REG-BARCLAYS PLC FORM 8.3 - NORTONLIFELOCK INC
02/12/2021 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: 01 December 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: 1,678,993 0.29% 888,739 0.15%
(2) Cash-settled derivatives:
656,716 0.11% 1,513,168 0.26%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 2,100 0.00%
TOTAL: 2,335,709 0.40% 2,404,007 0.41%
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
USD 0.01 common Purchase 1 23.9700 USD
USD 0.01 common Purchase 1 23.8900 USD
USD 0.01 common Purchase 4 24.1650 USD
USD 0.01 common Purchase 4 23.9225 USD
USD 0.01 common Purchase 14 24.2800 USD
USD 0.01 common Purchase 24 23.9300 USD
USD 0.01 common Purchase 24 23.9000 USD
USD 0.01 common Purchase 26 23.8792 USD
USD 0.01 common Purchase 30 23.9200 USD
USD 0.01 common Purchase 43 23.9100 USD
USD 0.01 common Purchase 48 23.9350 USD
USD 0.01 common Purchase 51 23.9356 USD
USD 0.01 common Purchase 58 24.1500 USD
USD 0.01 common Purchase 82 23.8575 USD
USD 0.01 common Purchase 92 24.2436 USD
USD 0.01 common Purchase 100 24.7700 USD
USD 0.01 common Purchase 100 24.2700 USD
USD 0.01 common Purchase 100 24.4800 USD
USD 0.01 common Purchase 107 22.1100 EUR
USD 0.01 common Purchase 179 24.3635 USD
USD 0.01 common Purchase 183 24.2600 USD
USD 0.01 common Purchase 187 24.6288 USD
USD 0.01 common Purchase 244 24.1495 USD
USD 0.01 common Purchase 281 24.2759 USD
USD 0.01 common Purchase 304 24.3398 USD
USD 0.01 common Purchase 304 24.1603 USD
USD 0.01 common Purchase 307 24.0060 USD
USD 0.01 common Purchase 325 24.2326 USD
USD 0.01 common Purchase 346 24.3508 USD
USD 0.01 common Purchase 363 24.2531 USD
USD 0.01 common Purchase 386 24.2921 USD
USD 0.01 common Purchase 400 24.2587 USD
USD 0.01 common Purchase 463 24.2189 USD
USD 0.01 common Purchase 557 24.1792 USD
USD 0.01 common Purchase 586 24.1613 USD
USD 0.01 common Purchase 600 24.1350 USD
USD 0.01 common Purchase 646 23.8787 USD
USD 0.01 common Purchase 709 24.2910 USD
USD 0.01 common Purchase 900 24.4144 USD
USD 0.01 common Purchase 912 23.9109 USD
USD 0.01 common Purchase 1,200 24.2491 USD
USD 0.01 common Purchase 1,500 24.4113 USD
USD 0.01 common Purchase 3,491 24.2241 USD
USD 0.01 common Purchase 5,820 24.0746 USD
USD 0.01 common Purchase 5,891 24.2497 USD
USD 0.01 common Purchase 6,489 24.1748 USD
USD 0.01 common Purchase 11,308 23.9026 USD
USD 0.01 common Purchase 14,324 24.1914 USD
USD 0.01 common Purchase 20,457 24.1981 USD
USD 0.01 common Purchase 37,172 23.8200 USD
USD 0.01 common Purchase 43,487 24.2500 USD
USD 0.01 common Purchase 79,896 24.2418 USD
USD 0.01 common Purchase 105,999 23.9609 USD
USD 0.01 common Sale 4 23.8825 USD
USD 0.01 common Sale 7 24.2650 USD
USD 0.01 common Sale 7 24.2800 USD
USD 0.01 common Sale 14 23.9428 USD
USD 0.01 common Sale 14 24.2235 USD
USD 0.01 common Sale 21 23.8550 USD
USD 0.01 common Sale 21 23.8700 USD
USD 0.01 common Sale 21 23.9500 USD
USD 0.01 common Sale 42 23.9200 USD
USD 0.01 common Sale 63 23.9733 USD
USD 0.01 common Sale 63 23.9133 USD
USD 0.01 common Sale 63 23.8933 USD
USD 0.01 common Sale 69 23.9333 USD
USD 0.01 common Sale 78 24.3725 USD
USD 0.01 common Sale 82 24.4004 USD
USD 0.01 common Sale 83 24.2600 USD
USD 0.01 common Sale 84 23.8987 USD
USD 0.01 common Sale 100 23.9800 USD
USD 0.01 common Sale 105 23.9080 USD
USD 0.01 common Sale 107 22.1100 EUR
USD 0.01 common Sale 108 23.9485 USD
USD 0.01 common Sale 132 24.0227 USD
USD 0.01 common Sale 148 24.1983 USD
USD 0.01 common Sale 157 24.1056 USD
USD 0.01 common Sale 182 24.1361 USD
USD 0.01 common Sale 206 24.4890 USD
USD 0.01 common Sale 217 24.0956 USD
USD 0.01 common Sale 276 24.0681 USD
USD 0.01 common Sale 300 24.0000 USD
USD 0.01 common Sale 310 24.4416 USD
USD 0.01 common Sale 327 24.0253 USD
USD 0.01 common Sale 352 24.2535 USD
USD 0.01 common Sale 381 23.9879 USD
USD 0.01 common Sale 400 23.8575 USD
USD 0.01 common Sale 873 24.4707 USD
USD 0.01 common Sale 2,888 23.8775 USD
USD 0.01 common Sale 3,700 23.8600 USD
USD 0.01 common Sale 5,000 24.1350 USD
USD 0.01 common Sale 5,643 24.1477 USD
USD 0.01 common Sale 5,660 23.9746 USD
USD 0.01 common Sale 8,103 24.2589 USD
USD 0.01 common Sale 9,297 24.1684 USD
USD 0.01 common Sale 9,341 23.8341 USD
USD 0.01 common Sale 10,374 24.0208 USD
USD 0.01 common Sale 12,406 24.1585 USD
USD 0.01 common Sale 15,672 24.2177 USD
USD 0.01 common Sale 26,052 23.8873 USD
USD 0.01 common Sale 34,738 23.8200 USD
USD 0.01 common Sale 43,500 24.2179 USD
USD 0.01 common Sale 43,946 24.2744 USD
USD 0.01 common Sale 50,000 24.2500 USD
USD 0.01 common Sale 55,991 23.9881 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: 2 Dec 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=52543996&newsitemid=20211202005498&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=87143bc00545c1adf7cd9bea69c23a31)
.
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=52543996&newsitemid=20211202005498&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=e58af37d4cd341cc8128c4ecf3e84712)
.
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