REG-BARCLAYS PLC FORM 8.3 - NORTONLIFELOCK INC.
20/10/2021 11:20
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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 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: 19 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: 1,564,550 0.27% 967,104 0.17%
(2) Cash-settled derivatives:
655,267 0.11% 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: 2,220,317 0.38% 1,997,526 0.34%
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 7 25.8650 USD
USD 0.01 common Purchase 7 25.8700 USD
USD 0.01 common Purchase 7 25.8100 USD
USD 0.01 common Purchase 7 25.7900 USD
USD 0.01 common Purchase 14 25.8375 USD
USD 0.01 common Purchase 21 25.8466 USD
USD 0.01 common Purchase 21 25.7933 USD
USD 0.01 common Purchase 28 25.8225 USD
USD 0.01 common Purchase 34 25.8550 USD
USD 0.01 common Purchase 34 25.8250 USD
USD 0.01 common Purchase 48 25.7500 USD
USD 0.01 common Purchase 56 25.8425 USD
USD 0.01 common Purchase 63 25.7185 USD
USD 0.01 common Purchase 65 25.7767 USD
USD 0.01 common Purchase 66 25.7543 USD
USD 0.01 common Purchase 100 25.6950 USD
USD 0.01 common Purchase 101 25.7599 USD
USD 0.01 common Purchase 119 25.7579 USD
USD 0.01 common Purchase 166 25.8087 USD
USD 0.01 common Purchase 200 25.6400 USD
USD 0.01 common Purchase 206 25.7550 USD
USD 0.01 common Purchase 300 25.7800 USD
USD 0.01 common Purchase 300 25.8277 USD
USD 0.01 common Purchase 404 25.7525 USD
USD 0.01 common Purchase 420 25.7780 USD
USD 0.01 common Purchase 475 25.7600 USD
USD 0.01 common Purchase 510 25.7534 USD
USD 0.01 common Purchase 555 25.7527 USD
USD 0.01 common Purchase 726 25.8070 USD
USD 0.01 common Purchase 829 25.8221 USD
USD 0.01 common Purchase 1,443 25.7578 USD
USD 0.01 common Purchase 1,568 25.7958 USD
USD 0.01 common Purchase 1,678 25.7576 USD
USD 0.01 common Purchase 2,476 25.7701 USD
USD 0.01 common Purchase 3,241 25.7547 USD
USD 0.01 common Purchase 5,241 25.8085 USD
USD 0.01 common Purchase 5,888 25.7868 USD
USD 0.01 common Purchase 14,131 25.7968 USD
USD 0.01 common Purchase 17,098 25.8200 USD
USD 0.01 common Purchase 19,374 25.7950 USD
USD 0.01 common Purchase 25,813 25.8329 USD
USD 0.01 common Purchase 26,163 25.7896 USD
USD 0.01 common Purchase 34,418 25.7924 USD
USD 0.01 common Purchase 37,706 25.8201 USD
USD 0.01 common Purchase 61,645 25.8198 USD
USD 0.01 common Sale 2 25.6700 USD
USD 0.01 common Sale 2 25.7800 USD
USD 0.01 common Sale 4 25.7825 USD
USD 0.01 common Sale 8 25.7075 USD
USD 0.01 common Sale 8 25.7950 USD
USD 0.01 common Sale 10 25.7860 USD
USD 0.01 common Sale 14 25.8100 USD
USD 0.01 common Sale 16 25.7687 USD
USD 0.01 common Sale 18 25.7844 USD
USD 0.01 common Sale 20 25.7530 USD
USD 0.01 common Sale 22 25.7627 USD
USD 0.01 common Sale 22 25.7727 USD
USD 0.01 common Sale 26 25.7853 USD
USD 0.01 common Sale 34 25.7797 USD
USD 0.01 common Sale 34 25.7752 USD
USD 0.01 common Sale 40 25.7770 USD
USD 0.01 common Sale 40 25.7670 USD
USD 0.01 common Sale 52 25.7815 USD
USD 0.01 common Sale 56 25.7782 USD
USD 0.01 common Sale 66 25.8524 USD
USD 0.01 common Sale 88 25.7764 USD
USD 0.01 common Sale 102 25.7767 USD
USD 0.01 common Sale 200 25.8300 USD
USD 0.01 common Sale 289 25.7565 USD
USD 0.01 common Sale 296 25.8347 USD
USD 0.01 common Sale 332 25.8179 USD
USD 0.01 common Sale 390 25.8390 USD
USD 0.01 common Sale 418 25.7921 USD
USD 0.01 common Sale 499 25.7469 USD
USD 0.01 common Sale 500 25.8260 USD
USD 0.01 common Sale 510 25.7534 USD
USD 0.01 common Sale 673 25.7405 USD
USD 0.01 common Sale 702 25.7500 USD
USD 0.01 common Sale 865 25.8166 USD
USD 0.01 common Sale 900 25.7433 USD
USD 0.01 common Sale 1,053 25.7528 USD
USD 0.01 common Sale 1,204 25.7890 USD
USD 0.01 common Sale 1,400 25.7557 USD
USD 0.01 common Sale 2,011 25.7400 USD
USD 0.01 common Sale 2,676 25.7603 USD
USD 0.01 common Sale 2,685 25.7856 USD
USD 0.01 common Sale 3,380 25.7771 USD
USD 0.01 common Sale 3,543 25.7906 USD
USD 0.01 common Sale 3,827 25.8178 USD
USD 0.01 common Sale 4,050 25.8025 USD
USD 0.01 common Sale 5,036 25.8208 USD
USD 0.01 common Sale 13,713 25.7969 USD
USD 0.01 common Sale 16,469 25.7501 USD
USD 0.01 common Sale 21,400 25.8500 USD
USD 0.01 common Sale 28,685 25.7875 USD
USD 0.01 common Sale 31,159 25.8251 USD
USD 0.01 common Sale 32,510 25.8201 USD
USD 0.01 common Sale 74,906 25.8200 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: 20 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=52512263&newsitemid=20211020005510&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=52e42116361d56a7043c0efdaa47cd12)
.
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=52512263&newsitemid=20211020005510&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=8ad45f410ec942c4ac479e57077fff94)
View source version on businesswire.com:
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(https://www.businesswire.com/news/home/20211020005510/en/)
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