REG-BARCLAYS PLC FORM 8.3 - NORTONLIFELOCK INC.
25/11/2021 13:25
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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: 24 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: 1,652,326 0.28% 908,365 0.16%
(2) Cash-settled derivatives:
635,572 0.11% 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: 2,287,898 0.39% 2,220,757 0.38%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 378,000 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: 378,000 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
Convertible Bond Purchase 4,000 125.3125 USD
Convertible Bond Sale 2,000 125.3125 USD
USD 0.01 common Purchase 23 25.2600 USD
USD 0.01 common Purchase 46 25.1875 USD
USD 0.01 common Purchase 46 25.1975 USD
USD 0.01 common Purchase 46 25.1950 USD
USD 0.01 common Purchase 46 25.1900 USD
USD 0.01 common Purchase 56 25.0150 USD
USD 0.01 common Purchase 56 24.9200 USD
USD 0.01 common Purchase 63 25.3000 USD
USD 0.01 common Purchase 69 25.2116 USD
USD 0.01 common Purchase 69 25.2333 USD
USD 0.01 common Purchase 100 25.2050 USD
USD 0.01 common Purchase 112 25.1700 USD
USD 0.01 common Purchase 145 25.2717 USD
USD 0.01 common Purchase 169 25.0402 USD
USD 0.01 common Purchase 177 24.9954 USD
USD 0.01 common Purchase 263 25.2790 USD
USD 0.01 common Purchase 263 25.2823 USD
USD 0.01 common Purchase 294 25.2363 USD
USD 0.01 common Purchase 326 25.2734 USD
USD 0.01 common Purchase 363 25.2806 USD
USD 0.01 common Purchase 400 24.9325 USD
USD 0.01 common Purchase 400 25.2837 USD
USD 0.01 common Purchase 600 25.0300 USD
USD 0.01 common Purchase 1,000 25.0180 USD
USD 0.01 common Purchase 1,093 25.2053 USD
USD 0.01 common Purchase 1,228 25.1640 USD
USD 0.01 common Purchase 1,301 25.1316 USD
USD 0.01 common Purchase 1,400 25.2850 USD
USD 0.01 common Purchase 1,497 25.1518 USD
USD 0.01 common Purchase 1,693 25.1913 USD
USD 0.01 common Purchase 2,632 25.2093 USD
USD 0.01 common Purchase 7,026 25.2000 USD
USD 0.01 common Purchase 7,550 24.8328 USD
USD 0.01 common Purchase 8,112 25.2026 USD
USD 0.01 common Purchase 10,340 25.2057 USD
USD 0.01 common Purchase 11,433 25.1998 USD
USD 0.01 common Purchase 19,786 25.0107 USD
USD 0.01 common Purchase 23,172 25.1692 USD
USD 0.01 common Purchase 58,854 25.1773 USD
USD 0.01 common Sale 8 24.8500 USD
USD 0.01 common Sale 29 25.1531 USD
USD 0.01 common Sale 46 25.1169 USD
USD 0.01 common Sale 56 25.0150 USD
USD 0.01 common Sale 56 25.1400 USD
USD 0.01 common Sale 56 24.9200 USD
USD 0.01 common Sale 65 25.1571 USD
USD 0.01 common Sale 68 25.1200 USD
USD 0.01 common Sale 70 25.1261 USD
USD 0.01 common Sale 84 25.1550 USD
USD 0.01 common Sale 100 24.8800 USD
USD 0.01 common Sale 100 24.8900 USD
USD 0.01 common Sale 171 25.2164 USD
USD 0.01 common Sale 200 24.9050 USD
USD 0.01 common Sale 200 24.8650 USD
USD 0.01 common Sale 201 25.2433 USD
USD 0.01 common Sale 212 25.2479 USD
USD 0.01 common Sale 259 25.2111 USD
USD 0.01 common Sale 300 24.8250 USD
USD 0.01 common Sale 300 24.9868 USD
USD 0.01 common Sale 300 24.8400 USD
USD 0.01 common Sale 382 25.1568 USD
USD 0.01 common Sale 396 25.2108 USD
USD 0.01 common Sale 500 25.2490 USD
USD 0.01 common Sale 608 24.9101 USD
USD 0.01 common Sale 960 25.1306 USD
USD 0.01 common Sale 1,314 25.1502 USD
USD 0.01 common Sale 1,342 25.1234 USD
USD 0.01 common Sale 1,447 24.8103 USD
USD 0.01 common Sale 2,584 25.1552 USD
USD 0.01 common Sale 2,805 25.1002 USD
USD 0.01 common Sale 4,043 25.2032 USD
USD 0.01 common Sale 5,303 24.8378 USD
USD 0.01 common Sale 5,934 25.2070 USD
USD 0.01 common Sale 6,601 25.2000 USD
USD 0.01 common Sale 10,313 25.2040 USD
USD 0.01 common Sale 11,566 25.1998 USD
USD 0.01 common Sale 16,310 25.1896 USD
USD 0.01 common Sale 22,918 25.1705 USD
USD 0.01 common Sale 24,346 25.0256 USD
USD 0.01 common Sale 35,665 25.1903 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: 25 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=52540321&newsitemid=20211125006008&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=9906e0028ef3709728c9678cb54d1e8f)
.
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 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=52540321&newsitemid=20211125006008&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=092b51608fd4a719cb2b43be14592432)
View source version on businesswire.com:
https://www.businesswire.com/news/home/20211125006008/en/
(https://www.businesswire.com/news/home/20211125006008/en/)
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