REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
29/11/2021 12:25
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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: 26 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: 1,632,815 0.28% 927,687 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%
TOTAL: 2,268,387 0.39% 2,240,079 0.39%
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%
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
USD 0.01 common Purchase 1 25.1400 USD
USD 0.01 common Purchase 3 25.1433 USD
USD 0.01 common Purchase 4 25.0300 USD
USD 0.01 common Purchase 6 25.0700 USD
USD 0.01 common Purchase 8 25.0937 USD
USD 0.01 common Purchase 9 24.9725 USD
USD 0.01 common Purchase 9 25.0966 USD
USD 0.01 common Purchase 10 25.0870 USD
USD 0.01 common Purchase 12 25.0475 USD
USD 0.01 common Purchase 21 25.0271 USD
USD 0.01 common Purchase 22 24.9763 USD
USD 0.01 common Purchase 122 25.1500 USD
USD 0.01 common Purchase 162 24.9761 USD
USD 0.01 common Purchase 200 25.0825 USD
USD 0.01 common Purchase 204 25.1100 USD
USD 0.01 common Purchase 238 25.0400 USD
USD 0.01 common Purchase 288 22.1364 EUR
USD 0.01 common Purchase 302 25.0927 USD
USD 0.01 common Purchase 802 25.0360 USD
USD 0.01 common Purchase 1,100 25.1081 USD
USD 0.01 common Purchase 1,378 25.0096 USD
USD 0.01 common Purchase 2,898 25.0906 USD
USD 0.01 common Purchase 4,531 25.0205 USD
USD 0.01 common Purchase 4,801 25.0973 USD
USD 0.01 common Purchase 6,469 25.0530 USD
USD 0.01 common Purchase 17,499 24.9898 USD
USD 0.01 common Purchase 24,601 24.9902 USD
USD 0.01 common Purchase 25,375 24.9900 USD
USD 0.01 common Purchase 33,189 24.9991 USD
USD 0.01 common Purchase 35,172 24.9872 USD
USD 0.01 common Purchase 38,363 25.0910 USD
USD 0.01 common Sale 1 25.0900 USD
USD 0.01 common Sale 2 25.0000 USD
USD 0.01 common Sale 2 25.0650 USD
USD 0.01 common Sale 3 25.0700 USD
USD 0.01 common Sale 3 25.0733 USD
USD 0.01 common Sale 5 25.0380 USD
USD 0.01 common Sale 6 25.1016 USD
USD 0.01 common Sale 6 25.0350 USD
USD 0.01 common Sale 6 25.0600 USD
USD 0.01 common Sale 6 25.0716 USD
USD 0.01 common Sale 6 25.0533 USD
USD 0.01 common Sale 7 25.0678 USD
USD 0.01 common Sale 9 24.9725 USD
USD 0.01 common Sale 9 25.0100 USD
USD 0.01 common Sale 9 25.0822 USD
USD 0.01 common Sale 9 25.0433 USD
USD 0.01 common Sale 11 25.0536 USD
USD 0.01 common Sale 12 25.0441 USD
USD 0.01 common Sale 12 25.0458 USD
USD 0.01 common Sale 13 25.1038 USD
USD 0.01 common Sale 14 25.0460 USD
USD 0.01 common Sale 14 25.0625 USD
USD 0.01 common Sale 30 25.0590 USD
USD 0.01 common Sale 31 25.0654 USD
USD 0.01 common Sale 49 25.0411 USD
USD 0.01 common Sale 100 25.0400 USD
USD 0.01 common Sale 110 25.0513 USD
USD 0.01 common Sale 111 25.0691 USD
USD 0.01 common Sale 133 25.0448 USD
USD 0.01 common Sale 166 25.0826 USD
USD 0.01 common Sale 200 25.0270 USD
USD 0.01 common Sale 209 25.0371 USD
USD 0.01 common Sale 222 25.0463 USD
USD 0.01 common Sale 230 25.0581 USD
USD 0.01 common Sale 263 25.0683 USD
USD 0.01 common Sale 281 25.0615 USD
USD 0.01 common Sale 286 25.0490 USD
USD 0.01 common Sale 288 22.1364 EUR
USD 0.01 common Sale 296 25.0520 USD
USD 0.01 common Sale 356 25.0343 USD
USD 0.01 common Sale 402 25.0150 USD
USD 0.01 common Sale 1,090 25.0262 USD
USD 0.01 common Sale 1,596 25.1347 USD
USD 0.01 common Sale 1,697 25.1034 USD
USD 0.01 common Sale 1,778 25.0904 USD
USD 0.01 common Sale 1,837 25.1100 USD
USD 0.01 common Sale 2,806 25.0414 USD
USD 0.01 common Sale 3,223 25.1019 USD
USD 0.01 common Sale 4,618 25.1012 USD
USD 0.01 common Sale 5,499 25.0787 USD
USD 0.01 common Sale 12,377 25.1047 USD
USD 0.01 common Sale 14,662 25.0813 USD
USD 0.01 common Sale 15,494 25.0461 USD
USD 0.01 common Sale 17,499 24.9898 USD
USD 0.01 common Sale 24,827 24.9757 USD
USD 0.01 common Sale 35,151 24.9872 USD
USD 0.01 common Sale 96,636 24.9900 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: 29 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=52541400&newsitemid=20211129005393&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=1f76d3a30dc7cff2e54f77917b1d6687)
.
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=52541400&newsitemid=20211129005393&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=ed6a80c2082c3a5334a0bda2460f7ceb)
.
View source version on businesswire.com:
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