REG-BARCLAYS PLC FORM 8.3 - NORTONLIFELOCK INC
16/11/2021 12:50
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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: 15 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: 2,002,166 0.34% 953,460 0.16%
(2) Cash-settled derivatives:
657,477 0.11% 1,307,674 0.22%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
TOTAL: 2,660,143 0.46% 2,263,234 0.39%
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 10 22.1550 EUR
USD 0.01 common Purchase 22 25.1900 USD
USD 0.01 common Purchase 38 25.1100 USD
USD 0.01 common Purchase 44 25.0900 USD
USD 0.01 common Purchase 65 25.2200 USD
USD 0.01 common Purchase 66 25.0066 USD
USD 0.01 common Purchase 66 25.0933 USD
USD 0.01 common Purchase 82 24.6792 USD
USD 0.01 common Purchase 88 25.0575 USD
USD 0.01 common Purchase 88 25.0850 USD
USD 0.01 common Purchase 100 25.2400 USD
USD 0.01 common Purchase 100 25.1750 USD
USD 0.01 common Purchase 100 25.1350 USD
USD 0.01 common Purchase 100 25.2100 USD
USD 0.01 common Purchase 122 24.8304 USD
USD 0.01 common Purchase 140 25.0442 USD
USD 0.01 common Purchase 191 25.0250 USD
USD 0.01 common Purchase 200 25.0950 USD
USD 0.01 common Purchase 200 25.0750 USD
USD 0.01 common Purchase 300 24.9400 USD
USD 0.01 common Purchase 300 24.9783 USD
USD 0.01 common Purchase 310 24.6683 USD
USD 0.01 common Purchase 349 25.1471 USD
USD 0.01 common Purchase 366 25.0583 USD
USD 0.01 common Purchase 378 24.9521 USD
USD 0.01 common Purchase 388 22.2655 EUR
USD 0.01 common Purchase 400 24.7000 USD
USD 0.01 common Purchase 400 24.8975 USD
USD 0.01 common Purchase 412 24.8749 USD
USD 0.01 common Purchase 534 25.0842 USD
USD 0.01 common Purchase 600 24.8716 USD
USD 0.01 common Purchase 689 24.6417 USD
USD 0.01 common Purchase 700 25.0221 USD
USD 0.01 common Purchase 800 24.9175 USD
USD 0.01 common Purchase 800 25.0400 USD
USD 0.01 common Purchase 1,018 24.7454 USD
USD 0.01 common Purchase 1,175 24.6542 USD
USD 0.01 common Purchase 1,280 24.9983 USD
USD 0.01 common Purchase 1,300 25.0111 USD
USD 0.01 common Purchase 1,341 24.9137 USD
USD 0.01 common Purchase 1,516 24.6941 USD
USD 0.01 common Purchase 1,800 24.6530 USD
USD 0.01 common Purchase 1,900 24.8744 USD
USD 0.01 common Purchase 2,258 24.8842 USD
USD 0.01 common Purchase 2,400 25.1995 USD
USD 0.01 common Purchase 2,787 25.0904 USD
USD 0.01 common Purchase 3,037 24.7007 USD
USD 0.01 common Purchase 3,067 25.1105 USD
USD 0.01 common Purchase 3,261 24.7341 USD
USD 0.01 common Purchase 3,417 24.6957 USD
USD 0.01 common Purchase 3,449 24.6704 USD
USD 0.01 common Purchase 3,613 24.5667 USD
USD 0.01 common Purchase 3,776 24.6776 USD
USD 0.01 common Purchase 4,007 24.6228 USD
USD 0.01 common Purchase 4,400 24.7252 USD
USD 0.01 common Purchase 5,218 25.1492 USD
USD 0.01 common Purchase 6,639 25.0271 USD
USD 0.01 common Purchase 6,685 25.1500 USD
USD 0.01 common Purchase 6,946 25.1812 USD
USD 0.01 common Purchase 7,600 25.1519 USD
USD 0.01 common Purchase 10,569 25.1000 USD
USD 0.01 common Purchase 11,446 24.7862 USD
USD 0.01 common Purchase 13,370 24.9876 USD
USD 0.01 common Purchase 16,462 25.0677 USD
USD 0.01 common Purchase 17,952 24.6789 USD
USD 0.01 common Purchase 18,526 24.7141 USD
USD 0.01 common Purchase 19,320 25.4000 USD
USD 0.01 common Purchase 28,756 24.6816 USD
USD 0.01 common Purchase 28,756 24.6567 USD
USD 0.01 common Purchase 30,000 24.8082 USD
USD 0.01 common Purchase 30,499 25.0815 USD
USD 0.01 common Purchase 32,692 24.9402 USD
USD 0.01 common Purchase 34,522 24.9518 USD
USD 0.01 common Purchase 39,344 24.8941 USD
USD 0.01 common Purchase 42,080 24.9532 USD
USD 0.01 common Purchase 44,714 24.6699 USD
USD 0.01 common Purchase 51,406 25.1515 USD
