REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
20/12/2021 14:05
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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: 17 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: 1,460,477 0.25% 617,823 0.11%
(2) Cash-settled derivatives:
386,198 0.07% 1,513,170 0.26%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 2,100 0.00%
TOTAL: 1,846,675 0.32% 2,133,093 0.37%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 389,000 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: 389,000 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 25.7700 USD
USD 0.01 common Purchase 1 25.7800 USD
USD 0.01 common Purchase 1 25.8500 USD
USD 0.01 common Purchase 3 25.7966 USD
USD 0.01 common Purchase 4 25.8200 USD
USD 0.01 common Purchase 4 25.7900 USD
USD 0.01 common Purchase 7 25.7885 USD
USD 0.01 common Purchase 8 25.7512 USD
USD 0.01 common Purchase 100 25.5800 USD
USD 0.01 common Purchase 126 25.7350 USD
USD 0.01 common Purchase 200 25.7150 USD
USD 0.01 common Purchase 243 25.8100 USD
USD 0.01 common Purchase 300 25.5000 USD
USD 0.01 common Purchase 300 25.6433 USD
USD 0.01 common Purchase 302 22.2417 EUR
USD 0.01 common Purchase 331 25.7187 USD
USD 0.01 common Purchase 400 25.7562 USD
USD 0.01 common Purchase 400 25.8025 USD
USD 0.01 common Purchase 401 25.8000 USD
USD 0.01 common Purchase 500 25.4820 USD
USD 0.01 common Purchase 600 25.7300 USD
USD 0.01 common Purchase 640 25.7234 USD
USD 0.01 common Purchase 700 25.5928 USD
USD 0.01 common Purchase 920 25.7250 USD
USD 0.01 common Purchase 923 25.7462 USD
USD 0.01 common Purchase 1,000 25.5625 USD
USD 0.01 common Purchase 1,000 25.8020 USD
USD 0.01 common Purchase 1,613 25.1162 USD
USD 0.01 common Purchase 2,377 25.7960 USD
USD 0.01 common Purchase 5,230 25.7283 USD
USD 0.01 common Purchase 7,315 25.6597 USD
USD 0.01 common Purchase 8,720 25.7315 USD
USD 0.01 common Purchase 10,990 25.7619 USD
USD 0.01 common Purchase 24,918 25.5365 USD
USD 0.01 common Purchase 29,273 25.7201 USD
USD 0.01 common Purchase 37,176 25.6225 USD
USD 0.01 common Purchase 39,078 25.6093 USD
USD 0.01 common Purchase 53,255 25.7176 USD
USD 0.01 common Purchase 378,558 25.7073 USD
USD 0.01 common Purchase 1,213,828 25.7200 USD
USD 0.01 common Sale 1 25.6700 USD
USD 0.01 common Sale 5 25.2800 USD
USD 0.01 common Sale 7 25.6300 USD
USD 0.01 common Sale 10 25.6010 USD
USD 0.01 common Sale 17 25.5667 USD
USD 0.01 common Sale 28 25.7300 USD
USD 0.01 common Sale 28 25.8000 USD
USD 0.01 common Sale 28 25.7900 USD
USD 0.01 common Sale 39 25.6402 USD
USD 0.01 common Sale 56 25.7350 USD
USD 0.01 common Sale 56 25.7400 USD
USD 0.01 common Sale 67 25.7186 USD
USD 0.01 common Sale 83 25.7553 USD
USD 0.01 common Sale 101 25.7003 USD
USD 0.01 common Sale 113 25.6935 USD
USD 0.01 common Sale 125 25.6869 USD
USD 0.01 common Sale 140 25.7660 USD
USD 0.01 common Sale 140 25.7380 USD
USD 0.01 common Sale 140 25.7520 USD
USD 0.01 common Sale 143 25.6795 USD
USD 0.01 common Sale 164 25.7120 USD
USD 0.01 common Sale 185 25.8420 USD
USD 0.01 common Sale 186 25.6987 USD
USD 0.01 common Sale 200 25.3650 USD
USD 0.01 common Sale 205 25.6996 USD
USD 0.01 common Sale 220 25.6907 USD
USD 0.01 common Sale 220 25.7250 USD
USD 0.01 common Sale 222 25.7766 USD
USD 0.01 common Sale 300 25.7771 USD
USD 0.01 common Sale 300 25.3633 USD
USD 0.01 common Sale 302 22.2417 EUR
USD 0.01 common Sale 320 25.7234 USD
USD 0.01 common Sale 338 25.7100 USD
USD 0.01 common Sale 346 25.7830 USD
USD 0.01 common Sale 348 25.7623 USD
USD 0.01 common Sale 350 25.7189 USD
USD 0.01 common Sale 370 25.7530 USD
USD 0.01 common Sale 372 25.8036 USD
USD 0.01 common Sale 386 25.7908 USD
USD 0.01 common Sale 410 25.6919 USD
USD 0.01 common Sale 437 25.7500 USD
USD 0.01 common Sale 444 25.7825 USD
USD 0.01 common Sale 467 25.7775 USD
USD 0.01 common Sale 498 25.8269 USD
USD 0.01 common Sale 824 25.7370 USD
USD 0.01 common Sale 1,100 25.7877 USD
USD 0.01 common Sale 1,201 25.4154 USD
USD 0.01 common Sale 1,400 25.7371 USD
USD 0.01 common Sale 1,470 25.6432 USD
USD 0.01 common Sale 1,489 25.5675 USD
USD 0.01 common Sale 2,043 25.8027 USD
USD 0.01 common Sale 2,253 25.3735 USD
USD 0.01 common Sale 2,906 25.5683 USD
USD 0.01 common Sale 6,672 25.7385 USD
USD 0.01 common Sale 6,958 25.7678 USD
USD 0.01 common Sale 7,424 25.7274 USD
USD 0.01 common Sale 10,742 25.3800 USD
USD 0.01 common Sale 22,919 25.7387 USD
USD 0.01 common Sale 23,127 25.5243 USD
USD 0.01 common Sale 29,304 25.7201 USD
USD 0.01 common Sale 34,673 25.6503 USD
USD 0.01 common Sale 36,808 25.7376 USD
USD 0.01 common Sale 38,961 25.6089 USD
USD 0.01 common Sale 68,911 25.7209 USD
USD 0.01 common Sale 224,099 25.7210 USD
USD 0.01 common Sale 315,376 25.7050 USD
USD 0.01 common Sale 971,611 25.7200 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: 20 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=52553454&newsitemid=20211220005455&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=7ed63da5055f0246f7d2abf7549cfc3e)
.
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=52553454&newsitemid=20211220005455&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=e1c7fe5debb1a3e17f2713e69bbbc3a2)
View source version on businesswire.com:
https://www.businesswire.com/news/home/20211220005455/en/
(https://www.businesswire.com/news/home/20211220005455/en/)
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