REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
07/12/2021 17:45
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Form 8.3 - NORTONLIFELOCK INC
FORM 8.3 Amendment to Sale and Purchase
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: 03 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: 1,658,268 0.28% 882,780 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%
TOTAL: 2,294,866 0.39% 2,398,048 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 24.0200 USD
USD 0.01 common Purchase 1 24.1350 USD
USD 0.01 common Purchase 1 24.1500 USD
USD 0.01 common Purchase 2 24.0000 USD
USD 0.01 common Purchase 42 24.1100 USD
USD 0.01 common Purchase 100 24.1550 USD
USD 0.01 common Purchase 102 24.1522 USD
USD 0.01 common Purchase 200 23.9150 USD
USD 0.01 common Purchase 200 24.0600 USD
USD 0.01 common Purchase 219 24.1128 USD
USD 0.01 common Purchase 300 24.1016 USD
USD 0.01 common Purchase 300 23.9900 USD
USD 0.01 common Purchase 302 24.1160 USD
USD 0.01 common Purchase 307 24.1023 USD
USD 0.01 common Purchase 378 24.1169 USD
USD 0.01 common Purchase 500 23.9200 USD
USD 0.01 common Purchase 502 24.0587 USD
USD 0.01 common Purchase 589 23.9884 USD
USD 0.01 common Purchase 610 24.0831 USD
USD 0.01 common Purchase 780 23.9728 USD
USD 0.01 common Purchase 800 24.0562 USD
USD 0.01 common Purchase 919 24.0852 USD
USD 0.01 common Purchase 1,000 23.9310 USD
USD 0.01 common Purchase 1,200 24.0387 USD
USD 0.01 common Purchase 1,200 23.9166 USD
USD 0.01 common Purchase 1,601 24.0500 USD
USD 0.01 common Purchase 1,700 24.0505 USD
USD 0.01 common Purchase 1,876 24.0385 USD
USD 0.01 common Purchase 1,900 24.0407 USD
USD 0.01 common Purchase 2,200 24.0536 USD
USD 0.01 common Purchase 3,505 24.0396 USD
USD 0.01 common Purchase 5,165 24.0452 USD
USD 0.01 common Purchase 5,262 24.1223 USD
USD 0.01 common Purchase 5,599 24.1322 USD
USD 0.01 common Purchase 7,340 24.0234 USD
USD 0.01 common Purchase 11,349 24.0044 USD
USD 0.01 common Purchase 15,909 24.0576 USD
USD 0.01 common Purchase 19,022 24.1149 USD
USD 0.01 common Purchase 28,264 24.0464 USD
USD 0.01 common Purchase 40,229 24.1013 USD
USD 0.01 common Purchase 56,977 24.1298 USD
USD 0.01 common Purchase 77,054 23.9937 USD
USD 0.01 common Purchase 80,937 24.1300 USD
USD 0.01 common Purchase 117,330 24.0095 USD
USD 0.01 common Sale 1 24.1350 USD
USD 0.01 common Sale 2 24.1450 USD
USD 0.01 common Sale 11 24.0100 USD
USD 0.01 common Sale 14 24.0435 USD
USD 0.01 common Sale 16 24.0475 USD
USD 0.01 common Sale 16 24.0600 USD
USD 0.01 common Sale 22 24.0972 USD
USD 0.01 common Sale 22 24.0745 USD
USD 0.01 common Sale 22 24.0450 USD
USD 0.01 common Sale 25 24.0638 USD
USD 0.01 common Sale 27 24.0883 USD
USD 0.01 common Sale 29 24.0531 USD
USD 0.01 common Sale 30 24.0270 USD
USD 0.01 common Sale 33 24.0400 USD
USD 0.01 common Sale 33 24.0466 USD
USD 0.01 common Sale 45 24.0398 USD
USD 0.01 common Sale 71 24.0500 USD
USD 0.01 common Sale 100 24.0010 USD
USD 0.01 common Sale 108 24.0000 USD
USD 0.01 common Sale 129 24.0526 USD
USD 0.01 common Sale 202 24.1793 USD
USD 0.01 common Sale 215 24.1458 USD
USD 0.01 common Sale 253 24.0682 USD
USD 0.01 common Sale 260 24.0338 USD
USD 0.01 common Sale 300 23.9900 USD
USD 0.01 common Sale 300 24.0200 USD
USD 0.01 common Sale 371 24.0716 USD
USD 0.01 common Sale 796 24.1040 USD
USD 0.01 common Sale 1,056 24.1298 USD
USD 0.01 common Sale 1,100 24.0236 USD
USD 0.01 common Sale 1,117 24.1203 USD
USD 0.01 common Sale 2,150 24.1060 USD
USD 0.01 common Sale 2,432 24.0293 USD
USD 0.01 common Sale 2,950 24.0448 USD
USD 0.01 common Sale 4,609 24.0140 USD
USD 0.01 common Sale 5,424 24.0265 USD
USD 0.01 common Sale 6,632 24.1294 USD
USD 0.01 common Sale 10,932 24.1299 USD
USD 0.01 common Sale 13,543 24.0927 USD
USD 0.01 common Sale 19,805 24.0956 USD
USD 0.01 common Sale 26,451 24.1140 USD
USD 0.01 common Sale 31,872 24.0459 USD
USD 0.01 common Sale 77,912 24.1300 USD
USD 0.01 common Sale 234,660 24.0095 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=52545233&newsitemid=20211207005924&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=29768a18a6930cefb474df401563c237)
.
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=52545233&newsitemid=20211207005924&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=06cad123fd6a2cf5333b55c1c012323a)
.
View source version on businesswire.com:
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(https://www.businesswire.com/news/home/20211207005924/en/)
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