REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
05/10/2021 11:45
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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 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: 04 October 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: 1,414,873 0.24% 696,843 0.12%
(2) Cash-settled derivatives:
660,395 0.11% 1,028,322 0.18%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
TOTAL: 2,075,768 0.36% 1,727,265 0.30%
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 10 24.9650 USD
USD 0.01 common Purchase 10 24.9000 USD
USD 0.01 common Purchase 22 25.0427 USD
USD 0.01 common Purchase 30 24.9450 USD
USD 0.01 common Purchase 50 24.9540 USD
USD 0.01 common Purchase 99 21.8350 EUR
USD 0.01 common Purchase 100 25.2900 USD
USD 0.01 common Purchase 100 21.8000 EUR
USD 0.01 common Purchase 100 24.9800 USD
USD 0.01 common Purchase 100 25.3400 USD
USD 0.01 common Purchase 100 25.3900 USD
USD 0.01 common Purchase 100 25.3100 USD
USD 0.01 common Purchase 110 24.9550 USD
USD 0.01 common Purchase 200 25.3300 USD
USD 0.01 common Purchase 200 25.0100 USD
USD 0.01 common Purchase 205 24.9078 USD
USD 0.01 common Purchase 220 25.1877 USD
USD 0.01 common Purchase 300 25.0233 USD
USD 0.01 common Purchase 349 25.2000 USD
USD 0.01 common Purchase 700 25.0042 USD
USD 0.01 common Purchase 720 25.2150 USD
USD 0.01 common Purchase 949 25.0515 USD
USD 0.01 common Purchase 1,893 24.9242 USD
USD 0.01 common Purchase 5,541 25.0002 USD
USD 0.01 common Purchase 5,700 25.0150 USD
USD 0.01 common Purchase 7,456 25.0022 USD
USD 0.01 common Purchase 8,967 25.0113 USD
USD 0.01 common Purchase 12,874 25.4574 USD
USD 0.01 common Purchase 14,856 25.0739 USD
USD 0.01 common Purchase 15,815 25.0195 USD
USD 0.01 common Purchase 16,552 25.0559 USD
USD 0.01 common Purchase 18,757 25.0470 USD
USD 0.01 common Purchase 19,918 25.0404 USD
USD 0.01 common Purchase 58,522 24.9859 USD
USD 0.01 common Purchase 78,109 25.0186 USD
USD 0.01 common Purchase 267,106 25.0400 USD
USD 0.01 common Sale 6 25.2900 USD
USD 0.01 common Sale 6 25.0000 USD
USD 0.01 common Sale 12 25.0375 USD
USD 0.01 common Sale 14 24.9757 USD
USD 0.01 common Sale 17 25.0200 USD
USD 0.01 common Sale 20 24.9980 USD
USD 0.01 common Sale 42 24.9864 USD
USD 0.01 common Sale 66 24.9481 USD
USD 0.01 common Sale 93 25.0887 USD
USD 0.01 common Sale 99 21.8350 EUR
USD 0.01 common Sale 100 21.8000 EUR
USD 0.01 common Sale 100 25.3900 USD
USD 0.01 common Sale 114 24.9710 USD
USD 0.01 common Sale 164 25.0500 USD
USD 0.01 common Sale 224 25.0100 USD
USD 0.01 common Sale 287 25.0069 USD
USD 0.01 common Sale 309 25.0164 USD
USD 0.01 common Sale 320 24.9525 USD
USD 0.01 common Sale 338 25.0343 USD
USD 0.01 common Sale 359 24.9849 USD
USD 0.01 common Sale 374 25.0070 USD
USD 0.01 common Sale 396 24.9855 USD
USD 0.01 common Sale 396 25.0161 USD
USD 0.01 common Sale 420 25.0121 USD
USD 0.01 common Sale 427 25.0013 USD
USD 0.01 common Sale 525 25.0152 USD
USD 0.01 common Sale 1,041 25.0489 USD
USD 0.01 common Sale 1,049 24.9821 USD
USD 0.01 common Sale 1,408 24.9972 USD
USD 0.01 common Sale 2,385 24.9926 USD
USD 0.01 common Sale 2,731 24.9793 USD
USD 0.01 common Sale 4,116 25.0052 USD
USD 0.01 common Sale 5,936 25.0394 USD
USD 0.01 common Sale 8,993 25.0044 USD
USD 0.01 common Sale 9,774 25.0861 USD
USD 0.01 common Sale 12,956 25.4600 USD
USD 0.01 common Sale 13,430 25.0242 USD
USD 0.01 common Sale 19,236 25.0600 USD
USD 0.01 common Sale 20,260 25.0416 USD
USD 0.01 common Sale 20,992 25.0569 USD
USD 0.01 common Sale 21,131 25.0445 USD
USD 0.01 common Sale 54,112 25.0097 USD
USD 0.01 common Sale 64,627 24.9832 USD
USD 0.01 common Sale 263,696 25.0400 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: 5 Oct 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=52503797&newsitemid=20211005005610&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=d52ef7796e0bfeb9346dad4c44158f42)
.
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=52503797&newsitemid=20211005005610&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=6d3c18c1a2290344900ae30816778c58)
.
View source version on businesswire.com:
https://www.businesswire.com/news/home/20211005005610/en/
(https://www.businesswire.com/news/home/20211005005610/en/)
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