REG-BARCLAYS PLC FORM 8.3 - NORTONLIFELOCK INC
07/12/2021 14:00
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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: 06 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: 1,569,990 0.27% 619,605 0.11%
(2) Cash-settled derivatives:
386,198 0.07% 1,513,168 0.26%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 2,100 0.00%
TOTAL: 1,956,188 0.34% 2,134,873 0.37%
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 5 24.2400 USD
USD 0.01 common Purchase 9 24.4450 USD
USD 0.01 common Purchase 12 24.3333 USD
USD 0.01 common Purchase 14 21.3950 EUR
USD 0.01 common Purchase 17 24.3350 USD
USD 0.01 common Purchase 18 24.5000 USD
USD 0.01 common Purchase 100 24.2600 USD
USD 0.01 common Purchase 128 23.9500 USD
USD 0.01 common Purchase 166 24.3784 USD
USD 0.01 common Purchase 188 24.4050 USD
USD 0.01 common Purchase 191 24.4100 USD
USD 0.01 common Purchase 200 24.3150 USD
USD 0.01 common Purchase 200 24.4200 USD
USD 0.01 common Purchase 261 24.3498 USD
USD 0.01 common Purchase 305 23.9398 USD
USD 0.01 common Purchase 325 24.4873 USD
USD 0.01 common Purchase 338 24.4222 USD
USD 0.01 common Purchase 439 24.3475 USD
USD 0.01 common Purchase 483 24.3569 USD
USD 0.01 common Purchase 500 23.9380 USD
USD 0.01 common Purchase 500 23.9460 USD
USD 0.01 common Purchase 600 23.9416 USD
USD 0.01 common Purchase 600 23.9300 USD
USD 0.01 common Purchase 700 24.3900 USD
USD 0.01 common Purchase 900 24.3455 USD
USD 0.01 common Purchase 983 24.3250 USD
USD 0.01 common Purchase 1,134 24.3225 USD
USD 0.01 common Purchase 1,400 24.3407 USD
USD 0.01 common Purchase 1,800 24.3102 USD
USD 0.01 common Purchase 1,904 24.2539 USD
USD 0.01 common Purchase 2,002 24.2982 USD
USD 0.01 common Purchase 2,312 24.2942 USD
USD 0.01 common Purchase 4,072 24.2280 USD
USD 0.01 common Purchase 5,649 24.2613 USD
USD 0.01 common Purchase 6,078 24.3502 USD
USD 0.01 common Purchase 7,272 23.9327 USD
USD 0.01 common Purchase 7,608 24.5056 USD
USD 0.01 common Purchase 7,617 24.4095 USD
USD 0.01 common Purchase 11,405 24.2545 USD
USD 0.01 common Purchase 17,631 24.4248 USD
USD 0.01 common Purchase 32,579 24.3470 USD
USD 0.01 common Purchase 32,738 24.3403 USD
USD 0.01 common Purchase 42,539 24.3060 USD
USD 0.01 common Purchase 54,873 24.3434 USD
USD 0.01 common Purchase 129,898 24.0000 USD
USD 0.01 common Purchase 145,386 24.3100 USD
USD 0.01 common Purchase 200,000 24.0494 USD
USD 0.01 common Purchase 330,752 24.3400 USD
USD 0.01 common Sale 6 24.3483 USD
USD 0.01 common Sale 9 24.5000 USD
USD 0.01 common Sale 9 24.4450 USD
USD 0.01 common Sale 10 24.4310 USD
USD 0.01 common Sale 12 24.3333 USD
USD 0.01 common Sale 13 24.3723 USD
USD 0.01 common Sale 14 24.3500 USD
USD 0.01 common Sale 14 21.3950 EUR
USD 0.01 common Sale 14 24.3985 USD
USD 0.01 common Sale 15 24.3846 USD
USD 0.01 common Sale 16 24.3793 USD
USD 0.01 common Sale 17 24.3661 USD
USD 0.01 common Sale 17 24.3605 USD
USD 0.01 common Sale 17 24.3511 USD
USD 0.01 common Sale 17 24.2729 USD
USD 0.01 common Sale 18 24.3566 USD
USD 0.01 common Sale 20 24.3735 USD
USD 0.01 common Sale 21 24.3728 USD
USD 0.01 common Sale 21 24.3573 USD
