REG-BARCLAYS PLC FORM 8.3 - NORTONLIFELOCK INC.
26/10/2021 13:30
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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: 25 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: 1,550,543 0.27% 972,610 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%
(4)
TOTAL: 2,107,310 0.36% 2,003,032 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%
(4)
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 4 26.7300 USD
USD 0.01 common Purchase 9 26.7500 USD
USD 0.01 common Purchase 70 26.8500 USD
USD 0.01 common Purchase 70 26.8250 USD
USD 0.01 common Purchase 72 26.7000 USD
USD 0.01 common Purchase 80 22.9900 EUR
USD 0.01 common Purchase 100 26.7350 USD
USD 0.01 common Purchase 198 26.6397 USD
USD 0.01 common Purchase 200 26.7375 USD
USD 0.01 common Purchase 200 26.6200 USD
USD 0.01 common Purchase 200 26.7175 USD
USD 0.01 common Purchase 230 26.7386 USD
USD 0.01 common Purchase 300 26.7333 USD
USD 0.01 common Purchase 300 26.7366 USD
USD 0.01 common Purchase 400 26.5400 USD
USD 0.01 common Purchase 1,078 26.6501 USD
USD 0.01 common Purchase 1,300 26.7441 USD
USD 0.01 common Purchase 1,490 26.6634 USD
USD 0.01 common Purchase 2,108 26.7376 USD
USD 0.01 common Purchase 3,145 26.7192 USD
USD 0.01 common Purchase 3,279 26.6657 USD
USD 0.01 common Purchase 4,753 26.7443 USD
USD 0.01 common Purchase 5,688 26.7425 USD
USD 0.01 common Purchase 10,684 26.6835 USD
USD 0.01 common Purchase 14,410 26.7217 USD
USD 0.01 common Purchase 17,892 26.7241 USD
USD 0.01 common Purchase 23,362 26.7197 USD
USD 0.01 common Purchase 25,549 26.6700 USD
USD 0.01 common Purchase 90,618 26.7195 USD
USD 0.01 common Sale 34 26.7035 USD
USD 0.01 common Sale 40 26.8215 USD
USD 0.01 common Sale 70 26.8500 USD
USD 0.01 common Sale 80 22.9900 EUR
USD 0.01 common Sale 100 26.7400 USD
USD 0.01 common Sale 400 26.5400 USD
USD 0.01 common Sale 400 26.6900 USD
USD 0.01 common Sale 407 26.7110 USD
USD 0.01 common Sale 445 26.6755 USD
USD 0.01 common Sale 540 26.7133 USD
USD 0.01 common Sale 600 26.7200 USD
USD 0.01 common Sale 859 26.6950 USD
USD 0.01 common Sale 1,100 26.7618 USD
USD 0.01 common Sale 1,100 26.7336 USD
USD 0.01 common Sale 1,203 26.7505 USD
USD 0.01 common Sale 1,762 26.6622 USD
USD 0.01 common Sale 1,814 26.7394 USD
USD 0.01 common Sale 2,149 26.7720 USD
USD 0.01 common Sale 2,335 26.7242 USD
USD 0.01 common Sale 3,265 26.6303 USD
USD 0.01 common Sale 3,279 26.6657 USD
USD 0.01 common Sale 3,536 26.7317 USD
USD 0.01 common Sale 3,549 26.7547 USD
USD 0.01 common Sale 4,001 26.7043 USD
USD 0.01 common Sale 6,592 26.7280 USD
USD 0.01 common Sale 9,040 26.6733 USD
USD 0.01 common Sale 12,910 26.7208 USD
USD 0.01 common Sale 17,042 26.7268 USD
USD 0.01 common Sale 21,035 26.7300 USD
USD 0.01 common Sale 25,174 26.6700 USD
USD 0.01 common Sale 82,553 26.7190 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: 26 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=52515472&newsitemid=20211026005741&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=26f0e451edbb11e667bf0b0d4c77d687)
.
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=52515472&newsitemid=20211026005741&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=dbcf6bb8c49f15ad544cc3309ec60e4b)
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