REG-BARCLAYS PLC FORM 8.3 - NORTONLIFELOCK INC
04/01/2022 12:05
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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: 31 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: 1,352,333 0.23% 532,914 0.09%
(2) Cash-settled derivatives:
295,580 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%
TOTAL: 1,647,913 0.28% 2,048,184 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%
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 17 26.0050 USD
USD 0.01 common Purchase 30 25.9933 USD
USD 0.01 common Purchase 34 26.0250 USD
USD 0.01 common Purchase 37 26.1600 USD
USD 0.01 common Purchase 46 26.0300 USD
USD 0.01 common Purchase 51 25.9950 USD
USD 0.01 common Purchase 51 25.9983 USD
USD 0.01 common Purchase 52 26.0411 USD
USD 0.01 common Purchase 94 26.0350 USD
USD 0.01 common Purchase 100 26.0900 USD
USD 0.01 common Purchase 100 26.0800 USD
USD 0.01 common Purchase 102 26.0133 USD
USD 0.01 common Purchase 146 26.0471 USD
USD 0.01 common Purchase 200 26.1500 USD
USD 0.01 common Purchase 200 26.0100 USD
USD 0.01 common Purchase 200 26.1300 USD
USD 0.01 common Purchase 200 26.2100 USD
USD 0.01 common Purchase 201 26.0400 USD
USD 0.01 common Purchase 226 26.0200 USD
USD 0.01 common Purchase 284 26.0371 USD
USD 0.01 common Purchase 300 26.0833 USD
USD 0.01 common Purchase 400 26.1350 USD
USD 0.01 common Purchase 543 26.1291 USD
USD 0.01 common Purchase 837 26.1384 USD
USD 0.01 common Purchase 1,243 26.1446 USD
USD 0.01 common Purchase 1,269 26.0721 USD
USD 0.01 common Purchase 2,059 26.0476 USD
USD 0.01 common Purchase 2,314 26.1740 USD
USD 0.01 common Purchase 4,098 26.1276 USD
USD 0.01 common Purchase 4,838 25.9805 USD
USD 0.01 common Purchase 7,574 25.9847 USD
USD 0.01 common Purchase 8,088 26.0322 USD
USD 0.01 common Purchase 9,628 25.9802 USD
USD 0.01 common Purchase 11,156 26.0505 USD
USD 0.01 common Purchase 11,699 26.0554 USD
USD 0.01 common Purchase 14,498 25.9800 USD
USD 0.01 common Purchase 52,033 26.0518 USD
USD 0.01 common Sale 7 26.0442 USD
USD 0.01 common Sale 33 26.1400 USD
USD 0.01 common Sale 42 26.1723 USD
USD 0.01 common Sale 43 26.1109 USD
USD 0.01 common Sale 48 26.0300 USD
USD 0.01 common Sale 51 26.0800 USD
USD 0.01 common Sale 92 26.0400 USD
USD 0.01 common Sale 100 25.9850 USD
USD 0.01 common Sale 100 26.1150 USD
USD 0.01 common Sale 100 26.0200 USD
USD 0.01 common Sale 200 26.2150 USD
USD 0.01 common Sale 291 26.1743 USD
USD 0.01 common Sale 336 25.9814 USD
USD 0.01 common Sale 400 25.9950 USD
USD 0.01 common Sale 408 26.0123 USD
USD 0.01 common Sale 500 26.0150 USD
USD 0.01 common Sale 500 26.2300 USD
USD 0.01 common Sale 662 25.9952 USD
USD 0.01 common Sale 1,674 26.1384 USD
USD 0.01 common Sale 1,977 26.0968 USD
USD 0.01 common Sale 2,014 26.1900 USD
USD 0.01 common Sale 3,013 26.0562 USD
USD 0.01 common Sale 3,332 26.0967 USD
USD 0.01 common Sale 5,276 25.9802 USD
USD 0.01 common Sale 5,592 25.9881 USD
USD 0.01 common Sale 8,864 26.0528 USD
USD 0.01 common Sale 9,956 26.0469 USD
USD 0.01 common Sale 16,373 26.0491 USD
USD 0.01 common Sale 19,089 25.9800 USD
USD 0.01 common Sale 48,450 26.0532 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: 4 Jan 2022
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=52557366&newsitemid=20220104005544&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=2bffa68a572d4204e116b5fdbc8ad1da)
.
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=52557366&newsitemid=20220104005544&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=4fcc5561e60d0178445eb73f1862740e)
.
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