REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
14/01/2022 11:30
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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: 13 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: 1,328,678 0.23% 538,759 0.09%
(2) Cash-settled derivatives:
354,830 0.06% 1,513,170 0.26%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 2,100 0.00%
TOTAL: 1,683,508 0.29% 2,054,029 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 24 26.5875 USD
USD 0.01 common Purchase 26 26.5469 USD
USD 0.01 common Purchase 32 26.5887 USD
USD 0.01 common Purchase 43 26.7430 USD
USD 0.01 common Purchase 48 26.6100 USD
USD 0.01 common Purchase 48 26.5825 USD
USD 0.01 common Purchase 48 26.6400 USD
USD 0.01 common Purchase 48 26.5950 USD
USD 0.01 common Purchase 48 26.6050 USD
USD 0.01 common Purchase 48 26.6025 USD
USD 0.01 common Purchase 72 26.6233 USD
USD 0.01 common Purchase 96 26.6062 USD
USD 0.01 common Purchase 100 26.6700 USD
USD 0.01 common Purchase 110 26.6463 USD
USD 0.01 common Purchase 112 26.6457 USD
USD 0.01 common Purchase 128 26.6235 USD
USD 0.01 common Purchase 172 26.6070 USD
USD 0.01 common Purchase 178 26.6501 USD
USD 0.01 common Purchase 200 26.6325 USD
USD 0.01 common Purchase 212 26.6395 USD
USD 0.01 common Purchase 242 26.6187 USD
USD 0.01 common Purchase 290 26.6131 USD
USD 0.01 common Purchase 300 26.7133 USD
USD 0.01 common Purchase 310 26.6450 USD
USD 0.01 common Purchase 354 26.6351 USD
USD 0.01 common Purchase 956 26.5600 USD
USD 0.01 common Purchase 1,110 26.6893 USD
USD 0.01 common Purchase 1,889 26.6401 USD
USD 0.01 common Purchase 3,066 26.6562 USD
USD 0.01 common Purchase 4,800 26.6500 USD
USD 0.01 common Purchase 5,551 26.6705 USD
USD 0.01 common Purchase 6,922 26.5995 USD
USD 0.01 common Purchase 7,256 26.5734 USD
USD 0.01 common Purchase 8,032 26.6651 USD
USD 0.01 common Purchase 17,033 26.6222 USD
USD 0.01 common Purchase 30,420 26.6000 USD
USD 0.01 common Purchase 78,658 26.6659 USD
USD 0.01 common Sale 82 26.7402 USD
USD 0.01 common Sale 190 26.7002 USD
USD 0.01 common Sale 395 26.6792 USD
USD 0.01 common Sale 546 26.7525 USD
USD 0.01 common Sale 768 26.6017 USD
USD 0.01 common Sale 956 26.5600 USD
USD 0.01 common Sale 1,582 26.5881 USD
USD 0.01 common Sale 2,074 26.6330 USD
USD 0.01 common Sale 3,764 26.6528 USD
USD 0.01 common Sale 4,288 26.5986 USD
USD 0.01 common Sale 4,446 26.6749 USD
USD 0.01 common Sale 4,524 26.6500 USD
USD 0.01 common Sale 4,619 26.6975 USD
USD 0.01 common Sale 5,023 26.7078 USD
USD 0.01 common Sale 6,212 26.6839 USD
USD 0.01 common Sale 6,760 26.7136 USD
USD 0.01 common Sale 7,256 26.5734 USD
USD 0.01 common Sale 12,115 26.6140 USD
USD 0.01 common Sale 27,870 26.6000 USD
USD 0.01 common Sale 66,266 26.6571 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: 14 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=52563027&newsitemid=20220114005198&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=2e9769efcb96ef6a5135721fa7ead6ab)
.
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=52563027&newsitemid=20220114005198&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=d8376374036d7dbaabeb3e9b91f88c91)
.
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