REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
29/10/2021 15:05
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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 interests and short positions disclosed, if
different from 1(a):
The naming of nominee or vehicle companies is insufficient. For a trust, the
trustee(s), settlor and beneficiaries must be named.
(c) Name of offeror/offeree in relation to whose relevant securities this form NORTONLIFELOCK INC
relates:
Use a separate form for each offeror/offeree
(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: 28 Oct 2021
For an opening position disclosure, state the latest practicable date prior to
the disclosure
(f) In addition to the company in 1(c) above, is the discloser making YES: AVAST PLC
disclosures in respect of any other party to the offer?
If it is a cash offer or possible cash offer, state “N/A”
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: 1,622,815 0.28% 1,054,180 0.18%
(2) Cash-settled derivatives:
645,893 0.11% 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: 2,269,208 0.39% 2,084,602 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%
(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 1 25.9000 USD
USD 0.01 common Purchase 5 25.9650 USD
USD 0.01 common Purchase 55 25.8900 USD
USD 0.01 common Purchase 57 25.8850 USD
USD 0.01 common Purchase 58 25.8699 USD
USD 0.01 common Purchase 75 25.9366 USD
USD 0.01 common Purchase 96 25.9753 USD
USD 0.01 common Purchase 111 25.9883 USD
USD 0.01 common Purchase 155 25.9303 USD
USD 0.01 common Purchase 160 25.9771 USD
USD 0.01 common Purchase 175 25.9105 USD
USD 0.01 common Purchase 180 25.8800 USD
USD 0.01 common Purchase 188 25.9135 USD
USD 0.01 common Purchase 200 25.9750 USD
USD 0.01 common Purchase 314 25.9428 USD
USD 0.01 common Purchase 340 26.0060 USD
USD 0.01 common Purchase 375 26.0552 USD
USD 0.01 common Purchase 585 25.9868 USD
USD 0.01 common Purchase 592 25.9608 USD
USD 0.01 common Purchase 634 26.0000 USD
USD 0.01 common Purchase 925 25.9971 USD
USD 0.01 common Purchase 1,243 26.0209 USD
USD 0.01 common Purchase 1,379 25.9600 USD
USD 0.01 common Purchase 1,500 25.9687 USD
USD 0.01 common Purchase 1,586 25.9489 USD
USD 0.01 common Purchase 3,811 25.9352 USD
USD 0.01 common Purchase 4,563 26.0768 USD
USD 0.01 common Purchase 4,751 25.9683 USD
USD 0.01 common Purchase 7,328 26.0310 USD
USD 0.01 common Purchase 12,622 25.9700 USD
USD 0.01 common Purchase 13,506 26.0002 USD
USD 0.01 common Purchase 19,021 25.9544 USD
USD 0.01 common Purchase 19,462 26.0657 USD
USD 0.01 common Purchase 32,230 25.9800 USD
USD 0.01 common Sale 1 26.0800 USD
USD 0.01 common Sale 56 25.8800 USD
USD 0.01 common Sale 100 25.8900 USD
USD 0.01 common Sale 100 25.9200 USD
USD 0.01 common Sale 100 25.9000 USD
USD 0.01 common Sale 121 26.2400 USD
USD 0.01 common Sale 133 25.9978 USD
USD 0.01 common Sale 200 25.9050 USD
USD 0.01 common Sale 200 25.9125 USD
USD 0.01 common Sale 200 26.1600 USD
USD 0.01 common Sale 376 25.9736 USD
USD 0.01 common Sale 415 25.9748 USD
USD 0.01 common Sale 469 26.0535 USD
USD 0.01 common Sale 475 25.8996 USD
USD 0.01 common Sale 558 25.9034 USD
USD 0.01 common Sale 634 26.0000 USD
USD 0.01 common Sale 669 25.9678 USD
USD 0.01 common Sale 680 26.0104 USD
USD 0.01 common Sale 1,430 25.9457 USD
USD 0.01 common Sale 2,078 25.9616 USD
USD 0.01 common Sale 3,381 25.9949 USD
USD 0.01 common Sale 3,768 25.9649 USD
USD 0.01 common Sale 4,751 25.9683 USD
USD 0.01 common Sale 5,154 26.0626 USD
USD 0.01 common Sale 5,253 26.0553 USD
USD 0.01 common Sale 13,341 25.9728 USD
USD 0.01 common Sale 14,477 25.9975 USD
USD 0.01 common Sale 16,736 25.9466 USD
USD 0.01 common Sale 19,539 26.0629 USD
USD 0.01 common Sale 34,639 25.9800 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: 29 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
Full name of person making disclosure: Barclays PLC.
Name of offeror/offeree in relation to whose relevant securities the NORTONLIFELOCK INC
disclosure 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
(http://www.thetakeoverpanel.org.uk/) .
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