REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
12/01/2022 12:00
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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 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: 11 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: 1,326,618 0.23% 532,288 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: 1,601,448 0.28% 2,047,558 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 8 26.7600 USD
USD 0.01 common Purchase 8 26.7550 USD
USD 0.01 common Purchase 10 26.8750 USD
USD 0.01 common Purchase 16 26.8400 USD
USD 0.01 common Purchase 16 26.7425 USD
USD 0.01 common Purchase 16 26.7900 USD
USD 0.01 common Purchase 24 26.8287 USD
USD 0.01 common Purchase 31 26.8700 USD
USD 0.01 common Purchase 31 26.8200 USD
USD 0.01 common Purchase 57 26.8314 USD
USD 0.01 common Purchase 69 26.8617 USD
USD 0.01 common Purchase 108 26.8300 USD
USD 0.01 common Purchase 116 26.8562 USD
USD 0.01 common Purchase 119 26.6427 USD
USD 0.01 common Purchase 150 23.8161 EUR
USD 0.01 common Purchase 152 26.7040 USD
USD 0.01 common Purchase 184 26.7101 USD
USD 0.01 common Purchase 200 26.6650 USD
USD 0.01 common Purchase 204 26.7500 USD
USD 0.01 common Purchase 393 26.7630 USD
USD 0.01 common Purchase 451 26.8558 USD
USD 0.01 common Purchase 496 26.8680 USD
USD 0.01 common Purchase 800 26.7237 USD
USD 0.01 common Purchase 802 26.8011 USD
USD 0.01 common Purchase 955 26.8803 USD
USD 0.01 common Purchase 2,500 26.8600 USD
USD 0.01 common Purchase 3,331 26.8880 USD
USD 0.01 common Purchase 4,821 26.8895 USD
USD 0.01 common Purchase 5,214 26.7934 USD
USD 0.01 common Purchase 5,306 26.8114 USD
USD 0.01 common Purchase 5,493 26.8131 USD
USD 0.01 common Purchase 8,382 26.8882 USD
USD 0.01 common Purchase 8,460 26.8638 USD
USD 0.01 common Purchase 21,189 26.8660 USD
USD 0.01 common Purchase 21,904 26.8900 USD
USD 0.01 common Purchase 35,855 26.7844 USD
USD 0.01 common Purchase 37,737 26.7742 USD
USD 0.01 common Sale 4 26.7500 USD
USD 0.01 common Sale 23 26.8000 USD
USD 0.01 common Sale 27 26.8625 USD
USD 0.01 common Sale 31 26.8200 USD
USD 0.01 common Sale 34 26.8875 USD
USD 0.01 common Sale 34 26.8750 USD
USD 0.01 common Sale 44 26.8615 USD
USD 0.01 common Sale 51 26.8733 USD
USD 0.01 common Sale 51 26.8633 USD
USD 0.01 common Sale 68 26.8712 USD
USD 0.01 common Sale 69 26.8617 USD
USD 0.01 common Sale 76 26.7040 USD
USD 0.01 common Sale 83 26.8700 USD
USD 0.01 common Sale 85 26.8630 USD
USD 0.01 common Sale 102 26.8650 USD
USD 0.01 common Sale 150 23.8161 EUR
USD 0.01 common Sale 200 26.6200 USD
USD 0.01 common Sale 208 26.7502 USD
USD 0.01 common Sale 442 26.8490 USD
USD 0.01 common Sale 445 26.8140 USD
USD 0.01 common Sale 652 26.8319 USD
USD 0.01 common Sale 728 26.8159 USD
USD 0.01 common Sale 2,123 26.8221 USD
USD 0.01 common Sale 2,188 26.8323 USD
USD 0.01 common Sale 2,300 26.8817 USD
USD 0.01 common Sale 2,500 26.8600 USD
USD 0.01 common Sale 3,147 26.7722 USD
USD 0.01 common Sale 3,331 26.8880 USD
USD 0.01 common Sale 3,348 26.8012 USD
USD 0.01 common Sale 3,511 26.7909 USD
USD 0.01 common Sale 4,949 26.8089 USD
USD 0.01 common Sale 5,037 26.7939 USD
USD 0.01 common Sale 7,100 26.8899 USD
USD 0.01 common Sale 8,382 26.8882 USD
USD 0.01 common Sale 21,774 26.8900 USD
USD 0.01 common Sale 41,290 26.7683 USD
USD 0.01 common Sale 50,815 26.8266 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: 12 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/) .
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