REG-BARCLAYS PLC FORM 8.3 - NORTONLIFELOCK INC.
10/11/2021 10:40
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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: 09 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: 1,839,881 0.32% 991,167 0.17%
(2) Cash-settled derivatives:
645,961 0.11% 2,615,348 0.45%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
(4)
TOTAL: 2,486,342 0.43% 3,608,615 0.62%
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%
(4)
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 25.0500 USD
USD 0.01 common Purchase 9 26.0966 USD
USD 0.01 common Purchase 31 25.0300 USD
USD 0.01 common Purchase 32 25.1550 USD
USD 0.01 common Purchase 41 25.0700 USD
USD 0.01 common Purchase 41 25.0550 USD
USD 0.01 common Purchase 41 25.1150 USD
USD 0.01 common Purchase 41 25.1000 USD
USD 0.01 common Purchase 63 25.2000 USD
USD 0.01 common Purchase 82 25.0875 USD
USD 0.01 common Purchase 82 25.1075 USD
USD 0.01 common Purchase 82 25.0825 USD
USD 0.01 common Purchase 164 25.1137 USD
USD 0.01 common Purchase 243 25.0850 USD
USD 0.01 common Purchase 308 25.1200 USD
USD 0.01 common Purchase 362 25.5200 USD
USD 0.01 common Purchase 400 25.3500 USD
USD 0.01 common Purchase 961 25.9800 USD
USD 0.01 common Purchase 1,073 25.0964 USD
USD 0.01 common Purchase 1,200 25.1212 USD
USD 0.01 common Purchase 2,000 25.1107 USD
USD 0.01 common Purchase 2,100 25.1169 USD
USD 0.01 common Purchase 2,100 25.0495 USD
USD 0.01 common Purchase 2,209 25.1160 USD
USD 0.01 common Purchase 2,588 25.0886 USD
USD 0.01 common Purchase 2,600 25.2188 USD
USD 0.01 common Purchase 2,803 25.0745 USD
USD 0.01 common Purchase 2,822 25.1568 USD
USD 0.01 common Purchase 2,882 25.1156 USD
USD 0.01 common Purchase 2,963 25.4598 USD
USD 0.01 common Purchase 2,982 25.2417 USD
USD 0.01 common Purchase 3,020 25.7640 USD
USD 0.01 common Purchase 3,382 25.7379 USD
USD 0.01 common Purchase 3,739 25.1101 USD
USD 0.01 common Purchase 4,065 25.2966 USD
USD 0.01 common Purchase 5,534 25.2219 USD
USD 0.01 common Purchase 5,944 25.1005 USD
USD 0.01 common Purchase 8,074 25.0661 USD
USD 0.01 common Purchase 8,883 25.1100 USD
USD 0.01 common Purchase 14,191 25.3730 USD
USD 0.01 common Purchase 16,213 25.1449 USD
USD 0.01 common Purchase 16,491 25.1099 USD
USD 0.01 common Purchase 19,086 25.3352 USD
USD 0.01 common Purchase 23,261 25.2963 USD
USD 0.01 common Purchase 38,958 25.4238 USD
USD 0.01 common Purchase 43,191 25.1429 USD
USD 0.01 common Purchase 60,963 25.3131 USD
USD 0.01 common Purchase 86,136 25.1104 USD
USD 0.01 common Purchase 94,046 25.0575 USD
USD 0.01 common Sale 18 25.5883 USD
USD 0.01 common Sale 58 25.4625 USD
USD 0.01 common Sale 84 25.4063 USD
USD 0.01 common Sale 100 25.1250 USD
USD 0.01 common Sale 100 25.7550 USD
USD 0.01 common Sale 100 25.0700 USD
USD 0.01 common Sale 102 25.0856 USD
USD 0.01 common Sale 131 25.1497 USD
USD 0.01 common Sale 157 25.5448 USD
USD 0.01 common Sale 158 25.2067 USD
USD 0.01 common Sale 186 25.0681 USD
USD 0.01 common Sale 202 25.0703 USD
USD 0.01 common Sale 224 25.6154 USD
USD 0.01 common Sale 243 25.0850 USD
USD 0.01 common Sale 300 25.1216 USD
USD 0.01 common Sale 320 25.1200 USD
USD 0.01 common Sale 329 25.0881 USD
USD 0.01 common Sale 333 25.1108 USD
USD 0.01 common Sale 400 25.0662 USD
USD 0.01 common Sale 714 25.7789 USD
USD 0.01 common Sale 842 25.1222 USD
USD 0.01 common Sale 899 25.1025 USD
USD 0.01 common Sale 961 25.9800 USD
USD 0.01 common Sale 1,057 25.1047 USD
USD 0.01 common Sale 1,136 25.7604 USD
USD 0.01 common Sale 1,989 25.7393 USD
USD 0.01 common Sale 2,000 25.1160 USD
USD 0.01 common Sale 2,055 25.1387 USD
USD 0.01 common Sale 3,615 25.2208 USD
USD 0.01 common Sale 4,043 25.1488 USD
USD 0.01 common Sale 7,995 25.4233 USD
USD 0.01 common Sale 10,858 25.2753 USD
USD 0.01 common Sale 11,615 25.4265 USD
USD 0.01 common Sale 16,193 25.1477 USD
USD 0.01 common Sale 20,909 25.2535 USD
USD 0.01 common Sale 29,083 25.2766 USD
USD 0.01 common Sale 29,357 25.1100 USD
USD 0.01 common Sale 33,093 25.4755 USD
USD 0.01 common Sale 42,642 25.1321 USD
USD 0.01 common Sale 51,200 25.3358 USD
USD 0.01 common Sale 209,300 25.0835 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: 10 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=52527768&newsitemid=20211110005678&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=0bd65033a7d863ac958258f784042317)
.
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=52527768&newsitemid=20211110005678&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=3e74176981843eb3330c20bf49a211f4)
View source version on businesswire.com:
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