REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
12/10/2021 13:20
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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: 11 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: 1,468,764 0.25% 714,756 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: 1,823,631 0.31% 1,745,178 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%
0
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 25.8800 USD
USD 0.01 common Purchase 19 25.6968 USD
USD 0.01 common Purchase 25 25.7800 USD
USD 0.01 common Purchase 251 25.6101 USD
USD 0.01 common Purchase 262 25.6387 USD
USD 0.01 common Purchase 481 25.7018 USD
USD 0.01 common Purchase 603 25.7600 USD
USD 0.01 common Purchase 627 25.6224 USD
USD 0.01 common Purchase 1,072 25.7864 USD
USD 0.01 common Purchase 1,282 25.8628 USD
USD 0.01 common Purchase 2,042 25.6312 USD
USD 0.01 common Purchase 2,412 25.6394 USD
USD 0.01 common Purchase 2,600 25.8000 USD
USD 0.01 common Purchase 3,022 25.7966 USD
USD 0.01 common Purchase 6,801 25.8707 USD
USD 0.01 common Purchase 9,393 25.6381 USD
USD 0.01 common Purchase 22,798 25.6114 USD
USD 0.01 common Purchase 38,909 25.5900 USD
USD 0.01 common Purchase 43,958 25.8304 USD
USD 0.01 common Sale 2 25.2200 USD
USD 0.01 common Sale 20 25.6550 USD
USD 0.01 common Sale 21 25.6600 USD
USD 0.01 common Sale 26 25.6450 USD
USD 0.01 common Sale 50 25.7425 USD
USD 0.01 common Sale 52 25.5950 USD
USD 0.01 common Sale 52 25.6050 USD
USD 0.01 common Sale 53 25.7803 USD
USD 0.01 common Sale 57 25.6712 USD
USD 0.01 common Sale 68 25.6650 USD
USD 0.01 common Sale 70 25.6545 USD
USD 0.01 common Sale 70 25.6850 USD
USD 0.01 common Sale 91 25.7350 USD
USD 0.01 common Sale 92 25.9633 USD
USD 0.01 common Sale 100 25.7894 USD
USD 0.01 common Sale 112 25.8220 USD
USD 0.01 common Sale 126 25.9298 USD
USD 0.01 common Sale 140 25.6700 USD
USD 0.01 common Sale 182 25.7472 USD
USD 0.01 common Sale 200 25.9050 USD
USD 0.01 common Sale 200 25.7725 USD
USD 0.01 common Sale 200 25.9825 USD
USD 0.01 common Sale 236 25.7879 USD
USD 0.01 common Sale 255 25.8351 USD
USD 0.01 common Sale 366 25.9377 USD
USD 0.01 common Sale 401 25.8646 USD
USD 0.01 common Sale 421 25.8844 USD
USD 0.01 common Sale 481 25.7018 USD
USD 0.01 common Sale 500 25.8980 USD
USD 0.01 common Sale 505 25.8384 USD
USD 0.01 common Sale 600 25.8366 USD
USD 0.01 common Sale 617 25.5907 USD
USD 0.01 common Sale 1,300 25.8000 USD
USD 0.01 common Sale 1,410 25.5933 USD
USD 0.01 common Sale 1,493 25.9107 USD
USD 0.01 common Sale 1,858 25.5929 USD
USD 0.01 common Sale 2,262 25.7829 USD
USD 0.01 common Sale 2,431 25.8059 USD
USD 0.01 common Sale 6,801 25.8707 USD
USD 0.01 common Sale 15,568 25.7268 USD
USD 0.01 common Sale 15,656 25.6103 USD
USD 0.01 common Sale 24,748 25.6138 USD
USD 0.01 common Sale 25,400 25.8826 USD
USD 0.01 common Sale 35,368 25.5900 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
(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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