REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
07/01/2022 12:35
For best results when printing this announcement, please click on link below:
http://newsfile.refinitiv.com/getnewsfile/v1/story?guid=urn:newsml:reuters.com:20220107:nBw19g3Hza&default-theme=true
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 interests and short positions disclosed, if
different from 1(a):
The naming of nominee or vehicle companies is insufficient. For a trust, the
trustee(s), settlor and beneficiaries must be named.
(c) Name of offeror/offeree in relation to whose relevant securities this form NORTONLIFELOCK INC
relates:
Use a separate form for each offeror/offeree
(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: 6 Jan 2022
For an opening position disclosure, state the latest practicable date prior to
the disclosure
(f) In addition to the company in 1(c) above, is the discloser making YES: AVAST PLC
disclosures in respect of any other party to the offer?
If it is a cash offer or possible cash offer, state “N/A”
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: 1,356,073 0.23% 551,164 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%
(4)
TOTAL: 1,630,903 0.28% 2,066,434 0.36%
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 33 23.1306 EUR
USD 0.01 common Purchase 37 26.9100 USD
USD 0.01 common Purchase 44 27.1236 USD
USD 0.01 common Purchase 60 27.3826 USD
USD 0.01 common Purchase 63 26.9550 USD
USD 0.01 common Purchase 64 27.2125 USD
USD 0.01 common Purchase 72 27.1855 USD
USD 0.01 common Purchase 80 27.3305 USD
USD 0.01 common Purchase 100 26.3100 USD
USD 0.01 common Purchase 100 27.1200 USD
USD 0.01 common Purchase 100 27.1308 USD
USD 0.01 common Purchase 192 27.0935 USD
USD 0.01 common Purchase 200 27.0499 USD
USD 0.01 common Purchase 200 27.2650 USD
USD 0.01 common Purchase 264 27.0704 USD
USD 0.01 common Purchase 300 27.1800 USD
USD 0.01 common Purchase 302 27.3061 USD
USD 0.01 common Purchase 305 27.0101 USD
USD 0.01 common Purchase 321 27.0864 USD
USD 0.01 common Purchase 381 27.0544 USD
USD 0.01 common Purchase 503 27.0402 USD
USD 0.01 common Purchase 520 27.0126 USD
USD 0.01 common Purchase 698 27.0635 USD
USD 0.01 common Purchase 800 26.8045 USD
USD 0.01 common Purchase 1,200 27.0274 USD
USD 0.01 common Purchase 1,467 27.1068 USD
USD 0.01 common Purchase 1,654 27.0666 USD
USD 0.01 common Purchase 4,400 27.1183 USD
USD 0.01 common Purchase 4,414 27.5767 USD
USD 0.01 common Purchase 4,488 27.0735 USD
USD 0.01 common Purchase 6,840 26.7345 USD
USD 0.01 common Purchase 9,974 27.0573 USD
USD 0.01 common Purchase 10,953 27.2538 USD
USD 0.01 common Purchase 24,103 27.2558 USD
USD 0.01 common Purchase 26,905 27.0284 USD
USD 0.01 common Purchase 35,031 27.0600 USD
USD 0.01 common Purchase 48,888 27.3384 USD
USD 0.01 common Purchase 53,750 27.0493 USD
USD 0.01 common Purchase 132,962 27.4432 USD
USD 0.01 common Purchase 271,593 27.1155 USD
USD 0.01 common Sale 33 23.1306 EUR
USD 0.01 common Sale 37 26.9100 USD
USD 0.01 common Sale 37 27.0150 USD
USD 0.01 common Sale 63 26.9550 USD
USD 0.01 common Sale 100 27.2400 USD
USD 0.01 common Sale 100 27.5800 USD
USD 0.01 common Sale 108 27.1900 USD
USD 0.01 common Sale 114 27.1349 USD
USD 0.01 common Sale 129 27.1339 USD
USD 0.01 common Sale 192 27.4098 USD
USD 0.01 common Sale 200 27.0650 USD
USD 0.01 common Sale 200 27.5900 USD
USD 0.01 common Sale 202 27.4106 USD
USD 0.01 common Sale 221 27.5809 USD
USD 0.01 common Sale 300 27.1800 USD
USD 0.01 common Sale 400 27.0950 USD
USD 0.01 common Sale 444 27.1893 USD
USD 0.01 common Sale 490 27.3586 USD
USD 0.01 common Sale 729 27.3829 USD
USD 0.01 common Sale 1,058 27.5774 USD
USD 0.01 common Sale 1,100 27.5740 USD
USD 0.01 common Sale 1,108 27.3657 USD
USD 0.01 common Sale 1,459 27.0860 USD
USD 0.01 common Sale 1,481 27.3558 USD
USD 0.01 common Sale 1,735 27.5757 USD
USD 0.01 common Sale 1,942 27.4699 USD
USD 0.01 common Sale 2,751 26.9880 USD
USD 0.01 common Sale 2,913 26.8066 USD
USD 0.01 common Sale 3,007 27.3277 USD
USD 0.01 common Sale 3,200 27.0660 USD
USD 0.01 common Sale 3,269 27.1807 USD
USD 0.01 common Sale 3,978 27.3661 USD
USD 0.01 common Sale 4,071 27.0140 USD
USD 0.01 common Sale 4,772 27.0734 USD
USD 0.01 common Sale 6,261 27.3332 USD
USD 0.01 common Sale 8,039 27.2273 USD
USD 0.01 common Sale 8,157 27.0600 USD
USD 0.01 common Sale 8,687 27.1326 USD
USD 0.01 common Sale 34,828 27.0422 USD
USD 0.01 common Sale 37,295 27.1374 USD
USD 0.01 common Sale 38,169 27.3576 USD
USD 0.01 common Sale 40,277 27.3802 USD
USD 0.01 common Sale 41,735 27.3505 USD
USD 0.01 common Sale 47,784 27.2171 USD
USD 0.01 common Sale 53,398 27.0493 USD
USD 0.01 common Sale 60,029 27.2816 USD
USD 0.01 common Sale 62,843 27.4744 USD
USD 0.01 common Sale 154,882 27.0006 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: 7 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
Full name of person making disclosure: Barclays PLC.
Name of offeror/offeree in relation to whose relevant securities the NORTONLIFELOCK INC
disclosure 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
(http://www.thetakeoverpanel.org.uk/) .
View source version on businesswire.com:
https://www.businesswire.com/news/home/20220107005232/en/
(https://www.businesswire.com/news/home/20220107005232/en/)
BARCLAYS PLC
Copyright Business Wire 2022Recent news on Barclays
See all newsREG - Barclays Bank PLC - Publication of Final Terms
AnnouncementREG - Barclays Bank PLC - Publication of Final Terms
AnnouncementREG - Spirent Comms. PLC Barclays PLC - Holding(s) in Company
AnnouncementREG - Barclays PLC - Publication of Offering Circular
AnnouncementREG - Barclays PLC - Publication of Pricing Supplement
Announcement