REG-BARCLAYS PLC Form 8.3 - NORTONLIFELOCK INC
21/01/2022 13:35
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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 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: 20 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: 1,274,940 0.22% 579,576 0.10%
(2) Cash-settled derivatives:
335,807 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%
(4)
TOTAL: 1,610,747 0.28% 2,094,846 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 4 26.5550 USD
USD 0.01 common Purchase 15 26.4300 USD
USD 0.01 common Purchase 24 26.3000 USD
USD 0.01 common Purchase 24 26.3200 USD
USD 0.01 common Purchase 24 26.3800 USD
USD 0.01 common Purchase 34 26.3311 USD
USD 0.01 common Purchase 41 26.5600 USD
USD 0.01 common Purchase 89 26.3439 USD
USD 0.01 common Purchase 96 26.3325 USD
USD 0.01 common Purchase 98 26.6700 USD
USD 0.01 common Purchase 99 26.3157 USD
USD 0.01 common Purchase 100 26.2650 USD
USD 0.01 common Purchase 100 26.7000 USD
USD 0.01 common Purchase 103 26.5095 USD
USD 0.01 common Purchase 201 26.6500 USD
USD 0.01 common Purchase 267 26.4658 USD
USD 0.01 common Purchase 272 26.5686 USD
USD 0.01 common Purchase 291 26.4424 USD
USD 0.01 common Purchase 324 26.5901 USD
USD 0.01 common Purchase 391 26.2850 USD
USD 0.01 common Purchase 400 26.6100 USD
USD 0.01 common Purchase 404 26.5273 USD
USD 0.01 common Purchase 404 26.4288 USD
USD 0.01 common Purchase 404 26.5452 USD
USD 0.01 common Purchase 408 26.5890 USD
USD 0.01 common Purchase 419 26.5907 USD
USD 0.01 common Purchase 524 26.5111 USD
USD 0.01 common Purchase 550 26.5022 USD
USD 0.01 common Purchase 604 26.3721 USD
USD 0.01 common Purchase 700 26.4800 USD
USD 0.01 common Purchase 900 26.3700 USD
USD 0.01 common Purchase 961 26.3240 USD
USD 0.01 common Purchase 975 26.5541 USD
USD 0.01 common Purchase 1,250 26.3371 USD
USD 0.01 common Purchase 2,220 26.3219 USD
USD 0.01 common Purchase 3,681 26.4590 USD
USD 0.01 common Purchase 5,161 26.3188 USD
USD 0.01 common Purchase 5,869 26.5023 USD
USD 0.01 common Purchase 9,668 26.4825 USD
USD 0.01 common Purchase 10,168 26.4303 USD
USD 0.01 common Purchase 13,448 26.3797 USD
USD 0.01 common Purchase 17,072 26.2800 USD
USD 0.01 common Purchase 40,205 26.4105 USD
USD 0.01 common Sale 1 26.6500 USD
USD 0.01 common Sale 4 26.3000 USD
USD 0.01 common Sale 4 26.5400 USD
USD 0.01 common Sale 6 26.2900 USD
USD 0.01 common Sale 6 26.3550 USD
USD 0.01 common Sale 7 26.3800 USD
USD 0.01 common Sale 9 26.3300 USD
USD 0.01 common Sale 14 26.3671 USD
USD 0.01 common Sale 15 26.3713 USD
USD 0.01 common Sale 16 26.3534 USD
USD 0.01 common Sale 19 26.4250 USD
USD 0.01 common Sale 22 26.4336 USD
USD 0.01 common Sale 98 26.6700 USD
USD 0.01 common Sale 106 26.5067 USD
USD 0.01 common Sale 151 26.4165 USD
USD 0.01 common Sale 300 26.3100 USD
USD 0.01 common Sale 682 26.3521 USD
USD 0.01 common Sale 684 26.2934 USD
USD 0.01 common Sale 806 26.5809 USD
USD 0.01 common Sale 900 26.3700 USD
USD 0.01 common Sale 1,247 26.4303 USD
USD 0.01 common Sale 1,250 26.3371 USD
USD 0.01 common Sale 1,308 26.3265 USD
USD 0.01 common Sale 2,426 26.5425 USD
USD 0.01 common Sale 3,066 26.5354 USD
USD 0.01 common Sale 3,302 26.5025 USD
USD 0.01 common Sale 4,864 26.4813 USD
USD 0.01 common Sale 4,972 26.3787 USD
USD 0.01 common Sale 5,150 26.4144 USD
USD 0.01 common Sale 5,521 26.5026 USD
USD 0.01 common Sale 6,018 26.4309 USD
USD 0.01 common Sale 10,345 26.4635 USD
USD 0.01 common Sale 17,013 26.3624 USD
USD 0.01 common Sale 20,909 26.2800 USD
USD 0.01 common Sale 24,974 26.4323 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: 21 Jan 2021
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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