REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
08/10/2021 11:55
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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: 7 Oct 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)
Class of relevant security: USD 0.01 common
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 1,514,391 0.26% 694,352 0.12%
(2) Cash-settled derivatives:
354,367 0.06% 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: 1,869,258 0.32% 1,724,774 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%
(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 1 25.6000 USD
USD 0.01 common Purchase 4 25.5900 USD
USD 0.01 common Purchase 4 25.6050 USD
USD 0.01 common Purchase 4 25.5675 USD
USD 0.01 common Purchase 11 25.6081 USD
USD 0.01 common Purchase 17 25.6950 USD
USD 0.01 common Purchase 17 25.6800 USD
USD 0.01 common Purchase 23 25.5943 USD
USD 0.01 common Purchase 58 25.5853 USD
USD 0.01 common Purchase 100 25.6400 USD
USD 0.01 common Purchase 101 25.7146 USD
USD 0.01 common Purchase 109 25.7115 USD
USD 0.01 common Purchase 201 25.5602 USD
USD 0.01 common Purchase 202 25.7101 USD
USD 0.01 common Purchase 300 25.6866 USD
USD 0.01 common Purchase 302 25.7156 USD
USD 0.01 common Purchase 310 25.6112 USD
USD 0.01 common Purchase 400 25.5350 USD
USD 0.01 common Purchase 400 25.6200 USD
USD 0.01 common Purchase 506 25.7292 USD
USD 0.01 common Purchase 600 25.7033 USD
USD 0.01 common Purchase 604 25.6764 USD
USD 0.01 common Purchase 1,200 25.6812 USD
USD 0.01 common Purchase 1,300 25.5638 USD
USD 0.01 common Purchase 1,300 25.6657 USD
USD 0.01 common Purchase 1,300 25.6734 USD
USD 0.01 common Purchase 1,681 25.5601 USD
USD 0.01 common Purchase 1,700 25.6720 USD
USD 0.01 common Purchase 1,700 25.6882 USD
USD 0.01 common Purchase 2,400 25.6813 USD
USD 0.01 common Purchase 2,700 25.6807 USD
USD 0.01 common Purchase 2,900 25.6801 USD
USD 0.01 common Purchase 3,202 25.6655 USD
USD 0.01 common Purchase 3,941 25.6680 USD
USD 0.01 common Purchase 5,458 25.6480 USD
USD 0.01 common Purchase 5,858 25.7300 USD
USD 0.01 common Purchase 6,246 25.7184 USD
USD 0.01 common Purchase 9,113 25.6318 USD
USD 0.01 common Purchase 11,911 25.6514 USD
USD 0.01 common Purchase 12,339 25.6534 USD
USD 0.01 common Purchase 13,550 25.5812 USD
USD 0.01 common Purchase 15,167 25.6995 USD
USD 0.01 common Purchase 15,691 25.6526 USD
USD 0.01 common Purchase 16,020 25.7208 USD
USD 0.01 common Purchase 39,049 25.7291 USD
USD 0.01 common Purchase 92,061 25.6858 USD
USD 0.01 common Purchase 105,500 25.7235 USD
USD 0.01 common Sale 2 25.5900 USD
USD 0.01 common Sale 4 25.6350 USD
USD 0.01 common Sale 6 25.6700 USD
USD 0.01 common Sale 7 25.6042 USD
USD 0.01 common Sale 7 25.6128 USD
USD 0.01 common Sale 11 25.6300 USD
USD 0.01 common Sale 11 25.6681 USD
USD 0.01 common Sale 12 25.6341 USD
USD 0.01 common Sale 12 25.6000 USD
USD 0.01 common Sale 13 25.6161 USD
USD 0.01 common Sale 14 25.6371 USD
USD 0.01 common Sale 17 25.6950 USD
USD 0.01 common Sale 17 25.6800 USD
USD 0.01 common Sale 21 25.6247 USD
USD 0.01 common Sale 22 25.6445 USD
USD 0.01 common Sale 22 25.6404 USD
USD 0.01 common Sale 23 25.6569 USD
USD 0.01 common Sale 26 25.6457 USD
USD 0.01 common Sale 26 25.6253 USD
USD 0.01 common Sale 27 25.6459 USD
USD 0.01 common Sale 34 25.6697 USD
USD 0.01 common Sale 34 25.6852 USD
USD 0.01 common Sale 42 25.6521 USD
USD 0.01 common Sale 77 25.5100 USD
USD 0.01 common Sale 81 25.4300 USD
USD 0.01 common Sale 85 25.6443 USD
USD 0.01 common Sale 100 25.6400 USD
USD 0.01 common Sale 100 25.6200 USD
USD 0.01 common Sale 100 25.4500 USD
USD 0.01 common Sale 100 25.6500 USD
USD 0.01 common Sale 114 25.6390 USD
USD 0.01 common Sale 170 25.6794 USD
USD 0.01 common Sale 202 25.6899 USD
USD 0.01 common Sale 222 25.6100 USD
USD 0.01 common Sale 223 25.5473 USD
USD 0.01 common Sale 400 25.5662 USD
USD 0.01 common Sale 443 25.6150 USD
USD 0.01 common Sale 600 25.6550 USD
USD 0.01 common Sale 653 25.6740 USD
USD 0.01 common Sale 1,322 25.6724 USD
USD 0.01 common Sale 1,670 25.6881 USD
USD 0.01 common Sale 2,141 25.6435 USD
USD 0.01 common Sale 2,448 25.7265 USD
USD 0.01 common Sale 3,034 25.6680 USD
USD 0.01 common Sale 3,494 25.6644 USD
USD 0.01 common Sale 3,508 25.6491 USD
USD 0.01 common Sale 5,090 25.7254 USD
USD 0.01 common Sale 5,600 25.7268 USD
USD 0.01 common Sale 6,317 25.6883 USD
USD 0.01 common Sale 10,361 25.6744 USD
USD 0.01 common Sale 10,813 25.6232 USD
USD 0.01 common Sale 11,641 25.6562 USD
USD 0.01 common Sale 12,238 25.6582 USD
USD 0.01 common Sale 15,751 25.5783 USD
USD 0.01 common Sale 51,718 25.7300 USD
USD 0.01 common Sale 55,256 25.6723 USD
USD 0.01 common Sale 63,220 25.6922 USD
USD 0.01 common Sale 106,218 25.7230 USD
(b) Cash-settled derivative transactions
Class of Product Nature of dealing Number of Price per
relevant description reference unit
security securities
USD 0.01 common SWAP Long 423 25.5600 USD
(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: 8 October 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/)
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