REG-BARCLAYS PLC FORM 8.3 – NORTONLIFELOCK INC
25/10/2021 12:15
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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: 22 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: 1,565,340 0.27% 988,834 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: 2,122,107 0.36% 2,019,256 0.35%
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
USD 0.01 common Purchase 2 26.4150 USD
USD 0.01 common Purchase 4 26.4025 USD
USD 0.01 common Purchase 6 26.4000 USD
USD 0.01 common Purchase 92 22.5100 EUR
USD 0.01 common Purchase 100 26.6400 USD
USD 0.01 common Purchase 200 26.3800 USD
USD 0.01 common Purchase 200 26.5350 USD
USD 0.01 common Purchase 200 26.6450 USD
USD 0.01 common Purchase 298 26.5232 USD
USD 0.01 common Purchase 402 26.4050 USD
USD 0.01 common Purchase 500 26.6600 USD
USD 0.01 common Purchase 800 26.3875 USD
USD 0.01 common Purchase 1,290 26.2900 USD
USD 0.01 common Purchase 1,633 26.5609 USD
USD 0.01 common Purchase 2,300 26.5578 USD
USD 0.01 common Purchase 2,834 26.5431 USD
USD 0.01 common Purchase 2,947 26.6700 USD
USD 0.01 common Purchase 3,000 26.5196 USD
USD 0.01 common Purchase 3,377 26.5429 USD
USD 0.01 common Purchase 3,668 26.6557 USD
USD 0.01 common Purchase 4,773 26.6245 USD
USD 0.01 common Purchase 5,120 26.5459 USD
USD 0.01 common Purchase 5,425 26.6635 USD
USD 0.01 common Purchase 10,834 26.5222 USD
USD 0.01 common Purchase 29,361 26.5124 USD
USD 0.01 common Purchase 34,373 26.6699 USD
USD 0.01 common Purchase 57,209 26.5508 USD
USD 0.01 common Sale 2 26.2300 USD
USD 0.01 common Sale 8 26.5337 USD
USD 0.01 common Sale 27 26.4251 USD
USD 0.01 common Sale 92 22.5100 EUR
USD 0.01 common Sale 100 26.4500 USD
USD 0.01 common Sale 147 26.5615 USD
USD 0.01 common Sale 200 26.6250 USD
USD 0.01 common Sale 308 26.5179 USD
USD 0.01 common Sale 317 26.5552 USD
USD 0.01 common Sale 333 26.5523 USD
USD 0.01 common Sale 353 26.5765 USD
USD 0.01 common Sale 500 26.5560 USD
USD 0.01 common Sale 500 26.4600 USD
USD 0.01 common Sale 608 26.4736 USD
USD 0.01 common Sale 610 26.4168 USD
USD 0.01 common Sale 800 26.5575 USD
USD 0.01 common Sale 1,290 26.2900 USD
USD 0.01 common Sale 1,300 26.5230 USD
USD 0.01 common Sale 1,800 26.5546 USD
USD 0.01 common Sale 2,001 26.4324 USD
USD 0.01 common Sale 2,127 26.4442 USD
USD 0.01 common Sale 3,173 26.5403 USD
USD 0.01 common Sale 3,779 26.5156 USD
USD 0.01 common Sale 3,860 26.6454 USD
USD 0.01 common Sale 4,749 26.6242 USD
USD 0.01 common Sale 5,525 26.6612 USD
USD 0.01 common Sale 5,733 26.5510 USD
USD 0.01 common Sale 6,833 26.3100 USD
USD 0.01 common Sale 13,634 26.5332 USD
USD 0.01 common Sale 31,860 26.5129 USD
USD 0.01 common Sale 47,572 26.5621 USD
USD 0.01 common Sale 53,594 26.6700 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: 25 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
(http://www.thetakeoverpanel.org.uk/) .
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.
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