REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
04/01/2022 11:25
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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: 03 January 2022
(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: 1,372,497 0.24% 545,567 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: 1,668,077 0.29% 2,060,837 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 3 26.0833 USD
USD 0.01 common Purchase 3 26.1266 USD
USD 0.01 common Purchase 4 26.1875 USD
USD 0.01 common Purchase 5 26.0960 USD
USD 0.01 common Purchase 6 26.0733 USD
USD 0.01 common Purchase 7 26.1807 USD
USD 0.01 common Purchase 8 26.1100 USD
USD 0.01 common Purchase 8 26.1525 USD
USD 0.01 common Purchase 9 26.2016 USD
USD 0.01 common Purchase 11 26.1454 USD
USD 0.01 common Purchase 15 25.7380 USD
USD 0.01 common Purchase 16 26.0831 USD
USD 0.01 common Purchase 17 25.7564 USD
USD 0.01 common Purchase 36 25.7375 USD
USD 0.01 common Purchase 58 26.0950 USD
USD 0.01 common Purchase 200 26.3050 USD
USD 0.01 common Purchase 200 25.7325 USD
USD 0.01 common Purchase 200 26.3100 USD
USD 0.01 common Purchase 268 26.3150 USD
USD 0.01 common Purchase 400 26.3000 USD
USD 0.01 common Purchase 948 26.3094 USD
USD 0.01 common Purchase 1,076 26.1980 USD
USD 0.01 common Purchase 2,246 26.1337 USD
USD 0.01 common Purchase 2,934 26.1822 USD
USD 0.01 common Purchase 3,175 26.1290 USD
USD 0.01 common Purchase 3,295 26.1159 USD
USD 0.01 common Purchase 4,740 26.1711 USD
USD 0.01 common Purchase 5,495 26.3283 USD
USD 0.01 common Purchase 9,823 26.1603 USD
USD 0.01 common Purchase 11,796 26.3300 USD
USD 0.01 common Purchase 37,149 26.1982 USD
USD 0.01 common Purchase 41,631 26.1764 USD
USD 0.01 common Purchase 42,307 26.1274 USD
USD 0.01 common Sale 15 25.7200 USD
USD 0.01 common Sale 21 25.7500 USD
USD 0.01 common Sale 58 26.0950 USD
USD 0.01 common Sale 100 26.1050 USD
USD 0.01 common Sale 100 26.2650 USD
USD 0.01 common Sale 100 26.3100 USD
USD 0.01 common Sale 115 26.1132 USD
USD 0.01 common Sale 169 26.3261 USD
USD 0.01 common Sale 176 26.0685 USD
USD 0.01 common Sale 200 26.2950 USD
USD 0.01 common Sale 225 26.1687 USD
USD 0.01 common Sale 300 26.1266 USD
USD 0.01 common Sale 400 26.2675 USD
USD 0.01 common Sale 400 26.1500 USD
USD 0.01 common Sale 500 25.9090 USD
USD 0.01 common Sale 596 26.1788 USD
USD 0.01 common Sale 650 25.9692 USD
USD 0.01 common Sale 657 26.1946 USD
USD 0.01 common Sale 1,032 26.1943 USD
USD 0.01 common Sale 1,066 26.1591 USD
USD 0.01 common Sale 1,104 26.1974 USD
USD 0.01 common Sale 1,296 26.2572 USD
USD 0.01 common Sale 1,327 26.1496 USD
USD 0.01 common Sale 1,492 26.1860 USD
USD 0.01 common Sale 1,545 26.1733 USD
USD 0.01 common Sale 1,801 26.1829 USD
USD 0.01 common Sale 1,802 26.1950 USD
USD 0.01 common Sale 1,940 26.1528 USD
USD 0.01 common Sale 2,077 26.1927 USD
USD 0.01 common Sale 2,082 26.1660 USD
USD 0.01 common Sale 2,541 26.1088 USD
USD 0.01 common Sale 3,031 26.1828 USD
USD 0.01 common Sale 3,379 26.1134 USD
USD 0.01 common Sale 3,867 26.1090 USD
USD 0.01 common Sale 6,091 26.1004 USD
USD 0.01 common Sale 9,029 26.3300 USD
USD 0.01 common Sale 11,475 26.1998 USD
USD 0.01 common Sale 12,358 26.3276 USD
USD 0.01 common Sale 13,018 26.2041 USD
USD 0.01 common Sale 41,472 26.1411 USD
USD 0.01 common Sale 41,481 26.1817 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=52557415&newsitemid=20220104005549&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=e8a644a2905415da9ae0f0709649750e)
.
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=52557415&newsitemid=20220104005549&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=2240f77ad9dd8f044e200da9709220e5)
View source version on businesswire.com:
https://www.businesswire.com/news/home/20220104005549/en/
(https://www.businesswire.com/news/home/20220104005549/en/)
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