26.1150 USD
USD 0.01 common Purchase 316 26.0260 USD
USD 0.01 common Purchase 670 26.0227 USD
USD 0.01 common Purchase 900 25.9777 USD
USD 0.01 common Purchase 1,046 26.0703 USD
USD 0.01 common Purchase 1,263 25.9944 USD
USD 0.01 common Purchase 1,349 25.9702 USD
USD 0.01 common Purchase 1,699 26.1000 USD
USD 0.01 common Purchase 2,403 26.0330 USD
USD 0.01 common Purchase 3,415 26.0982 USD
USD 0.01 common Purchase 4,122 25.9968 USD
USD 0.01 common Purchase 4,425 26.0035 USD
USD 0.01 common Purchase 4,938 25.9962 USD
USD 0.01 common Purchase 6,040 26.0891 USD
USD 0.01 common Purchase 7,108 25.9217 USD
USD 0.01 common Purchase 10,888 26.0649 USD
USD 0.01 common Purchase 11,943 26.0672 USD
USD 0.01 common Purchase 24,341 26.0911 USD
USD 0.01 common Purchase 25,613 25.9500 USD
USD 0.01 common Purchase 64,349 25.9200 USD
USD 0.01 common Purchase 92,435 25.9499 USD
USD 0.01 common Sale 8 25.9700 USD
USD 0.01 common Sale 9 26.0900 USD
USD 0.01 common Sale 10 26.1400 USD
USD 0.01 common Sale 10 26.2500 USD
USD 0.01 common Sale 50 26.1300 USD
USD 0.01 common Sale 74 25.9397 USD
USD 0.01 common Sale 100 26.1150 USD
USD 0.01 common Sale 100 26.0550 USD
USD 0.01 common Sale 100 25.9900 USD
USD 0.01 common Sale 105 25.9250 USD
USD 0.01 common Sale 190 26.0573 USD
USD 0.01 common Sale 200 26.0475 USD
USD 0.01 common Sale 224 26.0825 USD
USD 0.01 common Sale 343 26.0837 USD
USD 0.01 common Sale 385 26.0948 USD
USD 0.01 common Sale 400 26.0725 USD
USD 0.01 common Sale 400 26.1037 USD
USD 0.01 common Sale 405 26.0700 USD
USD 0.01 common Sale 462 25.9581 USD
USD 0.01 common Sale 531 25.9842 USD
USD 0.01 common Sale 699 26.0857 USD
USD 0.01 common Sale 750 25.9573 USD
USD 0.01 common Sale 969 25.9480 USD
USD 0.01 common Sale 1,046 26.0703 USD
USD 0.01 common Sale 1,055 26.0842 USD
USD 0.01 common Sale 1,070 25.9596 USD
USD 0.01 common Sale 1,073 25.9668 USD
USD 0.01 common Sale 1,082 25.9798 USD
USD 0.01 common Sale 1,100 26.0809 USD
USD 0.01 common Sale 1,291 25.9681 USD
USD 0.01 common Sale 1,373 25.9816 USD
USD 0.01 common Sale 1,412 26.0132 USD
USD 0.01 common Sale 1,446 25.9398 USD
USD 0.01 common Sale 1,612 25.9303 USD
USD 0.01 common Sale 1,829 26.0768 USD
USD 0.01 common Sale 2,219 26.0798 USD
USD 0.01 common Sale 2,349 26.0071 USD
USD 0.01 common Sale 3,217 26.0993 USD
USD 0.01 common Sale 3,320 26.0012 USD
USD 0.01 common Sale 3,623 26.0956 USD
USD 0.01 common Sale 8,435 26.0617 USD
USD 0.01 common Sale 10,053 25.9314 USD
USD 0.01 common Sale 18,961 26.0907 USD
USD 0.01 common Sale 19,501 26.0355 USD
USD 0.01 common Sale 39,513 26.1000 USD
USD 0.01 common Sale 70,555 25.9200 USD
USD 0.01 common Sale 100,006 25.9521 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: 17 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=52489054&newsitemid=20210917005296&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=0079f9d201724f8d1bc2059af1b177ba)
.
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.
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=52489054&newsitemid=20210917005296&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=638c4074250d03ea5e1cbdef3b75c04c)
.
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(https://www.businesswire.com/news/home/20210917005296/en/)
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