REG-BARCLAYS PLC FORM 8.3 - NORTONLIFELOCK INC.
13/10/2021 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: 12 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: 1,468,593 0.25% 778,088 0.13%
(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: 1,823,460 0.31% 1,808,510 0.31%
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 6 25.3100 USD
USD 0.01 common Purchase 8 25.3650 USD
USD 0.01 common Purchase 10 25.3550 USD
USD 0.01 common Purchase 10 25.4050 USD
USD 0.01 common Purchase 14 25.3414 USD
USD 0.01 common Purchase 36 25.3638 USD
USD 0.01 common Purchase 42 25.3900 USD
USD 0.01 common Purchase 62 25.6000 USD
USD 0.01 common Purchase 100 25.3450 USD
USD 0.01 common Purchase 102 25.3544 USD
USD 0.01 common Purchase 102 25.3533 USD
USD 0.01 common Purchase 104 25.3388 USD
USD 0.01 common Purchase 105 25.3752 USD
USD 0.01 common Purchase 178 25.6600 USD
USD 0.01 common Purchase 200 25.3300 USD
USD 0.01 common Purchase 274 25.3218 USD
USD 0.01 common Purchase 400 25.5650 USD
USD 0.01 common Purchase 419 25.4786 USD
USD 0.01 common Purchase 500 25.5080 USD
USD 0.01 common Purchase 850 25.3634 USD
USD 0.01 common Purchase 910 25.3276 USD
USD 0.01 common Purchase 1,516 25.4351 USD
USD 0.01 common Purchase 7,568 25.3787 USD
USD 0.01 common Purchase 12,726 25.4384 USD
USD 0.01 common Purchase 16,383 25.4111 USD
USD 0.01 common Purchase 18,900 25.3818 USD
USD 0.01 common Purchase 19,748 25.3794 USD
USD 0.01 common Purchase 34,317 25.3943 USD
USD 0.01 common Purchase 39,374 25.4035 USD
USD 0.01 common Purchase 47,306 25.3937 USD
USD 0.01 common Purchase 59,979 25.3800 USD
USD 0.01 common Purchase 86,305 25.3823 USD
USD 0.01 common Sale 5 25.2600 USD
USD 0.01 common Sale 10 25.4000 USD
USD 0.01 common Sale 14 25.3450 USD
USD 0.01 common Sale 20 25.4100 USD
USD 0.01 common Sale 20 25.3900 USD
USD 0.01 common Sale 26 25.3500 USD
USD 0.01 common Sale 50 25.3350 USD
USD 0.01 common Sale 100 25.3300 USD
USD 0.01 common Sale 100 25.6100 USD
USD 0.01 common Sale 100 25.6050 USD
USD 0.01 common Sale 100 25.4700 USD
USD 0.01 common Sale 100 25.4200 USD
USD 0.01 common Sale 158 25.6213 USD
USD 0.01 common Sale 198 25.3718 USD
USD 0.01 common Sale 200 25.5350 USD
USD 0.01 common Sale 200 25.3012 USD
USD 0.01 common Sale 210 25.4050 USD
USD 0.01 common Sale 238 25.5979 USD
USD 0.01 common Sale 256 25.3400 USD
USD 0.01 common Sale 300 25.3316 USD
USD 0.01 common Sale 300 25.3516 USD
USD 0.01 common Sale 300 25.4450 USD
USD 0.01 common Sale 300 25.5716 USD
USD 0.01 common Sale 378 25.5223 USD
USD 0.01 common Sale 379 25.5811 USD
USD 0.01 common Sale 400 25.5125 USD
USD 0.01 common Sale 400 25.5425 USD
USD 0.01 common Sale 400 25.3650 USD
USD 0.01 common Sale 414 25.5549 USD
USD 0.01 common Sale 500 25.3980 USD
USD 0.01 common Sale 500 25.3790 USD
USD 0.01 common Sale 500 25.6700 USD
USD 0.01 common Sale 500 25.3750 USD
USD 0.01 common Sale 600 25.5966 USD
USD 0.01 common Sale 668 25.4559 USD
USD 0.01 common Sale 717 25.2977 USD
USD 0.01 common Sale 1,000 25.3420 USD
USD 0.01 common Sale 1,100 25.3745 USD
USD 0.01 common Sale 1,183 25.3824 USD
USD 0.01 common Sale 1,200 25.3783 USD
USD 0.01 common Sale 1,309 25.4016 USD
USD 0.01 common Sale 1,671 25.3533 USD
USD 0.01 common Sale 6,368 25.3856 USD
USD 0.01 common Sale 11,114 25.3879 USD
USD 0.01 common Sale 13,018 25.4366 USD
USD 0.01 common Sale 14,000 25.3823 USD
USD 0.01 common Sale 21,034 25.3801 USD
USD 0.01 common Sale 23,277 25.3964 USD
USD 0.01 common Sale 34,477 25.3923 USD
USD 0.01 common Sale 36,143 25.3893 USD
USD 0.01 common Sale 49,745 25.3973 USD
USD 0.01 common Sale 59,393 25.3800 USD
USD 0.01 common Sale 61,533 25.3819 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: 13 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=52508242&newsitemid=20211013005573&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=799b76ab8553f9894ae9d3ad94958596)
.
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=52508242&newsitemid=20211013005573&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=db34d0e65d80a90fbcf0f68334f75735)
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