USD 0.01 common Purchase 89,717 24.9388 USD
USD 0.01 common Purchase 118,712 24.8416 USD
USD 0.01 common Purchase 143,223 24.9988 USD
USD 0.01 common Purchase 478,587 24.5738 USD
USD 0.01 common Sale 10 22.1550 EUR
USD 0.01 common Sale 27 24.7100 USD
USD 0.01 common Sale 28 25.0800 USD
USD 0.01 common Sale 41 24.6792 USD
USD 0.01 common Sale 80 25.1426 USD
USD 0.01 common Sale 93 24.5550 USD
USD 0.01 common Sale 94 24.8672 USD
USD 0.01 common Sale 100 24.7050 USD
USD 0.01 common Sale 100 24.5600 USD
USD 0.01 common Sale 100 24.5500 USD
USD 0.01 common Sale 102 24.7237 USD
USD 0.01 common Sale 114 24.6573 USD
USD 0.01 common Sale 129 25.1244 USD
USD 0.01 common Sale 133 24.7830 USD
USD 0.01 common Sale 156 24.7375 USD
USD 0.01 common Sale 196 24.8503 USD
USD 0.01 common Sale 200 24.6050 USD
USD 0.01 common Sale 200 24.5200 USD
USD 0.01 common Sale 200 24.6450 USD
USD 0.01 common Sale 200 25.0660 USD
USD 0.01 common Sale 259 25.0696 USD
USD 0.01 common Sale 300 24.5133 USD
USD 0.01 common Sale 300 24.7166 USD
USD 0.01 common Sale 300 25.0100 USD
USD 0.01 common Sale 343 24.7526 USD
USD 0.01 common Sale 388 22.2655 EUR
USD 0.01 common Sale 400 24.8150 USD
USD 0.01 common Sale 400 24.5825 USD
USD 0.01 common Sale 457 24.6224 USD
USD 0.01 common Sale 500 24.7350 USD
USD 0.01 common Sale 500 24.7630 USD
USD 0.01 common Sale 500 24.6320 USD
USD 0.01 common Sale 500 24.8160 USD
USD 0.01 common Sale 528 24.5767 USD
USD 0.01 common Sale 535 25.3000 USD
USD 0.01 common Sale 600 25.2333 USD
USD 0.01 common Sale 700 24.5110 USD
USD 0.01 common Sale 849 25.0701 USD
USD 0.01 common Sale 900 24.4833 USD
USD 0.01 common Sale 1,000 24.5370 USD
USD 0.01 common Sale 1,298 25.1202 USD
USD 0.01 common Sale 1,324 24.5536 USD
USD 0.01 common Sale 1,381 24.5036 USD
USD 0.01 common Sale 2,000 24.7700 USD
USD 0.01 common Sale 2,100 25.3190 USD
USD 0.01 common Sale 2,129 24.5103 USD
USD 0.01 common Sale 2,305 24.7569 USD
USD 0.01 common Sale 2,730 24.8438 USD
USD 0.01 common Sale 2,787 25.0904 USD
USD 0.01 common Sale 3,433 24.5388 USD
USD 0.01 common Sale 3,601 24.7274 USD
USD 0.01 common Sale 4,087 25.3384 USD
USD 0.01 common Sale 4,601 25.0967 USD
USD 0.01 common Sale 6,412 25.0378 USD
USD 0.01 common Sale 7,000 25.1449 USD
USD 0.01 common Sale 8,085 24.6053 USD
USD 0.01 common Sale 8,385 25.0740 USD
USD 0.01 common Sale 9,155 24.5009 USD
USD 0.01 common Sale 9,499 24.5150 USD
USD 0.01 common Sale 10,265 24.7190 USD
USD 0.01 common Sale 11,646 24.7889 USD
USD 0.01 common Sale 11,757 24.8352 USD
USD 0.01 common Sale 13,620 24.9959 USD
USD 0.01 common Sale 15,000 24.8082 USD
USD 0.01 common Sale 16,334 25.0103 USD
USD 0.01 common Sale 17,176 24.5025 USD
USD 0.01 common Sale 20,962 24.9067 USD
USD 0.01 common Sale 22,849 25.0424 USD
USD 0.01 common Sale 32,371 25.0682 USD
USD 0.01 common Sale 42,080 24.9532 USD
USD 0.01 common Sale 44,665 24.6707 USD
USD 0.01 common Sale 56,960 25.1500 USD
USD 0.01 common Sale 60,130 24.8545 USD
USD 0.01 common Sale 75,000 24.8959 USD
USD 0.01 common Sale 79,922 24.9320 USD
USD 0.01 common Sale 142,149 25.0032 USD
USD 0.01 common Sale 481,956 24.5817 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 11,516 24.9404 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: 16 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=52531423&newsitemid=20211116005807&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=95de865a5bfbfe64da243693585ae5a6)
.
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=52531423&newsitemid=20211116005807&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=146d09975ec0f78fe305d316cf222ba4)
.
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