REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
12/10/2021 16:20
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Form 8.3 - NORTONLIFELOCK INC
FORM 8.3 Amendment to Sale
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: 08 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: 1,479,067 0.25% 713,164 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%
TOTAL: 1,833,934 0.32% 1,743,586 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 8 25.6925 USD
USD 0.01 common Purchase 39 25.7800 USD
USD 0.01 common Purchase 57 25.8201 USD
USD 0.01 common Purchase 78 25.6200 USD
USD 0.01 common Purchase 100 25.8500 USD
USD 0.01 common Purchase 100 22.2650 EUR
USD 0.01 common Purchase 100 25.8186 USD
USD 0.01 common Purchase 101 25.8125 USD
USD 0.01 common Purchase 120 25.7940 USD
USD 0.01 common Purchase 128 25.8140 USD
USD 0.01 common Purchase 136 25.7652 USD
USD 0.01 common Purchase 167 25.8190 USD
USD 0.01 common Purchase 196 25.8177 USD
USD 0.01 common Purchase 233 25.8074 USD
USD 0.01 common Purchase 269 25.7994 USD
USD 0.01 common Purchase 300 25.6333 USD
USD 0.01 common Purchase 394 25.7675 USD
USD 0.01 common Purchase 437 25.6734 USD
USD 0.01 common Purchase 1,003 25.7369 USD
USD 0.01 common Purchase 2,552 25.7137 USD
USD 0.01 common Purchase 2,835 25.7472 USD
USD 0.01 common Purchase 3,609 25.7632 USD
USD 0.01 common Purchase 4,404 25.7214 USD
USD 0.01 common Purchase 4,519 25.7392 USD
USD 0.01 common Purchase 8,649 25.7162 USD
USD 0.01 common Purchase 9,553 25.7375 USD
USD 0.01 common Purchase 20,736 25.7180 USD
USD 0.01 common Purchase 25,296 25.6700 USD
USD 0.01 common Purchase 32,953 25.6791 USD
USD 0.01 common Purchase 36,100 25.8015 USD
USD 0.01 common Purchase 46,300 25.8299 USD
USD 0.01 common Purchase 49,741 25.6712 USD
USD 0.01 common Purchase 79,337 25.7338 USD
USD 0.01 common Sale 9 25.7100 USD
USD 0.01 common Sale 21 25.6800 USD
USD 0.01 common Sale 21 25.7200 USD
USD 0.01 common Sale 28 25.6750 USD
USD 0.01 common Sale 30 25.6825 USD
USD 0.01 common Sale 39 25.7800 USD
USD 0.01 common Sale 45 25.6650 USD
USD 0.01 common Sale 55 25.6769 USD
USD 0.01 common Sale 55 25.6781 USD
USD 0.01 common Sale 100 22.2650 EUR
USD 0.01 common Sale 100 25.7900 USD
USD 0.01 common Sale 105 25.6542 USD
USD 0.01 common Sale 105 25.6850 USD
USD 0.01 common Sale 115 25.6950 USD
USD 0.01 common Sale 144 25.7019 USD
USD 0.01 common Sale 200 25.8300 USD
USD 0.01 common Sale 221 25.6930 USD
USD 0.01 common Sale 530 25.7066 USD
USD 0.01 common Sale 533 25.6756 USD
USD 0.01 common Sale 600 25.7558 USD
USD 0.01 common Sale 621 25.6600 USD
USD 0.01 common Sale 690 25.6993 USD
USD 0.01 common Sale 700 25.7685 USD
USD 0.01 common Sale 700 25.6821 USD
USD 0.01 common Sale 714 25.7165 USD
USD 0.01 common Sale 778 25.7016 USD
USD 0.01 common Sale 800 25.7775 USD
USD 0.01 common Sale 850 25.6664 USD
USD 0.01 common Sale 864 25.7913 USD
USD 0.01 common Sale 878 25.7430 USD
USD 0.01 common Sale 899 25.7643 USD
USD 0.01 common Sale 937 25.7134 USD
USD 0.01 common Sale 944 25.7532 USD
USD 0.01 common Sale 1,016 25.7018 USD
USD 0.01 common Sale 1,128 25.7223 USD
USD 0.01 common Sale 1,306 25.7597 USD
USD 0.01 common Sale 1,351 25.7045 USD
USD 0.01 common Sale 1,497 25.7320 USD
USD 0.01 common Sale 1,588 25.7292 USD
USD 0.01 common Sale 1,763 25.7313 USD
USD 0.01 common Sale 1,965 25.6996 USD
USD 0.01 common Sale 2,400 25.7241 USD
USD 0.01 common Sale 2,435 25.7348 USD
USD 0.01 common Sale 2,767 25.7179 USD
USD 0.01 common Sale 2,904 25.7244 USD
USD 0.01 common Sale 3,411 25.7521 USD
USD 0.01 common Sale 3,682 25.7189 USD
USD 0.01 common Sale 4,288 25.7749 USD
USD 0.01 common Sale 4,466 25.7150 USD
USD 0.01 common Sale 4,803 25.7752 USD
USD 0.01 common Sale 4,899 25.7664 USD
USD 0.01 common Sale 4,915 25.7593 USD
USD 0.01 common Sale 4,949 25.8031 USD
USD 0.01 common Sale 6,005 25.7628 USD
USD 0.01 common Sale 6,634 25.7437 USD
USD 0.01 common Sale 7,455 25.6784 USD
USD 0.01 common Sale 8,803 25.7169 USD
USD 0.01 common Sale 21,476 25.8146 USD
USD 0.01 common Sale 21,661 25.6700 USD
USD 0.01 common Sale 31,458 25.6773 USD
USD 0.01 common Sale 46,623 25.8291 USD
USD 0.01 common Sale 49,693 25.6777 USD
USD 0.01 common Sale 54,844 25.7311 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: 12 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=52507587&newsitemid=20211012005864&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=4cef8f4ddac3a78a6cb90467dfc93a1b)
.
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=52507587&newsitemid=20211012005864&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=057abd32a0c3d1a4745483cf9599791a)
.
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(https://www.businesswire.com/news/home/20211012005864/en/)
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