REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
28/10/2021 13:05
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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: 27 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: 1,608,606 0.28% 1,060,951 0.18%
(2) Cash-settled derivatives:
734,393 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: 2,343,499 0.40% 2,091,373 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 42 26.0850 USD
USD 0.01 common Purchase 43 25.7800 USD
USD 0.01 common Purchase 53 25.7848 USD
USD 0.01 common Purchase 61 26.0650 USD
USD 0.01 common Purchase 105 25.7940 USD
USD 0.01 common Purchase 400 26.0500 USD
USD 0.01 common Purchase 800 25.8675 USD
USD 0.01 common Purchase 977 26.3500 USD
USD 0.01 common Purchase 1,000 25.8124 USD
USD 0.01 common Purchase 1,004 26.0602 USD
USD 0.01 common Purchase 1,100 25.8290 USD
USD 0.01 common Purchase 1,235 26.0746 USD
USD 0.01 common Purchase 1,383 25.8972 USD
USD 0.01 common Purchase 1,501 26.3695 USD
USD 0.01 common Purchase 1,880 25.9620 USD
USD 0.01 common Purchase 2,551 26.1461 USD
USD 0.01 common Purchase 2,702 25.8588 USD
USD 0.01 common Purchase 3,304 26.0034 USD
USD 0.01 common Purchase 3,875 25.8217 USD
USD 0.01 common Purchase 3,885 26.0201 USD
USD 0.01 common Purchase 4,261 25.8347 USD
USD 0.01 common Purchase 4,285 25.9127 USD
USD 0.01 common Purchase 5,490 25.9298 USD
USD 0.01 common Purchase 6,953 26.0171 USD
USD 0.01 common Purchase 7,617 25.8747 USD
USD 0.01 common Purchase 11,092 25.9816 USD
USD 0.01 common Purchase 16,201 25.8100 USD
USD 0.01 common Purchase 16,310 25.8101 USD
USD 0.01 common Purchase 42,362 25.9446 USD
USD 0.01 common Purchase 56,700 26.0842 USD
USD 0.01 common Sale 3 26.3833 USD
USD 0.01 common Sale 42 26.0850 USD
USD 0.01 common Sale 61 26.0650 USD
USD 0.01 common Sale 100 26.3425 USD
USD 0.01 common Sale 105 25.7940 USD
USD 0.01 common Sale 200 26.3750 USD
USD 0.01 common Sale 200 26.2550 USD
USD 0.01 common Sale 200 26.1600 USD
USD 0.01 common Sale 542 26.1397 USD
USD 0.01 common Sale 700 26.0757 USD
USD 0.01 common Sale 800 26.0812 USD
USD 0.01 common Sale 951 26.1447 USD
USD 0.01 common Sale 1,000 26.0750 USD
USD 0.01 common Sale 1,300 26.0780 USD
USD 0.01 common Sale 1,400 26.1450 USD
USD 0.01 common Sale 1,400 26.0821 USD
USD 0.01 common Sale 1,500 26.0816 USD
USD 0.01 common Sale 1,500 26.0656 USD
USD 0.01 common Sale 1,838 26.0681 USD
USD 0.01 common Sale 2,200 26.0740 USD
USD 0.01 common Sale 2,730 26.1959 USD
USD 0.01 common Sale 3,040 25.8440 USD
USD 0.01 common Sale 3,700 25.9267 USD
USD 0.01 common Sale 4,067 25.8359 USD
USD 0.01 common Sale 4,852 25.9281 USD
USD 0.01 common Sale 6,875 25.8427 USD
USD 0.01 common Sale 7,192 26.0053 USD
USD 0.01 common Sale 7,952 26.0297 USD
USD 0.01 common Sale 11,016 25.9817 USD
USD 0.01 common Sale 14,496 25.8100 USD
USD 0.01 common Sale 16,310 25.8101 USD
USD 0.01 common Sale 19,442 25.9273 USD
USD 0.01 common Sale 35,195 25.9419 USD
USD 0.01 common Sale 44,462 26.0867 USD
(b) Cash-settled derivative transactions
Class of Product Nature of dealing Number of Price per
relevant description reference unit
security securities
USD 0.01 common SWAP Long 1,126 26.2162 USD
(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: 28 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=52517366&newsitemid=20211028005637&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=49638677885002bbc5bea73fec8e455a)
.
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=52517366&newsitemid=20211028005637&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=c41c614da4b9d6044b4a43dddaa0cf0b)
.
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