REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
27/10/2021 11:05
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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: 26 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: 1,595,924 0.27% 1,059,921 0.18%
(2) Cash-settled derivatives:
733,267 0.13% 1,028,322 0.18%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
TOTAL: 2,329,691 0.40% 2,090,343 0.36%
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 1 26.6700 USD
USD 0.01 common Purchase 5 26.5100 USD
USD 0.01 common Purchase 58 26.4551 USD
USD 0.01 common Purchase 100 26.5650 USD
USD 0.01 common Purchase 200 26.5400 USD
USD 0.01 common Purchase 200 26.5600 USD
USD 0.01 common Purchase 280 26.4335 USD
USD 0.01 common Purchase 656 26.5127 USD
USD 0.01 common Purchase 700 26.4464 USD
USD 0.01 common Purchase 700 26.3942 USD
USD 0.01 common Purchase 712 26.5943 USD
USD 0.01 common Purchase 1,368 26.4373 USD
USD 0.01 common Purchase 1,711 26.4951 USD
USD 0.01 common Purchase 2,700 26.4548 USD
USD 0.01 common Purchase 2,704 26.4814 USD
USD 0.01 common Purchase 3,498 26.4540 USD
USD 0.01 common Purchase 5,986 26.4720 USD
USD 0.01 common Purchase 11,421 26.4798 USD
USD 0.01 common Purchase 12,697 26.5231 USD
USD 0.01 common Purchase 18,109 26.3500 USD
USD 0.01 common Purchase 20,174 26.5682 USD
USD 0.01 common Purchase 20,729 26.3612 USD
USD 0.01 common Purchase 21,259 26.3582 USD
USD 0.01 common Purchase 61,427 26.4465 USD
USD 0.01 common Purchase 91,060 26.3505 USD
USD 0.01 common Sale 53 26.6513 USD
USD 0.01 common Sale 100 26.7200 USD
USD 0.01 common Sale 100 26.5650 USD
USD 0.01 common Sale 100 26.5400 USD
USD 0.01 common Sale 119 26.4289 USD
USD 0.01 common Sale 175 26.3959 USD
USD 0.01 common Sale 200 26.5600 USD
USD 0.01 common Sale 200 26.4250 USD
USD 0.01 common Sale 200 26.5000 USD
USD 0.01 common Sale 271 26.5063 USD
USD 0.01 common Sale 304 26.4166 USD
USD 0.01 common Sale 570 26.7600 USD
USD 0.01 common Sale 600 26.6133 USD
USD 0.01 common Sale 1,300 26.5469 USD
USD 0.01 common Sale 1,314 26.5807 USD
USD 0.01 common Sale 1,334 26.4143 USD
USD 0.01 common Sale 1,847 26.6252 USD
USD 0.01 common Sale 2,544 26.4853 USD
USD 0.01 common Sale 3,272 26.4658 USD
USD 0.01 common Sale 4,624 26.4873 USD
USD 0.01 common Sale 12,137 26.5960 USD
USD 0.01 common Sale 14,598 26.5019 USD
USD 0.01 common Sale 15,521 26.4701 USD
USD 0.01 common Sale 16,188 26.4779 USD
USD 0.01 common Sale 21,544 26.3592 USD
USD 0.01 common Sale 37,245 26.3500 USD
USD 0.01 common Sale 50,305 26.4403 USD
USD 0.01 common Sale 90,566 26.3501 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: 27 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=52516454&newsitemid=20211027005490&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=04f676047b94931fecdb2fd1f8bca1b1)
.
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=52516454&newsitemid=20211027005490&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=8ec8216143f2da3477b900ee0a101c93)
.
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