REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
30/11/2021 12:05
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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: 29 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: 1,705,225 0.29% 908,764 0.16%
(2) Cash-settled derivatives:
635,572 0.11% 3,023,718 0.52%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 2,100 0.00%
TOTAL: 2,340,797 0.40% 3,934,582 0.68%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 386,000 0.07% 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: 386,000 0.07% 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 16,000 126.4375 USD
Convertible Bond Sale 8,000 126.4375 USD
USD 0.01 common Purchase 2 25.1950 USD
USD 0.01 common Purchase 18 25.1100 USD
USD 0.01 common Purchase 100 25.3300 USD
USD 0.01 common Purchase 100 25.3900 USD
USD 0.01 common Purchase 127 25.1257 USD
USD 0.01 common Purchase 165 25.4389 USD
USD 0.01 common Purchase 179 22.5250 EUR
USD 0.01 common Purchase 223 25.2900 USD
USD 0.01 common Purchase 275 25.3463 USD
USD 0.01 common Purchase 361 25.2069 USD
USD 0.01 common Purchase 423 22.6010 EUR
USD 0.01 common Purchase 425 25.3517 USD
USD 0.01 common Purchase 500 25.2980 USD
USD 0.01 common Purchase 500 25.3500 USD
USD 0.01 common Purchase 500 25.4150 USD
USD 0.01 common Purchase 700 25.3200 USD
USD 0.01 common Purchase 746 25.3060 USD
USD 0.01 common Purchase 866 25.2981 USD
USD 0.01 common Purchase 888 25.2826 USD
USD 0.01 common Purchase 1,037 25.3602 USD
USD 0.01 common Purchase 1,085 25.3457 USD
USD 0.01 common Purchase 1,271 25.3379 USD
USD 0.01 common Purchase 2,402 25.3251 USD
USD 0.01 common Purchase 5,931 25.2615 USD
USD 0.01 common Purchase 11,337 25.3931 USD
USD 0.01 common Purchase 11,676 25.3100 USD
USD 0.01 common Purchase 12,857 25.3867 USD
USD 0.01 common Purchase 22,637 25.3083 USD
USD 0.01 common Purchase 34,456 25.3687 USD
USD 0.01 common Purchase 70,545 25.3283 USD
USD 0.01 common Purchase 72,698 25.3098 USD
USD 0.01 common Purchase 126,323 25.3802 USD
USD 0.01 common Sale 65 25.4450 USD
USD 0.01 common Sale 100 25.3700 USD
USD 0.01 common Sale 100 25.1200 USD
USD 0.01 common Sale 179 22.5250 EUR
USD 0.01 common Sale 200 25.0100 USD
USD 0.01 common Sale 211 25.4531 USD
USD 0.01 common Sale 221 25.2619 USD
USD 0.01 common Sale 423 22.6010 EUR
USD 0.01 common Sale 500 25.4050 USD
USD 0.01 common Sale 636 25.2520 USD
USD 0.01 common Sale 765 25.3500 USD
USD 0.01 common Sale 824 25.2578 USD
USD 0.01 common Sale 1,330 25.2960 USD
USD 0.01 common Sale 1,457 25.2478 USD
USD 0.01 common Sale 1,781 25.4536 USD
USD 0.01 common Sale 2,188 25.3943 USD
USD 0.01 common Sale 3,139 25.2764 USD
USD 0.01 common Sale 4,200 25.3809 USD
USD 0.01 common Sale 5,541 25.3970 USD
USD 0.01 common Sale 6,007 25.3705 USD
USD 0.01 common Sale 6,247 25.4071 USD
USD 0.01 common Sale 6,739 25.3984 USD
USD 0.01 common Sale 8,799 25.3106 USD
USD 0.01 common Sale 9,293 25.3929 USD
USD 0.01 common Sale 9,636 25.3100 USD
USD 0.01 common Sale 18,162 25.3056 USD
USD 0.01 common Sale 64,785 25.3810 USD
USD 0.01 common Sale 72,698 25.3098 USD
USD 0.01 common Sale 74,780 25.3295 USD
USD 0.01 common Sale 78,972 25.3694 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: 30 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=52542249&newsitemid=20211130005627&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=656a10f6c07653461aed71d966107760)
.
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=52542249&newsitemid=20211130005627&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=a1ed85dd49e9064602d65c2e31c886bc)
.
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