REG-BARCLAYS PLC FORM 8.3 - NORTONLIFELOCK INC.
31/12/2021 10:05
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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: 30 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: 1,354,734 0.23% 538,402 0.09%
(2) Cash-settled derivatives:
274,198 0.05% 1,513,170 0.26%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 2,100 0.00%
(4)
TOTAL: 1,628,932 0.28% 2,053,672 0.35%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 390,000 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: 390,000 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 15 26.1883 USD
USD 0.01 common Purchase 17 26.1900 USD
USD 0.01 common Purchase 26 26.2950 USD
USD 0.01 common Purchase 29 26.3000 USD
USD 0.01 common Purchase 34 26.1925 USD
USD 0.01 common Purchase 34 26.2025 USD
USD 0.01 common Purchase 58 26.3100 USD
USD 0.01 common Purchase 68 26.2050 USD
USD 0.01 common Purchase 69 26.2420 USD
USD 0.01 common Purchase 94 26.2040 USD
USD 0.01 common Purchase 96 26.3400 USD
USD 0.01 common Purchase 100 26.3700 USD
USD 0.01 common Purchase 100 26.2150 USD
USD 0.01 common Purchase 183 26.2100 USD
USD 0.01 common Purchase 200 26.2200 USD
USD 0.01 common Purchase 299 26.2834 USD
USD 0.01 common Purchase 300 26.2666 USD
USD 0.01 common Purchase 334 26.2600 USD
USD 0.01 common Purchase 338 26.2667 USD
USD 0.01 common Purchase 600 26.3300 USD
USD 0.01 common Purchase 604 26.3067 USD
USD 0.01 common Purchase 700 26.2321 USD
USD 0.01 common Purchase 1,039 26.2613 USD
USD 0.01 common Purchase 1,114 26.2845 USD
USD 0.01 common Purchase 1,286 26.3462 USD
USD 0.01 common Purchase 1,548 26.2282 USD
USD 0.01 common Purchase 1,668 26.2770 USD
USD 0.01 common Purchase 2,164 26.2754 USD
USD 0.01 common Purchase 2,575 26.2472 USD
USD 0.01 common Purchase 2,734 26.2000 USD
USD 0.01 common Purchase 2,871 26.2630 USD
USD 0.01 common Purchase 3,243 26.3057 USD
USD 0.01 common Purchase 3,448 26.2705 USD
USD 0.01 common Purchase 3,906 26.2756 USD
USD 0.01 common Purchase 4,726 26.2596 USD
USD 0.01 common Purchase 5,154 26.3141 USD
USD 0.01 common Purchase 5,609 26.3120 USD
USD 0.01 common Purchase 11,690 26.2205 USD
USD 0.01 common Purchase 13,593 26.3083 USD
USD 0.01 common Purchase 15,339 26.2577 USD
USD 0.01 common Purchase 16,412 26.3151 USD
USD 0.01 common Purchase 17,301 26.2663 USD
USD 0.01 common Purchase 34,629 26.3307 USD
USD 0.01 common Purchase 34,645 26.2712 USD
USD 0.01 common Purchase 35,028 26.2432 USD
USD 0.01 common Purchase 44,092 26.2993 USD
USD 0.01 common Purchase 159,286 26.2920 USD
USD 0.01 common Sale 28 26.3350 USD
USD 0.01 common Sale 29 26.3000 USD
USD 0.01 common Sale 47 26.2040 USD
USD 0.01 common Sale 51 26.3392 USD
USD 0.01 common Sale 67 26.2450 USD
USD 0.01 common Sale 100 26.3700 USD
USD 0.01 common Sale 169 26.3343 USD
USD 0.01 common Sale 200 26.2200 USD
USD 0.01 common Sale 200 26.2050 USD
USD 0.01 common Sale 318 26.3900 USD
USD 0.01 common Sale 455 26.2071 USD
USD 0.01 common Sale 637 26.2306 USD
USD 0.01 common Sale 789 26.2733 USD
USD 0.01 common Sale 857 26.2594 USD
USD 0.01 common Sale 925 26.2000 USD
USD 0.01 common Sale 1,167 26.3590 USD
USD 0.01 common Sale 1,683 26.2220 USD
USD 0.01 common Sale 2,001 26.2649 USD
USD 0.01 common Sale 3,330 26.2285 USD
USD 0.01 common Sale 3,900 26.2924 USD
USD 0.01 common Sale 7,213 26.3172 USD
USD 0.01 common Sale 9,103 26.2196 USD
USD 0.01 common Sale 11,433 26.3053 USD
USD 0.01 common Sale 17,399 26.2648 USD
USD 0.01 common Sale 46,766 26.2665 USD
USD 0.01 common Sale 318,572 26.2920 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: 31 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=52556494&newsitemid=20211231005050&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=ef96ab5f182e175f09e24135a696c8b1)
.
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=52556494&newsitemid=20211231005050&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=7608685fcb23df5fe7bb146a4e5ecb24)
View source version on businesswire.com:
https://www.businesswire.com/news/home/20211231005050/en/
(https://www.businesswire.com/news/home/20211231005050/en/)
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