REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
14/10/2021 12:10
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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: 13 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: 1,482,248 0.25% 759,568 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%
TOTAL: 1,837,115 0.32% 1,789,990 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%
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 3 25.0650 USD
USD 0.01 common Purchase 4 25.1200 USD
USD 0.01 common Purchase 6 25.2733 USD
USD 0.01 common Purchase 6 25.1333 USD
USD 0.01 common Purchase 6 25.1100 USD
USD 0.01 common Purchase 16 25.1237 USD
USD 0.01 common Purchase 26 25.2688 USD
USD 0.01 common Purchase 100 25.1700 USD
USD 0.01 common Purchase 100 25.2500 USD
USD 0.01 common Purchase 105 25.1714 USD
USD 0.01 common Purchase 462 25.3858 USD
USD 0.01 common Purchase 500 25.1730 USD
USD 0.01 common Purchase 571 25.2388 USD
USD 0.01 common Purchase 600 25.4900 USD
USD 0.01 common Purchase 607 25.4475 USD
USD 0.01 common Purchase 648 25.1917 USD
USD 0.01 common Purchase 1,293 25.1324 USD
USD 0.01 common Purchase 1,395 25.2727 USD
USD 0.01 common Purchase 1,473 25.1113 USD
USD 0.01 common Purchase 1,616 25.2370 USD
USD 0.01 common Purchase 2,420 25.1736 USD
USD 0.01 common Purchase 3,016 25.1712 USD
USD 0.01 common Purchase 4,555 25.1646 USD
USD 0.01 common Purchase 5,098 25.1691 USD
USD 0.01 common Purchase 8,241 25.4594 USD
USD 0.01 common Purchase 9,463 25.2736 USD
USD 0.01 common Purchase 9,540 25.2643 USD
USD 0.01 common Purchase 11,453 25.2895 USD
USD 0.01 common Purchase 17,216 25.0804 USD
USD 0.01 common Purchase 17,459 25.0809 USD
USD 0.01 common Purchase 18,475 25.2737 USD
USD 0.01 common Purchase 19,168 25.3200 USD
USD 0.01 common Purchase 27,567 25.2387 USD
USD 0.01 common Purchase 98,089 25.0800 USD
USD 0.01 common Purchase 132,630 25.1707 USD
USD 0.01 common Sale 45 25.1711 USD
USD 0.01 common Sale 64 25.2000 USD
USD 0.01 common Sale 64 25.0750 USD
USD 0.01 common Sale 65 25.3400 USD
USD 0.01 common Sale 96 25.1283 USD
USD 0.01 common Sale 96 25.0916 USD
USD 0.01 common Sale 100 25.1700 USD
USD 0.01 common Sale 100 25.2450 USD
USD 0.01 common Sale 100 25.3250 USD
USD 0.01 common Sale 100 25.2200 USD
USD 0.01 common Sale 100 25.3000 USD
USD 0.01 common Sale 100 25.2550 USD
USD 0.01 common Sale 105 25.1714 USD
USD 0.01 common Sale 106 25.2920 USD
USD 0.01 common Sale 128 25.1400 USD
USD 0.01 common Sale 138 25.2510 USD
USD 0.01 common Sale 150 25.2833 USD
USD 0.01 common Sale 200 25.4500 USD
USD 0.01 common Sale 283 25.4200 USD
USD 0.01 common Sale 288 25.1444 USD
USD 0.01 common Sale 300 25.3150 USD
USD 0.01 common Sale 367 25.3626 USD
USD 0.01 common Sale 400 25.2075 USD
USD 0.01 common Sale 400 25.1875 USD
USD 0.01 common Sale 400 25.4900 USD
USD 0.01 common Sale 400 25.2612 USD
USD 0.01 common Sale 402 25.2599 USD
USD 0.01 common Sale 500 25.2150 USD
USD 0.01 common Sale 500 25.2470 USD
USD 0.01 common Sale 500 25.2540 USD
USD 0.01 common Sale 600 25.2525 USD
USD 0.01 common Sale 616 25.4018 USD
USD 0.01 common Sale 647 25.2565 USD
USD 0.01 common Sale 792 25.2405 USD
USD 0.01 common Sale 800 25.1900 USD
USD 0.01 common Sale 816 25.2917 USD
USD 0.01 common Sale 824 25.2336 USD
USD 0.01 common Sale 900 25.5200 USD
USD 0.01 common Sale 947 25.3010 USD
USD 0.01 common Sale 976 25.2328 USD
USD 0.01 common Sale 1,473 25.1113 USD
USD 0.01 common Sale 1,662 25.1810 USD
USD 0.01 common Sale 4,266 25.2172 USD
USD 0.01 common Sale 5,847 25.4649 USD
USD 0.01 common Sale 6,080 25.3111 USD
USD 0.01 common Sale 6,340 25.2870 USD
USD 0.01 common Sale 9,710 25.3200 USD
USD 0.01 common Sale 12,161 25.2668 USD
USD 0.01 common Sale 18,335 25.2795 USD
USD 0.01 common Sale 35,624 25.0808 USD
USD 0.01 common Sale 37,576 25.2243 USD
USD 0.01 common Sale 98,089 25.0800 USD
USD 0.01 common Sale 142,193 25.1733 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: 14 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=52509056&newsitemid=20211014005579&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=486afc2945da14fa26ad1ee933c9b88d)
.
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&esheet=52509056&newsitemid=20211014005579&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=cc3fea61d446c9f9dea734489ae4ff1b)
.
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(https://www.businesswire.com/news/home/20211014005579/en/)
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