REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
21/09/2021 17:45
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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 interests and short positions disclosed, if
different from 1(a):
The naming of nominee or vehicle companies is insufficient. For a trust, the
trustee(s), settlor and beneficiaries must be named.
(c) Name of offeror/offeree in relation to whose relevant securities this form NORTONLIFELOCK INC
relates:
Use a separate form for each offeror/offeree
(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: 20 Sept 2021
For an opening position disclosure, state the latest practicable date prior to
the disclosure
(f) In addition to the company in 1(c) above, is the discloser making YES : AVAST PLC
disclosures in respect of any other party to the offer?
If it is a cash offer or possible cash offer, state “N/A”
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: 1,449,938 0.25% 576,890 0.10%
(2) Cash-settled derivatives:
241,930 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%
(4)
TOTAL: 1,692,368 0.29% 1,607,312 0.28%
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%
(4)
TOTAL: 141,000 0.02% 0 0.00%
0
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 8 25.3462 USD
USD 0.01 common Purchase 9 25.2694 USD
USD 0.01 common Purchase 27 25.4144 USD
USD 0.01 common Purchase 34 25.1600 USD
USD 0.01 common Purchase 50 25.4208 USD
USD 0.01 common Purchase 51 25.1766 USD
USD 0.01 common Purchase 51 25.1883 USD
USD 0.01 common Purchase 51 25.1566 USD
USD 0.01 common Purchase 57 25.0700 USD
USD 0.01 common Purchase 68 25.1500 USD
USD 0.01 common Purchase 68 25.1700 USD
USD 0.01 common Purchase 102 25.2217 USD
USD 0.01 common Purchase 119 25.1985 USD
USD 0.01 common Purchase 120 25.1525 USD
USD 0.01 common Purchase 121 25.1906 USD
USD 0.01 common Purchase 125 25.1758 USD
USD 0.01 common Purchase 129 25.2432 USD
USD 0.01 common Purchase 141 25.1731 USD
USD 0.01 common Purchase 170 25.2606 USD
USD 0.01 common Purchase 181 25.1995 USD
USD 0.01 common Purchase 202 25.0600 USD
USD 0.01 common Purchase 213 25.2345 USD
USD 0.01 common Purchase 264 25.2239 USD
USD 0.01 common Purchase 462 25.6273 USD
USD 0.01 common Purchase 502 25.1350 USD
USD 0.01 common Purchase 523 25.3082 USD
USD 0.01 common Purchase 1,124 25.2308 USD
USD 0.01 common Purchase 1,150 25.5546 USD
USD 0.01 common Purchase 1,360 25.2353 USD
USD 0.01 common Purchase 1,500 25.2006 USD
USD 0.01 common Purchase 1,795 25.4379 USD
USD 0.01 common Purchase 1,818 25.2383 USD
USD 0.01 common Purchase 2,478 25.2020 USD
USD 0.01 common Purchase 3,360 25.2200 USD
USD 0.01 common Purchase 4,598 25.1777 USD
USD 0.01 common Purchase 4,987 25.1369 USD
USD 0.01 common Purchase 5,530 25.1946 USD
USD 0.01 common Purchase 6,078 25.1791 USD
USD 0.01 common Purchase 6,915 25.4524 USD
USD 0.01 common Purchase 7,509 25.1872 USD
USD 0.01 common Purchase 7,786 25.1506 USD
USD 0.01 common Purchase 9,639 25.3061 USD
USD 0.01 common Purchase 9,907 25.1655 USD
USD 0.01 common Purchase 10,336 25.2300 USD
USD 0.01 common Purchase 10,488 25.1987 USD
USD 0.01 common Purchase 10,710 25.2154 USD
USD 0.01 common Purchase 11,104 25.2044 USD
USD 0.01 common Purchase 11,245 25.2845 USD
USD 0.01 common Purchase 11,575 25.1857 USD
USD 0.01 common Purchase 12,311 25.1993 USD
USD 0.01 common Purchase 17,739 25.2294 USD
USD 0.01 common Purchase 19,992 25.4298 USD
USD 0.01 common Purchase 24,327 25.2191 USD
USD 0.01 common Purchase 28,200 25.2193 USD
USD 0.01 common Purchase 28,778 25.1922 USD
USD 0.01 common Purchase 32,812 25.2280 USD
USD 0.01 common Purchase 36,181 25.2297 USD
USD 0.01 common Purchase 55,433 25.1941 USD
USD 0.01 common Purchase 60,441 25.2336 USD
USD 0.01 common Purchase 122,166 25.2211 USD
USD 0.01 common Purchase 225,572 25.1967 USD
USD 0.01 common Sale 6 25.2042 USD
USD 0.01 common Sale 16 25.4700 USD
USD 0.01 common Sale 20 25.0650 USD
USD 0.01 common Sale 20 25.0700 USD
USD 0.01 common Sale 32 25.5950 USD
USD 0.01 common Sale 48 25.4833 USD
USD 0.01 common Sale 48 25.5400 USD
USD 0.01 common Sale 48 25.6550 USD
USD 0.01 common Sale 64 25.5487 USD
USD 0.01 common Sale 64 25.5250 USD
USD 0.01 common Sale 80 25.5200 USD
USD 0.01 common Sale 100 25.1700 USD
USD 0.01 common Sale 100 25.7900 USD
USD 0.01 common Sale 100 25.2310 USD
USD 0.01 common Sale 100 25.5700 USD
USD 0.01 common Sale 139 25.4100 USD
USD 0.01 common Sale 144 25.5800 USD
USD 0.01 common Sale 158 25.5169 USD
USD 0.01 common Sale 176 25.5763 USD
USD 0.01 common Sale 400 25.0500 USD
USD 0.01 common Sale 402 25.1537 USD
USD 0.01 common Sale 441 25.2839 USD
USD 0.01 common Sale 462 25.6273 USD
USD 0.01 common Sale 600 25.4300 USD
USD 0.01 common Sale 766 25.1795 USD
USD 0.01 common Sale 886 25.6600 USD
USD 0.01 common Sale 917 25.3294 USD
USD 0.01 common Sale 1,002 25.6986 USD
USD 0.01 common Sale 1,150 25.5546 USD
USD 0.01 common Sale 1,725 25.3014 USD
USD 0.01 common Sale 4,034 25.2537 USD
USD 0.01 common Sale 5,580 25.2358 USD
USD 0.01 common Sale 7,004 25.0857 USD
USD 0.01 common Sale 8,335 25.2922 USD
USD 0.01 common Sale 13,790 25.2462 USD
USD 0.01 common Sale 17,515 25.5559 USD
USD 0.01 common Sale 31,967 25.1528 USD
USD 0.01 common Sale 42,652 25.2318 USD
USD 0.01 common Sale 63,549 25.2300 USD
USD 0.01 common Sale 71,827 25.1863 USD
USD 0.01 common Sale 237,447 25.2001 USD
USD 0.01 common Sale 296,400 25.2168 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: 21 Sept 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
Full name of person making disclosure: Barclays PLC.
Name of offeror/offeree in relation to whose relevant securities the NORTONLIFELOCK INC
disclosure 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 0 Jan 1900
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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