REG-BARCLAYS PLC FORM 8.3 - NORTONLIFELOCK INC
05/01/2022 11:35
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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: 04 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: 1,373,019 0.24% 540,802 0.09%
(2) Cash-settled derivatives:
274,830 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: 1,647,849 0.28% 2,056,072 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 1 26.4600 USD
USD 0.01 common Purchase 1 26.5300 USD
USD 0.01 common Purchase 2 26.4900 USD
USD 0.01 common Purchase 2 26.5025 USD
USD 0.01 common Purchase 2 26.4350 USD
USD 0.01 common Purchase 2 26.5050 USD
USD 0.01 common Purchase 3 26.5033 USD
USD 0.01 common Purchase 4 26.4125 USD
USD 0.01 common Purchase 6 26.3900 USD
USD 0.01 common Purchase 12 26.4808 USD
USD 0.01 common Purchase 29 26.4989 USD
USD 0.01 common Purchase 52 26.4547 USD
USD 0.01 common Purchase 100 26.4650 USD
USD 0.01 common Purchase 107 26.5853 USD
USD 0.01 common Purchase 127 26.4345 USD
USD 0.01 common Purchase 229 26.4397 USD
USD 0.01 common Purchase 350 26.4370 USD
USD 0.01 common Purchase 419 26.4225 USD
USD 0.01 common Purchase 500 26.4680 USD
USD 0.01 common Purchase 500 26.4670 USD
USD 0.01 common Purchase 507 26.5628 USD
USD 0.01 common Purchase 557 26.4658 USD
USD 0.01 common Purchase 700 26.4757 USD
USD 0.01 common Purchase 826 26.5728 USD
USD 0.01 common Purchase 1,000 26.4700 USD
USD 0.01 common Purchase 1,200 26.4573 USD
USD 0.01 common Purchase 1,233 26.4200 USD
USD 0.01 common Purchase 1,649 26.5208 USD
USD 0.01 common Purchase 2,322 26.4480 USD
USD 0.01 common Purchase 3,590 26.5451 USD
USD 0.01 common Purchase 4,878 26.4493 USD
USD 0.01 common Purchase 5,474 26.5140 USD
USD 0.01 common Purchase 5,806 26.5892 USD
USD 0.01 common Purchase 7,582 26.5081 USD
USD 0.01 common Purchase 9,568 26.5431 USD
USD 0.01 common Purchase 21,124 26.5471 USD
USD 0.01 common Purchase 23,639 26.5391 USD
USD 0.01 common Purchase 40,315 26.5500 USD
USD 0.01 common Purchase 68,643 26.5309 USD
USD 0.01 common Sale 3 26.6400 USD
USD 0.01 common Sale 3 26.6050 USD
USD 0.01 common Sale 6 26.5700 USD
USD 0.01 common Sale 9 26.6183 USD
USD 0.01 common Sale 9 26.5933 USD
USD 0.01 common Sale 9 26.5600 USD
USD 0.01 common Sale 12 26.4808 USD
USD 0.01 common Sale 12 26.3500 USD
USD 0.01 common Sale 18 26.5975 USD
USD 0.01 common Sale 18 26.5766 USD
USD 0.01 common Sale 27 26.6350 USD
USD 0.01 common Sale 38 26.5819 USD
USD 0.01 common Sale 100 26.4950 USD
USD 0.01 common Sale 100 26.5550 USD
USD 0.01 common Sale 404 26.5706 USD
USD 0.01 common Sale 461 26.5386 USD
USD 0.01 common Sale 724 26.5938 USD
USD 0.01 common Sale 813 26.6091 USD
USD 0.01 common Sale 826 26.5787 USD
USD 0.01 common Sale 1,032 26.5089 USD
USD 0.01 common Sale 1,233 26.4200 USD
USD 0.01 common Sale 1,353 26.5113 USD
USD 0.01 common Sale 1,524 26.5908 USD
USD 0.01 common Sale 1,574 26.4500 USD
USD 0.01 common Sale 2,037 26.5967 USD
USD 0.01 common Sale 2,225 26.5391 USD
USD 0.01 common Sale 2,228 26.4993 USD
USD 0.01 common Sale 2,694 26.5387 USD
USD 0.01 common Sale 4,878 26.5555 USD
USD 0.01 common Sale 5,369 26.5182 USD
USD 0.01 common Sale 7,622 26.5073 USD
USD 0.01 common Sale 7,891 26.5262 USD
USD 0.01 common Sale 8,400 26.4501 USD
USD 0.01 common Sale 22,421 26.5332 USD
USD 0.01 common Sale 23,564 26.5382 USD
USD 0.01 common Sale 54,682 26.5500 USD
USD 0.01 common Sale 55,341 26.5330 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: 5 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
(http://www.thetakeoverpanel.org.uk/) .
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.
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