REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
30/09/2021 12:25
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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: 29 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: 1,435,722 0.25% 451,850 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%
TOTAL: 1,595,952 0.27% 1,482,272 0.25%
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%
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 100 25.5950 USD
USD 0.01 common Purchase 100 25.6700 USD
USD 0.01 common Purchase 109 25.6154 USD
USD 0.01 common Purchase 137 25.5862 USD
USD 0.01 common Purchase 149 25.5432 USD
USD 0.01 common Purchase 200 25.6600 USD
USD 0.01 common Purchase 300 25.4400 USD
USD 0.01 common Purchase 400 25.5425 USD
USD 0.01 common Purchase 481 25.5828 USD
USD 0.01 common Purchase 500 25.5920 USD
USD 0.01 common Purchase 600 25.6433 USD
USD 0.01 common Purchase 601 25.5509 USD
USD 0.01 common Purchase 680 25.6251 USD
USD 0.01 common Purchase 802 25.5487 USD
USD 0.01 common Purchase 858 25.5486 USD
USD 0.01 common Purchase 1,000 25.5480 USD
USD 0.01 common Purchase 1,200 25.6008 USD
USD 0.01 common Purchase 1,213 25.6513 USD
USD 0.01 common Purchase 1,641 25.5612 USD
USD 0.01 common Purchase 2,868 25.5445 USD
USD 0.01 common Purchase 2,915 25.5471 USD
USD 0.01 common Purchase 5,202 25.5610 USD
USD 0.01 common Purchase 5,601 25.5489 USD
USD 0.01 common Purchase 6,451 25.5518 USD
USD 0.01 common Purchase 6,577 25.5543 USD
USD 0.01 common Purchase 7,785 25.5434 USD
USD 0.01 common Purchase 12,313 25.6340 USD
USD 0.01 common Purchase 12,856 25.5791 USD
USD 0.01 common Purchase 13,530 25.5892 USD
USD 0.01 common Purchase 15,190 25.5793 USD
USD 0.01 common Purchase 23,607 25.5460 USD
USD 0.01 common Purchase 29,676 25.5500 USD
USD 0.01 common Purchase 32,816 25.5485 USD
USD 0.01 common Purchase 43,923 25.5973 USD
USD 0.01 common Sale 6 25.5900 USD
USD 0.01 common Sale 12 25.5675 USD
USD 0.01 common Sale 17 25.6900 USD
USD 0.01 common Sale 30 25.5410 USD
USD 0.01 common Sale 42 25.5550 USD
USD 0.01 common Sale 42 25.5528 USD
USD 0.01 common Sale 43 25.5909 USD
USD 0.01 common Sale 90 25.5620 USD
USD 0.01 common Sale 100 25.7100 USD
USD 0.01 common Sale 100 25.6700 USD
USD 0.01 common Sale 100 25.6800 USD
USD 0.01 common Sale 100 25.5250 USD
USD 0.01 common Sale 100 25.5225 USD
USD 0.01 common Sale 100 25.6400 USD
USD 0.01 common Sale 101 25.6784 USD
USD 0.01 common Sale 137 25.5862 USD
USD 0.01 common Sale 149 25.5463 USD
USD 0.01 common Sale 200 25.5450 USD
USD 0.01 common Sale 200 25.6850 USD
USD 0.01 common Sale 200 25.5700 USD
USD 0.01 common Sale 236 25.5603 USD
USD 0.01 common Sale 300 25.5350 USD
USD 0.01 common Sale 300 25.4400 USD
USD 0.01 common Sale 357 25.5531 USD
USD 0.01 common Sale 456 25.5510 USD
USD 0.01 common Sale 500 25.5260 USD
USD 0.01 common Sale 512 25.5400 USD
USD 0.01 common Sale 600 25.5800 USD
USD 0.01 common Sale 800 25.5750 USD
USD 0.01 common Sale 899 25.5655 USD
USD 0.01 common Sale 1,482 25.5426 USD
USD 0.01 common Sale 1,503 25.5471 USD
USD 0.01 common Sale 2,355 25.5515 USD
USD 0.01 common Sale 2,635 25.5717 USD
USD 0.01 common Sale 3,702 25.5699 USD
USD 0.01 common Sale 4,915 25.6086 USD
USD 0.01 common Sale 5,661 25.5838 USD
USD 0.01 common Sale 6,080 25.5559 USD
USD 0.01 common Sale 6,476 25.6168 USD
USD 0.01 common Sale 9,898 25.5964 USD
USD 0.01 common Sale 10,956 25.5885 USD
USD 0.01 common Sale 12,058 25.5500 USD
USD 0.01 common Sale 12,883 25.6312 USD
USD 0.01 common Sale 20,307 25.5977 USD
USD 0.01 common Sale 20,901 25.5511 USD
USD 0.01 common Sale 25,038 25.5832 USD
USD 0.01 common Sale 75,000 25.5470 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: 30 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=52501301&newsitemid=20210930005501&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=d863830614a30a9c109adb8a629f853f)
.
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=52501301&newsitemid=20210930005501&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=eea1076b26e6b56fda5d70518104a253)
.
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(https://www.businesswire.com/news/home/20210930005501/en/)
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