REG-BARCLAYS PLC FORM 8.3 - NORTONLIFELOCK INC.
03/12/2021 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: 02 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: 1,614,180 0.28% 881,843 0.15%
(2) Cash-settled derivatives:
636,598 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%
(4)
TOTAL: 2,250,778 0.39% 2,397,111 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%
(4)
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 2 24.0700 USD
USD 0.01 common Purchase 8 24.1700 USD
USD 0.01 common Purchase 8 24.1900 USD
USD 0.01 common Purchase 8 24.1600 USD
USD 0.01 common Purchase 16 24.1650 USD
USD 0.01 common Purchase 78 23.9543 USD
USD 0.01 common Purchase 100 23.8600 USD
USD 0.01 common Purchase 100 23.8050 USD
USD 0.01 common Purchase 100 24.1640 USD
USD 0.01 common Purchase 100 24.0400 USD
USD 0.01 common Purchase 123 24.1875 USD
USD 0.01 common Purchase 182 24.0767 USD
USD 0.01 common Purchase 200 23.9775 USD
USD 0.01 common Purchase 200 24.0950 USD
USD 0.01 common Purchase 200 24.0120 USD
USD 0.01 common Purchase 280 23.8000 USD
USD 0.01 common Purchase 300 24.2083 USD
USD 0.01 common Purchase 385 23.9200 USD
USD 0.01 common Purchase 400 24.0424 USD
USD 0.01 common Purchase 632 24.0963 USD
USD 0.01 common Purchase 820 24.1020 USD
USD 0.01 common Purchase 997 24.0381 USD
USD 0.01 common Purchase 1,208 23.9990 USD
USD 0.01 common Purchase 1,729 23.9824 USD
USD 0.01 common Purchase 1,956 23.9694 USD
USD 0.01 common Purchase 3,619 24.0384 USD
USD 0.01 common Purchase 5,794 23.9248 USD
USD 0.01 common Purchase 6,851 23.9243 USD
USD 0.01 common Purchase 10,026 24.0896 USD
USD 0.01 common Purchase 11,401 24.0531 USD
USD 0.01 common Purchase 12,091 24.0390 USD
USD 0.01 common Purchase 17,176 24.0183 USD
USD 0.01 common Purchase 20,526 24.0718 USD
USD 0.01 common Purchase 32,213 24.0900 USD
USD 0.01 common Purchase 53,934 24.1421 USD
USD 0.01 common Purchase 77,041 23.9422 USD
USD 0.01 common Sale 1 23.7700 USD
USD 0.01 common Sale 100 23.8050 USD
USD 0.01 common Sale 100 24.1414 USD
USD 0.01 common Sale 100 23.9800 USD
USD 0.01 common Sale 100 24.1800 USD
USD 0.01 common Sale 152 24.2400 USD
USD 0.01 common Sale 200 24.0120 USD
USD 0.01 common Sale 200 24.0650 USD
USD 0.01 common Sale 297 24.0305 USD
USD 0.01 common Sale 299 24.0531 USD
USD 0.01 common Sale 300 24.1433 USD
USD 0.01 common Sale 356 24.1118 USD
USD 0.01 common Sale 400 24.2250 USD
USD 0.01 common Sale 504 24.2244 USD
USD 0.01 common Sale 549 23.9753 USD
USD 0.01 common Sale 800 23.9562 USD
USD 0.01 common Sale 907 23.9784 USD
USD 0.01 common Sale 1,000 24.0020 USD
USD 0.01 common Sale 1,242 24.0371 USD
USD 0.01 common Sale 1,314 23.8948 USD
USD 0.01 common Sale 1,376 23.9495 USD
USD 0.01 common Sale 1,600 23.9881 USD
USD 0.01 common Sale 1,708 23.9944 USD
USD 0.01 common Sale 1,749 24.1516 USD
USD 0.01 common Sale 1,900 23.9731 USD
USD 0.01 common Sale 2,896 24.1931 USD
USD 0.01 common Sale 4,870 23.9976 USD
USD 0.01 common Sale 6,713 24.0940 USD
USD 0.01 common Sale 8,763 24.0057 USD
USD 0.01 common Sale 10,025 24.0896 USD
USD 0.01 common Sale 11,585 24.0935 USD
USD 0.01 common Sale 12,890 24.0563 USD
USD 0.01 common Sale 14,665 24.1662 USD
USD 0.01 common Sale 34,391 24.1251 USD
USD 0.01 common Sale 36,701 24.0900 USD
USD 0.01 common Sale 94,556 23.9416 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: 3 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=52542442&newsitemid=20211203005233&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=fa4461ebd26b6690ddd993f967aabd42)
.
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=52542442&newsitemid=20211203005233&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=af477d721805765290636866bb1f5f86)
View source version on businesswire.com:
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