REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
29/09/2021 13:10
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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 NORTONLIFELOCK INC
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
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: 28 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: 1,445,103 0.25% 459,141 0.08%
(2) Cash-settled derivatives:
159,730 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%
(4)
TOTAL: 1,605,333 0.28% 1,489,563 0.26%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 146,000 0.03% 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: 146,000 0.03% 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 12 21.7145 EUR
USD 0.01 common Purchase 24 25.7200 USD
USD 0.01 common Purchase 47 25.8100 USD
USD 0.01 common Purchase 93 25.7887 USD
USD 0.01 common Purchase 93 25.7100 USD
USD 0.01 common Purchase 200 25.7700 USD
USD 0.01 common Purchase 200 25.7300 USD
USD 0.01 common Purchase 223 25.7400 USD
USD 0.01 common Purchase 300 25.8167 USD
USD 0.01 common Purchase 300 25.6900 USD
USD 0.01 common Purchase 499 25.6300 USD
USD 0.01 common Purchase 500 25.7170 USD
USD 0.01 common Purchase 1,000 25.7390 USD
USD 0.01 common Purchase 1,112 25.7398 USD
USD 0.01 common Purchase 1,359 25.6960 USD
USD 0.01 common Purchase 1,521 25.6922 USD
USD 0.01 common Purchase 1,909 25.6671 USD
USD 0.01 common Purchase 2,916 25.6821 USD
USD 0.01 common Purchase 6,068 25.7205 USD
USD 0.01 common Purchase 7,422 25.7317 USD
USD 0.01 common Purchase 8,074 25.6417 USD
USD 0.01 common Purchase 11,569 25.7342 USD
USD 0.01 common Purchase 13,387 25.6479 USD
USD 0.01 common Purchase 15,100 25.7265 USD
USD 0.01 common Purchase 20,198 25.7500 USD
USD 0.01 common Purchase 21,944 25.6406 USD
USD 0.01 common Purchase 32,474 25.6400 USD
USD 0.01 common Purchase 71,467 25.7298 USD
USD 0.01 common Sale 3 25.7100 USD
USD 0.01 common Sale 12 21.7145 EUR
USD 0.01 common Sale 23 25.7400 USD
USD 0.01 common Sale 44 25.7650 USD
USD 0.01 common Sale 47 25.7517 USD
USD 0.01 common Sale 100 25.6500 USD
USD 0.01 common Sale 182 25.6435 USD
USD 0.01 common Sale 200 25.6275 USD
USD 0.01 common Sale 200 25.6425 USD
USD 0.01 common Sale 200 25.6650 USD
USD 0.01 common Sale 200 25.7050 USD
USD 0.01 common Sale 200 25.7200 USD
USD 0.01 common Sale 200 25.8150 USD
USD 0.01 common Sale 200 25.8250 USD
USD 0.01 common Sale 224 25.6489 USD
USD 0.01 common Sale 273 25.6563 USD
USD 0.01 common Sale 300 25.6866 USD
USD 0.01 common Sale 300 25.6900 USD
USD 0.01 common Sale 400 25.6250 USD
USD 0.01 common Sale 477 25.6545 USD
USD 0.01 common Sale 496 25.6420 USD
USD 0.01 common Sale 524 25.6514 USD
USD 0.01 common Sale 547 25.6546 USD
USD 0.01 common Sale 600 25.7108 USD
USD 0.01 common Sale 757 25.7252 USD
USD 0.01 common Sale 800 25.6315 USD
USD 0.01 common Sale 866 25.6328 USD
USD 0.01 common Sale 885 25.7040 USD
USD 0.01 common Sale 895 25.6403 USD
USD 0.01 common Sale 1,132 25.6764 USD
USD 0.01 common Sale 1,293 25.7805 USD
USD 0.01 common Sale 1,300 25.6688 USD
USD 0.01 common Sale 1,356 25.6597 USD
USD 0.01 common Sale 1,593 25.6773 USD
USD 0.01 common Sale 1,909 25.6671 USD
USD 0.01 common Sale 2,000 25.7250 USD
USD 0.01 common Sale 2,199 25.7149 USD
USD 0.01 common Sale 2,269 25.7030 USD
USD 0.01 common Sale 3,608 25.6952 USD
USD 0.01 common Sale 3,996 25.7538 USD
USD 0.01 common Sale 5,098 25.7500 USD
USD 0.01 common Sale 7,107 25.7350 USD
USD 0.01 common Sale 8,284 25.6444 USD
USD 0.01 common Sale 9,840 25.7219 USD
USD 0.01 common Sale 10,630 25.7364 USD
USD 0.01 common Sale 13,283 25.7296 USD
USD 0.01 common Sale 13,538 25.6478 USD
USD 0.01 common Sale 18,306 25.6415 USD
USD 0.01 common Sale 36,352 25.6400 USD
USD 0.01 common Sale 55,822 25.7352 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: 29 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 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
(http://www.thetakeoverpanel.org.uk/) .
View source version on businesswire.com:
https://www.businesswire.com/news/home/20210929005535/en/
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