REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
13/01/2022 13:10
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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: 12 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: 1,328,471 0.23% 529,388 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: 1,603,301 0.28% 2,044,658 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 20 26.5925 USD
USD 0.01 common Purchase 41 26.7450 USD
USD 0.01 common Purchase 42 26.7150 USD
USD 0.01 common Purchase 42 26.7050 USD
USD 0.01 common Purchase 53 26.6900 USD
USD 0.01 common Purchase 55 26.8900 USD
USD 0.01 common Purchase 81 26.7498 USD
USD 0.01 common Purchase 84 26.7125 USD
USD 0.01 common Purchase 100 26.6400 USD
USD 0.01 common Purchase 100 26.6300 USD
USD 0.01 common Purchase 100 26.6500 USD
USD 0.01 common Purchase 119 26.8432 USD
USD 0.01 common Purchase 154 26.6061 USD
USD 0.01 common Purchase 175 26.6350 USD
USD 0.01 common Purchase 184 26.7443 USD
USD 0.01 common Purchase 200 26.5750 USD
USD 0.01 common Purchase 200 26.7100 USD
USD 0.01 common Purchase 212 26.5906 USD
USD 0.01 common Purchase 254 26.6366 USD
USD 0.01 common Purchase 273 26.7353 USD
USD 0.01 common Purchase 291 26.6580 USD
USD 0.01 common Purchase 304 26.6459 USD
USD 0.01 common Purchase 374 26.6624 USD
USD 0.01 common Purchase 552 26.6637 USD
USD 0.01 common Purchase 600 26.6000 USD
USD 0.01 common Purchase 600 26.6358 USD
USD 0.01 common Purchase 703 26.7400 USD
USD 0.01 common Purchase 800 26.6262 USD
USD 0.01 common Purchase 1,100 26.6331 USD
USD 0.01 common Purchase 2,143 26.9056 USD
USD 0.01 common Purchase 2,890 26.6311 USD
USD 0.01 common Purchase 3,427 26.6084 USD
USD 0.01 common Purchase 8,076 26.5798 USD
USD 0.01 common Purchase 9,053 26.6506 USD
USD 0.01 common Purchase 10,399 26.6564 USD
USD 0.01 common Purchase 10,744 26.6554 USD
USD 0.01 common Purchase 11,561 26.6412 USD
USD 0.01 common Purchase 14,779 26.5800 USD
USD 0.01 common Purchase 14,811 26.8233 USD
USD 0.01 common Purchase 104,667 26.6196 USD
USD 0.01 common Sale 18 26.9711 USD
USD 0.01 common Sale 18 26.6333 USD
USD 0.01 common Sale 20 26.6300 USD
USD 0.01 common Sale 41 26.7450 USD
USD 0.01 common Sale 42 26.7150 USD
USD 0.01 common Sale 42 26.7100 USD
USD 0.01 common Sale 54 26.6377 USD
USD 0.01 common Sale 76 26.7550 USD
USD 0.01 common Sale 91 26.6500 USD
USD 0.01 common Sale 100 26.8600 USD
USD 0.01 common Sale 106 26.5348 USD
USD 0.01 common Sale 112 26.8280 USD
USD 0.01 common Sale 112 26.8500 USD
USD 0.01 common Sale 154 26.6061 USD
USD 0.01 common Sale 175 26.6950 USD
USD 0.01 common Sale 200 26.7400 USD
USD 0.01 common Sale 218 26.8087 USD
USD 0.01 common Sale 368 26.7443 USD
USD 0.01 common Sale 373 26.7621 USD
USD 0.01 common Sale 495 26.8806 USD
USD 0.01 common Sale 600 26.7416 USD
USD 0.01 common Sale 600 26.6000 USD
USD 0.01 common Sale 1,102 26.8315 USD
USD 0.01 common Sale 1,241 26.8642 USD
USD 0.01 common Sale 3,072 26.6531 USD
USD 0.01 common Sale 3,500 26.6221 USD
USD 0.01 common Sale 6,013 26.6463 USD
USD 0.01 common Sale 7,344 26.6710 USD
USD 0.01 common Sale 7,566 26.6538 USD
USD 0.01 common Sale 8,048 26.6376 USD
USD 0.01 common Sale 8,076 26.5798 USD
USD 0.01 common Sale 13,107 26.8367 USD
USD 0.01 common Sale 16,639 26.5800 USD
USD 0.01 common Sale 121,916 26.6225 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: 13 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=52562471&newsitemid=20220113005511&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=23341ac4056fa1162092dbb67d29d0f5)
.
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=52562471&newsitemid=20220113005511&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=41b0a99c3c77971ee0f6b06b382dd053)
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(https://www.businesswire.com/news/home/20220113005511/en/)
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