REG-BARCLAYS PLC FORM 8.3 – NORTONLIFELOCK INC
10/12/2021 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: 09 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: 1,547,255 0.27% 672,780 0.12%
(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: 1,933,453 0.33% 2,188,048 0.38%
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 4 24.4100 USD
USD 0.01 common Purchase 100 23.9550 USD
USD 0.01 common Purchase 123 21.3200 EUR
USD 0.01 common Purchase 200 24.3200 USD
USD 0.01 common Purchase 200 23.9640 USD
USD 0.01 common Purchase 300 24.2066 USD
USD 0.01 common Purchase 300 23.9583 USD
USD 0.01 common Purchase 414 23.9600 USD
USD 0.01 common Purchase 716 23.9384 USD
USD 0.01 common Purchase 736 23.9846 USD
USD 0.01 common Purchase 964 24.0571 USD
USD 0.01 common Purchase 1,100 23.9595 USD
USD 0.01 common Purchase 1,398 23.9762 USD
USD 0.01 common Purchase 1,590 24.0473 USD
USD 0.01 common Purchase 2,003 24.0309 USD
USD 0.01 common Purchase 2,508 23.9615 USD
USD 0.01 common Purchase 3,564 23.8986 USD
USD 0.01 common Purchase 5,732 24.0601 USD
USD 0.01 common Purchase 10,712 24.2446 USD
USD 0.01 common Purchase 12,062 23.9839 USD
USD 0.01 common Purchase 12,389 23.9000 USD
USD 0.01 common Purchase 13,279 24.0491 USD
USD 0.01 common Purchase 14,391 23.9770 USD
USD 0.01 common Purchase 15,479 24.0185 USD
USD 0.01 common Purchase 138,208 24.0116 USD
USD 0.01 common Sale 2 24.2300 USD
USD 0.01 common Sale 28 24.0050 USD
USD 0.01 common Sale 42 23.9233 USD
USD 0.01 common Sale 42 23.9583 USD
USD 0.01 common Sale 42 23.9283 USD
USD 0.01 common Sale 44 23.9106 USD
USD 0.01 common Sale 52 23.9250 USD
USD 0.01 common Sale 56 23.9387 USD
USD 0.01 common Sale 70 23.9030 USD
USD 0.01 common Sale 70 23.9450 USD
USD 0.01 common Sale 79 23.9234 USD
USD 0.01 common Sale 100 23.9640 USD
USD 0.01 common Sale 100 23.8950 USD
USD 0.01 common Sale 100 23.9350 USD
USD 0.01 common Sale 102 23.8800 USD
USD 0.01 common Sale 123 21.3200 EUR
USD 0.01 common Sale 126 23.9533 USD
USD 0.01 common Sale 180 23.9300 USD
USD 0.01 common Sale 198 23.9500 USD
USD 0.01 common Sale 200 23.8850 USD
USD 0.01 common Sale 200 23.9075 USD
USD 0.01 common Sale 273 23.8900 USD
USD 0.01 common Sale 312 24.3666 USD
USD 0.01 common Sale 400 23.9600 USD
USD 0.01 common Sale 413 24.3604 USD
USD 0.01 common Sale 520 24.4000 USD
USD 0.01 common Sale 700 23.9178 USD
USD 0.01 common Sale 965 24.0259 USD
USD 0.01 common Sale 1,091 24.3600 USD
USD 0.01 common Sale 1,400 23.9100 USD
USD 0.01 common Sale 2,019 23.9058 USD
USD 0.01 common Sale 2,564 23.8998 USD
USD 0.01 common Sale 3,027 24.0062 USD
USD 0.01 common Sale 3,214 23.9943 USD
USD 0.01 common Sale 3,294 24.2600 USD
USD 0.01 common Sale 6,838 24.1019 USD
USD 0.01 common Sale 7,405 24.0013 USD
USD 0.01 common Sale 10,668 24.0658 USD
USD 0.01 common Sale 10,781 23.9000 USD
USD 0.01 common Sale 11,813 24.1198 USD
USD 0.01 common Sale 167,486 24.0053 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: 10 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=52545268&newsitemid=20211210005284&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=d8e2da1b19ece1abe979b742729affbd)
.
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&esheet=52545268&newsitemid=20211210005284&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=049f4e9168a67b8e9d7519e7d963ce3c)
.
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