REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
22/09/2021 12:05
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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: 21 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: 1,450,261 0.25% 556,724 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%
TOTAL: 1,692,691 0.29% 1,587,146 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 1 25.1300 USD
USD 0.01 common Purchase 4 25.2200 USD
USD 0.01 common Purchase 4 25.1750 USD
USD 0.01 common Purchase 5 25.0600 USD
USD 0.01 common Purchase 6 25.0400 USD
USD 0.01 common Purchase 8 25.0700 USD
USD 0.01 common Purchase 21 25.2233 USD
USD 0.01 common Purchase 24 25.0552 USD
USD 0.01 common Purchase 24 25.0637 USD
USD 0.01 common Purchase 25 25.0436 USD
USD 0.01 common Purchase 26 25.0544 USD
USD 0.01 common Purchase 29 25.0786 USD
USD 0.01 common Purchase 49 25.1650 USD
USD 0.01 common Purchase 49 25.1700 USD
USD 0.01 common Purchase 62 25.0632 USD
USD 0.01 common Purchase 62 25.0900 USD
USD 0.01 common Purchase 64 25.0497 USD
USD 0.01 common Purchase 100 25.2500 USD
USD 0.01 common Purchase 118 25.0908 USD
USD 0.01 common Purchase 147 25.1400 USD
USD 0.01 common Purchase 156 25.1477 USD
USD 0.01 common Purchase 165 24.9900 USD
USD 0.01 common Purchase 200 25.1200 USD
USD 0.01 common Purchase 252 25.0923 USD
USD 0.01 common Purchase 344 25.0450 USD
USD 0.01 common Purchase 763 25.0647 USD
USD 0.01 common Purchase 800 25.0000 USD
USD 0.01 common Purchase 802 25.0685 USD
USD 0.01 common Purchase 1,200 25.3900 USD
USD 0.01 common Purchase 1,388 25.0614 USD
USD 0.01 common Purchase 2,087 25.0528 USD
USD 0.01 common Purchase 2,417 25.0361 USD
USD 0.01 common Purchase 2,490 25.1775 USD
USD 0.01 common Purchase 2,816 25.0784 USD
USD 0.01 common Purchase 2,830 25.1047 USD
USD 0.01 common Purchase 5,941 25.0479 USD
USD 0.01 common Purchase 6,675 25.0417 USD
USD 0.01 common Purchase 7,599 25.0865 USD
USD 0.01 common Purchase 8,115 25.0770 USD
USD 0.01 common Purchase 9,006 24.9800 USD
USD 0.01 common Purchase 10,099 25.0630 USD
USD 0.01 common Purchase 12,784 25.0026 USD
USD 0.01 common Purchase 18,178 24.9807 USD
USD 0.01 common Purchase 28,937 25.0037 USD
USD 0.01 common Purchase 98,659 25.0475 USD
USD 0.01 common Sale 4 25.1750 USD
USD 0.01 common Sale 7 25.1200 USD
USD 0.01 common Sale 11 24.9700 USD
USD 0.01 common Sale 13 25.0342 USD
USD 0.01 common Sale 17 25.0847 USD
USD 0.01 common Sale 31 25.0716 USD
USD 0.01 common Sale 37 25.0840 USD
USD 0.01 common Sale 39 25.0688 USD
USD 0.01 common Sale 40 25.0655 USD
USD 0.01 common Sale 45 25.0603 USD
USD 0.01 common Sale 49 25.0674 USD
USD 0.01 common Sale 84 25.0600 USD
USD 0.01 common Sale 89 25.0785 USD
USD 0.01 common Sale 98 25.2615 USD
USD 0.01 common Sale 100 25.0100 USD
USD 0.01 common Sale 111 25.0800 USD
USD 0.01 common Sale 123 24.9900 USD
USD 0.01 common Sale 200 25.2750 USD
USD 0.01 common Sale 200 25.2700 USD
USD 0.01 common Sale 325 25.0812 USD
USD 0.01 common Sale 342 25.0450 USD
USD 0.01 common Sale 400 25.0225 USD
USD 0.01 common Sale 400 25.1100 USD
USD 0.01 common Sale 500 24.9745 USD
USD 0.01 common Sale 508 25.0648 USD
USD 0.01 common Sale 678 25.0307 USD
USD 0.01 common Sale 900 25.0000 USD
USD 0.01 common Sale 1,205 25.0483 USD
USD 0.01 common Sale 1,209 25.0334 USD
USD 0.01 common Sale 1,310 25.3900 USD
USD 0.01 common Sale 1,847 25.0750 USD
USD 0.01 common Sale 2,490 25.1775 USD
USD 0.01 common Sale 3,164 25.0755 USD
USD 0.01 common Sale 4,693 25.0258 USD
USD 0.01 common Sale 4,914 25.0814 USD
USD 0.01 common Sale 5,126 25.0499 USD
USD 0.01 common Sale 9,077 24.9961 USD
USD 0.01 common Sale 17,619 25.0612 USD
USD 0.01 common Sale 29,554 25.0059 USD
USD 0.01 common Sale 39,095 24.9800 USD
USD 0.01 common Sale 110,674 25.0516 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: 22 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=52495978&newsitemid=20210922005502&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=27b0798f296528a9105339d39a3095c4)
.
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=52495978&newsitemid=20210922005502&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=2034623f2bec619427e074e229b4486d)
.
View source version on businesswire.com:
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(https://www.businesswire.com/news/home/20210922005502/en/)
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