REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
05/11/2021 11:50
For best results when printing this announcement, please click on link below:
http://newsfile.refinitiv.com/getnewsfile/v1/story?guid=urn:newsml:reuters.com:20211105:nBw50x1HTa&default-theme=true
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: 4 Nov 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: 1,707,801 0.29% 1,013,445 0.17%
(2) Cash-settled derivatives:
896,361 0.15% 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: 2,604,662 0.45% 2,043,867 0.35%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 376,000 0.06% 2,000 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: 376,000 0.06% 2,000 0.00%
Class of relevant security:
Interests Short positions
Number % Number %
(1) Relevant securities owned and/or controlled:
(2) Cash-settled derivatives:
(3) Stock-settled derivatives (including options) and agreements to
purchase/sell:
TOTAL:
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
Convertible Bond Purchase 28,000 124.8750 USD
Convertible Bond Sale 15,000 124.8750 USD
USD 0.01 common Purchase 2 25.0000 USD
USD 0.01 common Purchase 5 24.9050 USD
USD 0.01 common Purchase 30 24.9450 USD
USD 0.01 common Purchase 43 24.9800 USD
USD 0.01 common Purchase 74 25.0500 USD
USD 0.01 common Purchase 100 24.8800 USD
USD 0.01 common Purchase 100 24.9100 USD
USD 0.01 common Purchase 100 24.9350 USD
USD 0.01 common Purchase 100 24.9850 USD
USD 0.01 common Purchase 107 24.9586 USD
USD 0.01 common Purchase 160 24.9131 USD
USD 0.01 common Purchase 182 24.9400 USD
USD 0.01 common Purchase 200 24.9250 USD
USD 0.01 common Purchase 200 24.9362 USD
USD 0.01 common Purchase 300 25.0483 USD
USD 0.01 common Purchase 300 24.9200 USD
USD 0.01 common Purchase 300 25.2233 USD
USD 0.01 common Purchase 365 24.9965 USD
USD 0.01 common Purchase 398 25.1000 USD
USD 0.01 common Purchase 700 24.9471 USD
USD 0.01 common Purchase 845 25.0718 USD
USD 0.01 common Purchase 893 24.9502 USD
USD 0.01 common Purchase 1,541 24.9484 USD
USD 0.01 common Purchase 2,303 24.9405 USD
USD 0.01 common Purchase 2,678 25.0458 USD
USD 0.01 common Purchase 2,801 24.9448 USD
USD 0.01 common Purchase 3,299 25.0246 USD
USD 0.01 common Purchase 3,601 25.0071 USD
USD 0.01 common Purchase 4,502 25.0030 USD
USD 0.01 common Purchase 4,682 24.9737 USD
USD 0.01 common Purchase 4,999 24.9313 USD
USD 0.01 common Purchase 7,185 25.0002 USD
USD 0.01 common Purchase 7,251 25.0097 USD
USD 0.01 common Purchase 7,318 25.0166 USD
USD 0.01 common Purchase 8,786 25.1730 USD
USD 0.01 common Purchase 9,084 25.0079 USD
USD 0.01 common Purchase 9,278 25.0416 USD
USD 0.01 common Purchase 10,288 25.0317 USD
USD 0.01 common Purchase 10,462 25.0501 USD
USD 0.01 common Purchase 10,639 25.0159 USD
USD 0.01 common Purchase 10,767 25.1088 USD
USD 0.01 common Purchase 11,021 25.0912 USD
USD 0.01 common Purchase 11,620 25.0775 USD
USD 0.01 common Purchase 12,522 25.0162 USD
USD 0.01 common Purchase 16,644 24.9529 USD
USD 0.01 common Purchase 38,527 24.9500 USD
USD 0.01 common Purchase 59,784 25.1641 USD
USD 0.01 common Purchase 74,676 25.0172 USD
USD 0.01 common Purchase 84,725 25.0437 USD
USD 0.01 common Sale 5 24.9200 USD
USD 0.01 common Sale 6 24.9083 USD
USD 0.01 common Sale 7 24.9400 USD
USD 0.01 common Sale 8 24.9137 USD
USD 0.01 common Sale 8 24.9337 USD
USD 0.01 common Sale 11 24.9177 USD
USD 0.01 common Sale 15 24.8850 USD
USD 0.01 common Sale 15 24.8900 USD
USD 0.01 common Sale 15 24.9250 USD
USD 0.01 common Sale 15 24.9300 USD
USD 0.01 common Sale 16 24.9287 USD
USD 0.01 common Sale 20 24.9275 USD
USD 0.01 common Sale 30 24.9233 USD
USD 0.01 common Sale 30 24.9450 USD
USD 0.01 common Sale 37 24.9178 USD
USD 0.01 common Sale 43 24.9800 USD
USD 0.01 common Sale 45 24.9150 USD
USD 0.01 common Sale 45 24.9000 USD
USD 0.01 common Sale 51 24.9116 USD
USD 0.01 common Sale 100 25.1000 USD
USD 0.01 common Sale 148 24.9694 USD
USD 0.01 common Sale 160 24.9100 USD
USD 0.01 common Sale 212 24.9778 USD
USD 0.01 common Sale 283 24.9503 USD
USD 0.01 common Sale 310 24.9732 USD
USD 0.01 common Sale 313 24.9873 USD
USD 0.01 common Sale 380 25.1245 USD
USD 0.01 common Sale 600 24.9550 USD
USD 0.01 common Sale 1,092 24.9748 USD
USD 0.01 common Sale 1,106 25.1414 USD
USD 0.01 common Sale 1,260 24.9330 USD
USD 0.01 common Sale 3,899 24.9455 USD
USD 0.01 common Sale 5,328 24.9282 USD
USD 0.01 common Sale 9,154 24.9963 USD
USD 0.01 common Sale 10,325 25.0284 USD
USD 0.01 common Sale 10,790 24.9500 USD
USD 0.01 common Sale 12,163 25.0065 USD
USD 0.01 common Sale 14,329 24.9499 USD
USD 0.01 common Sale 18,364 25.0609 USD
USD 0.01 common Sale 21,799 24.9496 USD
USD 0.01 common Sale 89,207 25.0135 USD
USD 0.01 common Sale 227,800 25.0817 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: 5 Nov 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/)
View source version on businesswire.com:
https://www.businesswire.com/news/home/20211105005498/en/
(https://www.businesswire.com/news/home/20211105005498/en/)
BARCLAYS PLC
Copyright Business Wire 2021Recent news on Barclays
See all newsREG - Barclays PLC Spire Healthcare Grp - Form 8.3 SPIRE HEALTHCARE GROUP PLC
AnnouncementREG - Barclays PLC British Land Co PLC - Form 8.3 BRITISH LAND COMPANY PLC, THE
AnnouncementREG - Barclays PLC IQE PLC - Form 8.3 IQE PLC
AnnouncementREG - Barclays PLC Intnl Personal Fin - Form 8.3 INTERNATIONAL PERSONAL FINANCE PLC
AnnouncementREG - Barclays PLC JTC PLC - Form 8.3 JTC PLC
Announcement