REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
23/11/2021 12:15
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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 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: 22 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: 1,659,274 0.29% 996,514 0.17%
(2) Cash-settled derivatives:
903,072 0.16% 1,310,292 0.23%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 2,100 0.00%
(4)
TOTAL: 2,562,346 0.44% 2,308,906 0.40%
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 24.9900 USD
USD 0.01 common Purchase 1 24.7250 USD
USD 0.01 common Purchase 1 24.8900 USD
USD 0.01 common Purchase 1 24.9000 USD
USD 0.01 common Purchase 2 24.8800 USD
USD 0.01 common Purchase 2 24.9300 USD
USD 0.01 common Purchase 4 24.9275 USD
USD 0.01 common Purchase 6 24.8966 USD
USD 0.01 common Purchase 19 24.9605 USD
USD 0.01 common Purchase 71 24.7467 USD
USD 0.01 common Purchase 100 24.8750 USD
USD 0.01 common Purchase 246 24.7404 USD
USD 0.01 common Purchase 287 21.8747 EUR
USD 0.01 common Purchase 291 24.8595 USD
USD 0.01 common Purchase 300 24.8300 USD
USD 0.01 common Purchase 391 24.8363 USD
USD 0.01 common Purchase 457 24.8716 USD
USD 0.01 common Purchase 500 24.9640 USD
USD 0.01 common Purchase 596 22.0791 EUR
USD 0.01 common Purchase 604 24.8616 USD
USD 0.01 common Purchase 740 24.8480 USD
USD 0.01 common Purchase 806 24.8245 USD
USD 0.01 common Purchase 817 24.8579 USD
USD 0.01 common Purchase 924 24.9407 USD
USD 0.01 common Purchase 1,060 24.9005 USD
USD 0.01 common Purchase 1,466 24.9492 USD
USD 0.01 common Purchase 3,144 24.9262 USD
USD 0.01 common Purchase 3,231 24.8990 USD
USD 0.01 common Purchase 5,300 24.7400 USD
USD 0.01 common Purchase 9,002 25.0000 USD
USD 0.01 common Purchase 10,336 24.8842 USD
USD 0.01 common Purchase 13,665 24.8724 USD
USD 0.01 common Purchase 19,700 24.8504 USD
USD 0.01 common Purchase 28,750 24.7520 USD
USD 0.01 common Purchase 49,545 24.8661 USD
USD 0.01 common Purchase 141,258 24.7867 USD
USD 0.01 common Purchase 191,912 24.7413 USD
USD 0.01 common Sale 4 24.7100 USD
USD 0.01 common Sale 8 24.8700 USD
USD 0.01 common Sale 46 24.8400 USD
USD 0.01 common Sale 57 24.8650 USD
USD 0.01 common Sale 68 24.8900 USD
USD 0.01 common Sale 91 24.7472 USD
USD 0.01 common Sale 100 24.7550 USD
USD 0.01 common Sale 100 24.8800 USD
USD 0.01 common Sale 100 24.8550 USD
USD 0.01 common Sale 103 24.8467 USD
USD 0.01 common Sale 107 24.8108 USD
USD 0.01 common Sale 170 24.8718 USD
USD 0.01 common Sale 208 24.7726 USD
USD 0.01 common Sale 223 24.7974 USD
USD 0.01 common Sale 252 24.7432 USD
USD 0.01 common Sale 287 21.8747 EUR
USD 0.01 common Sale 292 24.8194 USD
USD 0.01 common Sale 296 24.8156 USD
USD 0.01 common Sale 300 24.8750 USD
USD 0.01 common Sale 309 24.8780 USD
USD 0.01 common Sale 388 24.8476 USD
USD 0.01 common Sale 526 24.8345 USD
USD 0.01 common Sale 540 24.8462 USD
USD 0.01 common Sale 596 22.0791 EUR
USD 0.01 common Sale 700 24.8185 USD
USD 0.01 common Sale 700 24.7500 USD
USD 0.01 common Sale 1,330 24.8207 USD
USD 0.01 common Sale 1,449 24.8992 USD
USD 0.01 common Sale 1,528 24.9578 USD
USD 0.01 common Sale 1,910 25.0000 USD
USD 0.01 common Sale 2,731 24.9410 USD
USD 0.01 common Sale 3,743 24.8543 USD
USD 0.01 common Sale 7,422 24.8291 USD
USD 0.01 common Sale 9,389 24.7400 USD
USD 0.01 common Sale 13,925 24.7832 USD
USD 0.01 common Sale 20,513 24.8494 USD
USD 0.01 common Sale 28,292 24.7479 USD
USD 0.01 common Sale 66,220 24.8903 USD
USD 0.01 common Sale 127,352 24.7819 USD
USD 0.01 common Sale 189,703 24.7402 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: 23 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 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/) .
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