REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
21/10/2021 11:35
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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: 20 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: 1,570,930 0.27% 968,311 0.17%
(2) Cash-settled derivatives:
556,267 0.10% 1,028,322 0.18%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
TOTAL: 2,127,697 0.37% 1,998,733 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%
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 25.9433 USD
USD 0.01 common Purchase 4 25.9600 USD
USD 0.01 common Purchase 6 25.9483 USD
USD 0.01 common Purchase 9 25.9366 USD
USD 0.01 common Purchase 10 25.9690 USD
USD 0.01 common Purchase 19 26.0900 USD
USD 0.01 common Purchase 19 25.9357 USD
USD 0.01 common Purchase 42 25.9688 USD
USD 0.01 common Purchase 50 25.9050 USD
USD 0.01 common Purchase 58 26.1387 USD
USD 0.01 common Purchase 60 25.9083 USD
USD 0.01 common Purchase 70 26.0121 USD
USD 0.01 common Purchase 85 25.9461 USD
USD 0.01 common Purchase 95 25.9163 USD
USD 0.01 common Purchase 101 26.0441 USD
USD 0.01 common Purchase 102 25.9642 USD
USD 0.01 common Purchase 115 25.9293 USD
USD 0.01 common Purchase 118 25.9534 USD
USD 0.01 common Purchase 135 25.9492 USD
USD 0.01 common Purchase 145 26.0098 USD
USD 0.01 common Purchase 151 25.9874 USD
USD 0.01 common Purchase 153 25.7554 USD
USD 0.01 common Purchase 185 25.9545 USD
USD 0.01 common Purchase 200 26.0425 USD
USD 0.01 common Purchase 200 25.9300 USD
USD 0.01 common Purchase 211 26.0390 USD
USD 0.01 common Purchase 400 25.9800 USD
USD 0.01 common Purchase 405 26.0436 USD
USD 0.01 common Purchase 504 26.0992 USD
USD 0.01 common Purchase 600 25.9633 USD
USD 0.01 common Purchase 654 26.1279 USD
USD 0.01 common Purchase 700 26.0428 USD
USD 0.01 common Purchase 1,145 26.0246 USD
USD 0.01 common Purchase 1,275 25.9400 USD
USD 0.01 common Purchase 1,491 26.0240 USD
USD 0.01 common Purchase 1,694 25.9762 USD
USD 0.01 common Purchase 2,109 26.0967 USD
USD 0.01 common Purchase 2,259 26.0657 USD
USD 0.01 common Purchase 2,372 26.0076 USD
USD 0.01 common Purchase 2,396 25.9945 USD
USD 0.01 common Purchase 2,922 25.9827 USD
USD 0.01 common Purchase 3,234 26.1300 USD
USD 0.01 common Purchase 3,623 26.0617 USD
USD 0.01 common Purchase 4,438 26.0060 USD
USD 0.01 common Purchase 5,503 25.8200 USD
USD 0.01 common Purchase 11,251 26.0194 USD
USD 0.01 common Purchase 31,339 26.0784 USD
USD 0.01 common Purchase 32,635 26.0074 USD
USD 0.01 common Sale 4 25.9175 USD
USD 0.01 common Sale 17 26.0761 USD
USD 0.01 common Sale 30 26.0200 USD
USD 0.01 common Sale 37 26.1400 USD
USD 0.01 common Sale 44 26.0400 USD
USD 0.01 common Sale 44 26.1000 USD
USD 0.01 common Sale 44 26.1100 USD
USD 0.01 common Sale 47 26.1128 USD
USD 0.01 common Sale 63 26.0900 USD
USD 0.01 common Sale 88 26.0950 USD
USD 0.01 common Sale 90 26.0333 USD
USD 0.01 common Sale 94 26.0857 USD
USD 0.01 common Sale 120 26.0725 USD
USD 0.01 common Sale 144 26.1105 USD
USD 0.01 common Sale 150 26.0800 USD
USD 0.01 common Sale 200 26.0475 USD
USD 0.01 common Sale 200 26.0300 USD
USD 0.01 common Sale 255 26.0417 USD
USD 0.01 common Sale 276 26.1250 USD
USD 0.01 common Sale 290 26.0600 USD
USD 0.01 common Sale 290 26.0500 USD
USD 0.01 common Sale 300 26.0566 USD
USD 0.01 common Sale 300 26.0416 USD
USD 0.01 common Sale 346 26.1213 USD
USD 0.01 common Sale 348 26.1013 USD
USD 0.01 common Sale 352 26.0298 USD
USD 0.01 common Sale 401 26.0594 USD
USD 0.01 common Sale 430 26.1200 USD
USD 0.01 common Sale 615 26.0586 USD
USD 0.01 common Sale 654 26.1279 USD
USD 0.01 common Sale 666 26.0592 USD
USD 0.01 common Sale 742 25.9400 USD
USD 0.01 common Sale 900 26.0961 USD
USD 0.01 common Sale 908 26.0905 USD
USD 0.01 common Sale 1,252 26.0396 USD
USD 0.01 common Sale 1,571 25.9870 USD
USD 0.01 common Sale 1,804 26.0439 USD
USD 0.01 common Sale 2,396 25.9945 USD
USD 0.01 common Sale 2,567 26.0118 USD
USD 0.01 common Sale 3,266 26.1300 USD
USD 0.01 common Sale 3,358 26.1232 USD
USD 0.01 common Sale 3,428 26.0775 USD
USD 0.01 common Sale 5,013 25.9904 USD
USD 0.01 common Sale 5,503 25.8200 USD
USD 0.01 common Sale 6,547 26.1184 USD
USD 0.01 common Sale 10,825 26.1081 USD
USD 0.01 common Sale 12,751 26.0166 USD
USD 0.01 common Sale 15,419 26.0514 USD
USD 0.01 common Sale 29,826 25.9805 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: 21 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=52513231&newsitemid=20211021005512&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=79820d990432f2836dc3b64778883cfa)
.
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=52513231&newsitemid=20211021005512&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=9dad26878f681af6a42f019909fb62d4)
.
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(https://www.businesswire.com/news/home/20211021005512/en/)
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