USD 0.01 common Sale 21 24.3452 USD
USD 0.01 common Sale 23 24.3130 USD
USD 0.01 common Sale 24 24.3791 USD
USD 0.01 common Sale 26 24.3280 USD
USD 0.01 common Sale 28 24.4050 USD
USD 0.01 common Sale 28 24.3450 USD
USD 0.01 common Sale 28 24.3464 USD
USD 0.01 common Sale 28 24.3950 USD
USD 0.01 common Sale 29 24.3803 USD
USD 0.01 common Sale 31 24.3350 USD
USD 0.01 common Sale 31 24.3624 USD
USD 0.01 common Sale 42 24.4000 USD
USD 0.01 common Sale 42 24.3766 USD
USD 0.01 common Sale 56 24.3612 USD
USD 0.01 common Sale 56 24.3675 USD
USD 0.01 common Sale 84 24.3883 USD
USD 0.01 common Sale 98 24.3871 USD
USD 0.01 common Sale 100 24.0200 USD
USD 0.01 common Sale 100 24.4600 USD
USD 0.01 common Sale 100 24.5100 USD
USD 0.01 common Sale 100 24.5200 USD
USD 0.01 common Sale 125 24.4920 USD
USD 0.01 common Sale 131 24.4122 USD
USD 0.01 common Sale 162 24.3271 USD
USD 0.01 common Sale 190 24.4763 USD
USD 0.01 common Sale 200 24.5025 USD
USD 0.01 common Sale 200 24.5150 USD
USD 0.01 common Sale 225 24.3927 USD
USD 0.01 common Sale 230 24.3884 USD
USD 0.01 common Sale 276 24.1617 USD
USD 0.01 common Sale 300 24.5166 USD
USD 0.01 common Sale 300 24.4850 USD
USD 0.01 common Sale 300 24.5083 USD
USD 0.01 common Sale 320 24.4133 USD
USD 0.01 common Sale 400 24.5275 USD
USD 0.01 common Sale 400 24.1912 USD
USD 0.01 common Sale 438 24.5483 USD
USD 0.01 common Sale 500 24.5130 USD
USD 0.01 common Sale 580 24.4517 USD
USD 0.01 common Sale 800 24.5256 USD
USD 0.01 common Sale 826 24.4242 USD
USD 0.01 common Sale 875 24.2027 USD
USD 0.01 common Sale 900 24.1061 USD
USD 0.01 common Sale 928 24.1684 USD
USD 0.01 common Sale 1,091 24.1579 USD
USD 0.01 common Sale 1,183 24.1328 USD
USD 0.01 common Sale 1,200 24.1483 USD
USD 0.01 common Sale 1,300 24.0750 USD
USD 0.01 common Sale 1,672 24.2003 USD
USD 0.01 common Sale 1,763 24.3264 USD
USD 0.01 common Sale 2,062 24.5219 USD
USD 0.01 common Sale 2,656 24.3752 USD
USD 0.01 common Sale 3,061 24.4184 USD
USD 0.01 common Sale 3,100 24.4116 USD
USD 0.01 common Sale 3,700 24.2978 USD
USD 0.01 common Sale 5,294 24.3435 USD
USD 0.01 common Sale 5,968 24.2058 USD
USD 0.01 common Sale 10,384 24.1367 USD
USD 0.01 common Sale 10,575 24.4296 USD
USD 0.01 common Sale 13,644 24.3416 USD
USD 0.01 common Sale 18,891 24.1009 USD
USD 0.01 common Sale 19,282 24.3401 USD
USD 0.01 common Sale 23,996 24.1476 USD
USD 0.01 common Sale 41,400 24.3052 USD
USD 0.01 common Sale 50,000 24.0000 USD
USD 0.01 common Sale 53,754 24.3523 USD
USD 0.01 common Sale 54,873 24.3434 USD
USD 0.01 common Sale 58,605 24.3400 USD
USD 0.01 common Sale 89,969 23.9935 USD
USD 0.01 common Sale 99,919 24.2845 USD
USD 0.01 common Sale 137,679 24.0122 USD
USD 0.01 common Sale 269,174 24.3399 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: 7 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=52546367&newsitemid=20211207005705&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=9073518c35faea0977f968b0686faa66)
.
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=52546367&newsitemid=20211207005705&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=986ce8ee61c9df9da33ae7be10c3c708)
.
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