REG-BARCLAYS PLC FORM 8.3 – NORTONLIFELOCK INC
08/11/2021 11:50
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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: 05 November 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: 1,753,827 0.30% 1,026,818 0.18%
(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%
TOTAL: 2,650,688 0.46% 2,057,240 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% 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: 376,000 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 24.4900 USD
USD 0.01 common Purchase 3 25.5000 USD
USD 0.01 common Purchase 10 24.7650 USD
USD 0.01 common Purchase 11 24.5927 USD
USD 0.01 common Purchase 21 25.5800 USD
USD 0.01 common Purchase 33 24.5800 USD
USD 0.01 common Purchase 37 24.7651 USD
USD 0.01 common Purchase 43 25.3665 USD
USD 0.01 common Purchase 105 24.4923 USD
USD 0.01 common Purchase 115 24.7639 USD
USD 0.01 common Purchase 200 24.6200 USD
USD 0.01 common Purchase 200 25.3200 USD
USD 0.01 common Purchase 201 24.6366 USD
USD 0.01 common Purchase 267 24.4337 USD
USD 0.01 common Purchase 321 24.7025 USD
USD 0.01 common Purchase 490 24.7048 USD
USD 0.01 common Purchase 500 24.7440 USD
USD 0.01 common Purchase 500 24.4650 USD
USD 0.01 common Purchase 508 24.4500 USD
USD 0.01 common Purchase 514 24.7152 USD
USD 0.01 common Purchase 541 24.7652 USD
USD 0.01 common Purchase 554 24.7325 USD
USD 0.01 common Purchase 600 24.7483 USD
USD 0.01 common Purchase 605 24.6687 USD
USD 0.01 common Purchase 700 24.5550 USD
USD 0.01 common Purchase 809 25.2228 USD
USD 0.01 common Purchase 812 24.6927 USD
USD 0.01 common Purchase 814 24.7327 USD
USD 0.01 common Purchase 839 24.4600 USD
USD 0.01 common Purchase 967 24.5508 USD
USD 0.01 common Purchase 1,614 24.4611 USD
USD 0.01 common Purchase 1,814 24.4516 USD
USD 0.01 common Purchase 2,341 24.7582 USD
USD 0.01 common Purchase 2,418 24.7679 USD
USD 0.01 common Purchase 2,610 24.4573 USD
USD 0.01 common Purchase 2,994 24.7702 USD
USD 0.01 common Purchase 3,218 24.6671 USD
USD 0.01 common Purchase 3,256 24.5804 USD
USD 0.01 common Purchase 4,287 24.5462 USD
USD 0.01 common Purchase 4,679 24.4613 USD
USD 0.01 common Purchase 5,152 24.8131 USD
USD 0.01 common Purchase 6,221 24.4518 USD
USD 0.01 common Purchase 6,600 24.4849 USD
USD 0.01 common Purchase 7,598 24.6602 USD
USD 0.01 common Purchase 11,121 24.7700 USD
USD 0.01 common Purchase 19,861 24.4699 USD
USD 0.01 common Purchase 41,600 24.7268 USD
USD 0.01 common Purchase 43,938 24.7162 USD
USD 0.01 common Purchase 53,178 24.6530 USD
USD 0.01 common Purchase 53,224 24.6898 USD
USD 0.01 common Purchase 55,937 24.8280 USD
USD 0.01 common Purchase 56,141 24.4660 USD
USD 0.01 common Purchase 77,404 24.8981 USD
USD 0.01 common Purchase 100,931 24.6307 USD
USD 0.01 common Purchase 140,912 24.7946 USD
USD 0.01 common Sale 1 24.8000 USD
USD 0.01 common Sale 2 25.1300 USD
USD 0.01 common Sale 10 24.5720 USD
USD 0.01 common Sale 100 25.7400 USD
USD 0.01 common Sale 165 24.7517 USD
USD 0.01 common Sale 201 24.6366 USD
USD 0.01 common Sale 281 24.7018 USD
USD 0.01 common Sale 352 24.8778 USD
USD 0.01 common Sale 403 24.8568 USD
USD 0.01 common Sale 559 24.6976 USD
USD 0.01 common Sale 603 24.7461 USD
USD 0.01 common Sale 682 24.6779 USD
USD 0.01 common Sale 725 24.7415 USD
USD 0.01 common Sale 742 24.6980 USD
USD 0.01 common Sale 752 24.7501 USD
USD 0.01 common Sale 770 24.7236 USD
USD 0.01 common Sale 790 24.6164 USD
USD 0.01 common Sale 1,000 24.7548 USD
USD 0.01 common Sale 1,120 24.7151 USD
USD 0.01 common Sale 1,385 24.6612 USD
USD 0.01 common Sale 1,589 24.8249 USD
USD 0.01 common Sale 2,418 24.7679 USD
USD 0.01 common Sale 4,124 24.8125 USD
USD 0.01 common Sale 4,174 25.1148 USD
USD 0.01 common Sale 4,461 24.8384 USD
USD 0.01 common Sale 6,900 24.8281 USD
USD 0.01 common Sale 6,996 24.7109 USD
USD 0.01 common Sale 7,123 24.8225 USD
USD 0.01 common Sale 7,207 24.8012 USD
USD 0.01 common Sale 7,293 24.7700 USD
USD 0.01 common Sale 7,518 24.8046 USD
USD 0.01 common Sale 8,325 24.9139 USD
USD 0.01 common Sale 8,500 24.8701 USD
USD 0.01 common Sale 8,700 24.7713 USD
USD 0.01 common Sale 8,915 24.8217 USD
USD 0.01 common Sale 9,000 24.8021 USD
USD 0.01 common Sale 10,284 24.8114 USD
USD 0.01 common Sale 10,828 24.7709 USD
USD 0.01 common Sale 11,306 24.7455 USD
USD 0.01 common Sale 12,557 24.7348 USD
USD 0.01 common Sale 12,609 24.7811 USD
USD 0.01 common Sale 14,825 24.6092 USD
USD 0.01 common Sale 38,407 24.7179 USD
USD 0.01 common Sale 40,149 24.7399 USD
USD 0.01 common Sale 41,600 24.7268 USD
USD 0.01 common Sale 46,919 24.6461 USD
USD 0.01 common Sale 53,470 24.5954 USD
USD 0.01 common Sale 54,666 24.8312 USD
USD 0.01 common Sale 54,954 24.7077 USD
USD 0.01 common Sale 59,418 24.6629 USD
USD 0.01 common Sale 66,884 24.8925 USD
USD 0.01 common Sale 101,721 24.4662 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: 8 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
(https://cts.businesswire.com/ct/CT?id=smartlink&url=http%3A%2F%2Fwww.thetakeoverpanel.org.uk%2F&esheet=52524760&newsitemid=20211108005590&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=b38052e550a0c3b1ca85b76f55ae9648)
.
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&esheet=52524760&newsitemid=20211108005590&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=2dd6d9be9920f0413cf5078ec064cacc)
.
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