REG-BARCLAYS PLC FORM 8.3 - NORTONLIFELOCK INC
22/10/2021 11:15
For best results when printing this announcement, please click on link below:
http://newsfile.refinitiv.com/getnewsfile/v1/story?guid=urn:newsml:reuters.com:20211022:nBw9FDTgka&default-theme=true
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: 21 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: 1,554,047 0.27% 972,880 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: 2,110,814 0.36% 2,003,302 0.34%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 361,000 0.06% 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: 361,000 0.06% 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
Convertible Bond Purchase 430,000 130.4375 USD
Convertible Bond Sale 215,000 130.4375 USD
USD 0.01 common Purchase 1 26.1900 USD
USD 0.01 common Purchase 1 26.1800 USD
USD 0.01 common Purchase 1 26.2250 USD
USD 0.01 common Purchase 1 26.2200 USD
USD 0.01 common Purchase 2 26.2675 USD
USD 0.01 common Purchase 3 26.2033 USD
USD 0.01 common Purchase 7 26.2257 USD
USD 0.01 common Purchase 14 26.2821 USD
USD 0.01 common Purchase 20 26.2400 USD
USD 0.01 common Purchase 52 26.2950 USD
USD 0.01 common Purchase 100 26.2000 USD
USD 0.01 common Purchase 144 26.1915 USD
USD 0.01 common Purchase 224 26.1720 USD
USD 0.01 common Purchase 302 26.2100 USD
USD 0.01 common Purchase 400 26.2600 USD
USD 0.01 common Purchase 493 26.2517 USD
USD 0.01 common Purchase 500 26.0330 USD
USD 0.01 common Purchase 906 26.2964 USD
USD 0.01 common Purchase 1,205 26.2998 USD
USD 0.01 common Purchase 1,797 26.2169 USD
USD 0.01 common Purchase 2,234 26.2900 USD
USD 0.01 common Purchase 2,274 26.0620 USD
USD 0.01 common Purchase 3,885 26.2043 USD
USD 0.01 common Purchase 4,731 26.1779 USD
USD 0.01 common Purchase 5,540 26.2469 USD
USD 0.01 common Purchase 6,747 26.1882 USD
USD 0.01 common Purchase 12,646 26.2594 USD
USD 0.01 common Purchase 12,793 26.2727 USD
USD 0.01 common Purchase 84,101 26.2119 USD
USD 0.01 common Sale 16 26.2050 USD
USD 0.01 common Sale 16 26.2400 USD
USD 0.01 common Sale 16 26.2250 USD
USD 0.01 common Sale 16 26.2550 USD
USD 0.01 common Sale 22 26.2390 USD
USD 0.01 common Sale 23 26.2734 USD
USD 0.01 common Sale 36 26.2650 USD
USD 0.01 common Sale 43 26.2487 USD
USD 0.01 common Sale 64 26.2712 USD
USD 0.01 common Sale 68 26.2639 USD
USD 0.01 common Sale 72 26.2450 USD
USD 0.01 common Sale 96 26.2325 USD
USD 0.01 common Sale 100 26.2000 USD
USD 0.01 common Sale 108 26.0329 USD
USD 0.01 common Sale 112 26.2535 USD
USD 0.01 common Sale 123 26.2718 USD
USD 0.01 common Sale 159 26.2500 USD
USD 0.01 common Sale 201 26.1298 USD
USD 0.01 common Sale 300 26.0566 USD
USD 0.01 common Sale 344 26.1911 USD
USD 0.01 common Sale 359 26.0500 USD
USD 0.01 common Sale 400 26.1675 USD
USD 0.01 common Sale 400 26.0525 USD
USD 0.01 common Sale 422 26.0552 USD
USD 0.01 common Sale 424 26.1307 USD
USD 0.01 common Sale 500 26.0660 USD
USD 0.01 common Sale 500 26.0330 USD
USD 0.01 common Sale 527 26.2022 USD
USD 0.01 common Sale 550 26.2200 USD
USD 0.01 common Sale 600 26.1060 USD
USD 0.01 common Sale 600 26.1900 USD
USD 0.01 common Sale 800 26.0693 USD
USD 0.01 common Sale 852 26.2012 USD
USD 0.01 common Sale 900 26.0544 USD
USD 0.01 common Sale 918 26.1977 USD
USD 0.01 common Sale 931 26.2148 USD
USD 0.01 common Sale 1,036 26.1871 USD
USD 0.01 common Sale 1,100 26.0540 USD
USD 0.01 common Sale 1,187 26.1885 USD
USD 0.01 common Sale 1,211 26.1771 USD
USD 0.01 common Sale 1,257 26.2216 USD
USD 0.01 common Sale 1,931 26.0510 USD
USD 0.01 common Sale 2,077 26.2032 USD
USD 0.01 common Sale 2,163 26.2970 USD
USD 0.01 common Sale 2,172 26.2160 USD
USD 0.01 common Sale 2,404 26.1967 USD
USD 0.01 common Sale 2,406 26.2900 USD
USD 0.01 common Sale 3,021 26.1923 USD
USD 0.01 common Sale 3,092 26.2215 USD
USD 0.01 common Sale 3,100 26.0546 USD
USD 0.01 common Sale 4,327 26.1938 USD
USD 0.01 common Sale 5,123 26.2434 USD
USD 0.01 common Sale 5,499 26.1867 USD
USD 0.01 common Sale 7,594 26.1569 USD
USD 0.01 common Sale 10,538 26.2853 USD
USD 0.01 common Sale 11,637 26.2656 USD
USD 0.01 common Sale 66,682 26.2164 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: 22 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=52513916&newsitemid=20211022005174&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=fa7126d959bc3182fa71e89ede7bca0c)
.
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=52513916&newsitemid=20211022005174&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=1ff587f776e6ab9c16ec8911a2a8acc5)
.
View source version on businesswire.com:
https://www.businesswire.com/news/home/20211022005174/en/
(https://www.businesswire.com/news/home/20211022005174/en/)
BARCLAYS PLC
Copyright Business Wire 2021Recent news on Barclays
See all newsREG - Barclays PLC - Notice of redemption of securities
AnnouncementREG - Barclays PLC - Notice of redemption of securities
AnnouncementREG - Barclays PLC JTC PLC - Form 8.3 JTC PLC
AnnouncementREG - Tinicum Incorporated Tinicum Incorporated Blackstone Senior PLC - Recommended cash acquisition of Senior plc
AnnouncementREG - Barclays PLC Schroders PLC - Form 8.5 EPT/Non RI SCHRODERS PLC Replacement
Announcement