REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
18/11/2021 11:25
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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: 17 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: 1,635,231 0.28% 793,447 0.14%
(2) Cash-settled derivatives:
577,577 0.10% 1,308,983 0.23%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
TOTAL: 2,213,308 0.38% 2,104,530 0.36%
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 9 22.3600 EUR
USD 0.01 common Purchase 32 24.9762 USD
USD 0.01 common Purchase 34 25.0235 USD
USD 0.01 common Purchase 38 24.9647 USD
USD 0.01 common Purchase 39 25.0200 USD
USD 0.01 common Purchase 40 25.0040 USD
USD 0.01 common Purchase 51 25.0578 USD
USD 0.01 common Purchase 58 25.0600 USD
USD 0.01 common Purchase 72 25.0444 USD
USD 0.01 common Purchase 74 25.0378 USD
USD 0.01 common Purchase 104 25.0084 USD
USD 0.01 common Purchase 105 25.0309 USD
USD 0.01 common Purchase 110 25.0267 USD
USD 0.01 common Purchase 115 24.9900 USD
USD 0.01 common Purchase 118 25.0211 USD
USD 0.01 common Purchase 118 25.0048 USD
USD 0.01 common Purchase 200 25.0025 USD
USD 0.01 common Purchase 240 22.1600 EUR
USD 0.01 common Purchase 300 25.0500 USD
USD 0.01 common Purchase 600 24.9550 USD
USD 0.01 common Purchase 1,000 25.0390 USD
USD 0.01 common Purchase 1,081 24.9789 USD
USD 0.01 common Purchase 1,230 25.1000 USD
USD 0.01 common Purchase 1,341 25.0154 USD
USD 0.01 common Purchase 1,681 24.9583 USD
USD 0.01 common Purchase 3,422 25.2000 USD
USD 0.01 common Purchase 4,048 24.9869 USD
USD 0.01 common Purchase 4,800 25.0229 USD
USD 0.01 common Purchase 5,041 25.0014 USD
USD 0.01 common Purchase 10,451 25.0670 USD
USD 0.01 common Purchase 12,113 25.0263 USD
USD 0.01 common Purchase 22,288 25.1913 USD
USD 0.01 common Purchase 50,197 24.9500 USD
USD 0.01 common Purchase 52,757 25.0244 USD
USD 0.01 common Purchase 161,854 24.9503 USD
USD 0.01 common Sale 2 25.0500 USD
USD 0.01 common Sale 3 24.9850 USD
USD 0.01 common Sale 3 25.1400 USD
USD 0.01 common Sale 3 25.3333 USD
USD 0.01 common Sale 4 25.3350 USD
USD 0.01 common Sale 9 22.3600 EUR
USD 0.01 common Sale 15 24.9900 USD
USD 0.01 common Sale 23 24.9745 USD
USD 0.01 common Sale 24 24.9700 USD
USD 0.01 common Sale 27 24.9450 USD
USD 0.01 common Sale 27 24.9961 USD
USD 0.01 common Sale 40 24.9875 USD
USD 0.01 common Sale 45 24.9893 USD
USD 0.01 common Sale 47 25.0244 USD
USD 0.01 common Sale 47 24.9887 USD
USD 0.01 common Sale 76 24.9525 USD
USD 0.01 common Sale 76 24.9975 USD
USD 0.01 common Sale 76 24.9950 USD
USD 0.01 common Sale 112 25.1685 USD
USD 0.01 common Sale 114 24.9600 USD
USD 0.01 common Sale 114 24.9800 USD
USD 0.01 common Sale 115 24.9648 USD
USD 0.01 common Sale 116 25.0600 USD
USD 0.01 common Sale 240 22.1600 EUR
USD 0.01 common Sale 328 25.2317 USD
USD 0.01 common Sale 388 25.0100 USD
USD 0.01 common Sale 403 25.0893 USD
USD 0.01 common Sale 448 25.2647 USD
USD 0.01 common Sale 797 25.2774 USD
USD 0.01 common Sale 938 25.0000 USD
USD 0.01 common Sale 1,000 25.0390 USD
USD 0.01 common Sale 1,230 25.1000 USD
USD 0.01 common Sale 1,300 25.0276 USD
USD 0.01 common Sale 2,287 25.0052 USD
USD 0.01 common Sale 2,412 25.0191 USD
USD 0.01 common Sale 2,750 25.0221 USD
USD 0.01 common Sale 3,576 25.2000 USD
USD 0.01 common Sale 3,984 25.0077 USD
USD 0.01 common Sale 4,213 25.0607 USD
USD 0.01 common Sale 4,332 25.1197 USD
USD 0.01 common Sale 5,199 25.0137 USD
USD 0.01 common Sale 6,345 24.9500 USD
USD 0.01 common Sale 7,893 25.0079 USD
USD 0.01 common Sale 8,689 25.0085 USD
USD 0.01 common Sale 9,465 25.0050 USD
USD 0.01 common Sale 9,585 25.0217 USD
USD 0.01 common Sale 14,069 25.0179 USD
USD 0.01 common Sale 20,750 25.1841 USD
USD 0.01 common Sale 44,273 24.9501 USD
USD 0.01 common Sale 63,508 25.0205 USD
USD 0.01 common Sale 162,772 24.9506 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: 18 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=52534149&newsitemid=20211118005695&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=f0419b8fb53d87b2a4982d0354080d36)
.
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=52534149&newsitemid=20211118005695&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=218670f7111b318e81dcead33701036a)
.
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