Form 8.3 - NORTONLIFELOCK INC

LONDON--()-- 

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:

23 September 2021

(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:

1,505,583

0.26%

534,330

0.09%

 

 

 

 

(2)

Cash-settled derivatives:

 

 

 

 

217,930

0.04%

1,028,322

0.18%

 

 

 

 

(3)

Stock-settled derivatives (including options)

 

 

 

 

and agreements to purchase/sell:

500

0.00%

2,100

0.00%

 

 

 

 

 

 

 

 

TOTAL:

1,724,013

0.30%

1,564,752

0.27%

 

 

 

 

Class of relevant security:

Convertible Bond US668771AA66

 

Interests

Short Positions

Number

(%)

Number

(%)

(1)

Relevant securities owned

 

 

 

 

and/or controlled:

146,000

0.03%

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:

146,000

0.03%

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

 

 

Convertible Bond Purchase

10,000

128.8750 USD
Convertible Bond Sale

5,000

128.8750 USD
USD 0.01 common Purchase

8

25.6100 USD
USD 0.01 common Purchase

21

25.7666 USD
USD 0.01 common Purchase

35

21.6100 EUR
USD 0.01 common Purchase

37

25.3700 USD
USD 0.01 common Purchase

37

25.3400 USD
USD 0.01 common Purchase

40

25.7400 USD
USD 0.01 common Purchase

42

25.7790 USD
USD 0.01 common Purchase

60

25.7633 USD
USD 0.01 common Purchase

74

25.3650 USD
USD 0.01 common Purchase

74

25.3750 USD
USD 0.01 common Purchase

81

25.7702 USD
USD 0.01 common Purchase

81

25.7518 USD
USD 0.01 common Purchase

92

25.6703 USD
USD 0.01 common Purchase

100

25.7600 USD
USD 0.01 common Purchase

100

25.7700 USD
USD 0.01 common Purchase

120

25.7566 USD
USD 0.01 common Purchase

159

25.2540 USD
USD 0.01 common Purchase

174

25.5937 USD
USD 0.01 common Purchase

200

25.7550 USD
USD 0.01 common Purchase

300

25.7650 USD
USD 0.01 common Purchase

400

25.6175 USD
USD 0.01 common Purchase

446

25.6110 USD
USD 0.01 common Purchase

588

25.6114 USD
USD 0.01 common Purchase

600

25.1800 USD
USD 0.01 common Purchase

659

25.5924 USD
USD 0.01 common Purchase

890

25.4905 USD
USD 0.01 common Purchase

958

25.5708 USD
USD 0.01 common Purchase

1,300

25.6749 USD
USD 0.01 common Purchase

1,504

25.7450 USD
USD 0.01 common Purchase

1,894

25.6135 USD
USD 0.01 common Purchase

2,100

25.4614 USD
USD 0.01 common Purchase

2,304

25.7708 USD
USD 0.01 common Purchase

2,700

25.5896 USD
USD 0.01 common Purchase

3,112

25.5840 USD
USD 0.01 common Purchase

3,525

25.5684 USD
USD 0.01 common Purchase

4,499

25.6076 USD
USD 0.01 common Purchase

6,150

25.5862 USD
USD 0.01 common Purchase

8,871

25.6206 USD
USD 0.01 common Purchase

9,922

25.3851 USD
USD 0.01 common Purchase

13,428

25.7501 USD
USD 0.01 common Purchase

17,398

25.7357 USD
USD 0.01 common Purchase

18,522

25.4626 USD
USD 0.01 common Purchase

21,441

25.5109 USD
USD 0.01 common Purchase

31,149

25.5759 USD
USD 0.01 common Purchase

46,035

25.6305 USD
USD 0.01 common Purchase

48,380

25.6260 USD
USD 0.01 common Purchase

96,743

25.7500 USD
USD 0.01 common Purchase

123,787

25.5523 USD
USD 0.01 common Purchase

202,922

25.6824 USD
USD 0.01 common Purchase

230,950

25.1700 USD
USD 0.01 common Sale

6

25.7300 USD
USD 0.01 common Sale

35

21.6100 EUR
USD 0.01 common Sale

44

25.2395 USD
USD 0.01 common Sale

92

25.6703 USD
USD 0.01 common Sale

100

25.7450 USD
USD 0.01 common Sale

100

25.4400 USD
USD 0.01 common Sale

100

25.7550 USD
USD 0.01 common Sale

100

25.7250 USD
USD 0.01 common Sale

200

25.7400 USD
USD 0.01 common Sale

200

25.7650 USD
USD 0.01 common Sale

200

25.7350 USD
USD 0.01 common Sale

245

25.6591 USD
USD 0.01 common Sale

301

25.7700 USD
USD 0.01 common Sale

611

25.7501 USD
USD 0.01 common Sale

616

25.7600 USD
USD 0.01 common Sale

746

25.7692 USD
USD 0.01 common Sale

800

25.7481 USD
USD 0.01 common Sale

800

25.7562 USD
USD 0.01 common Sale

973

25.7592 USD
USD 0.01 common Sale

1,110

25.4950 USD
USD 0.01 common Sale

1,200

25.1800 USD
USD 0.01 common Sale

1,290

25.7378 USD
USD 0.01 common Sale

1,400

25.7655 USD
USD 0.01 common Sale

1,500

25.7646 USD
USD 0.01 common Sale

2,100

25.4614 USD
USD 0.01 common Sale

2,100

25.5247 USD
USD 0.01 common Sale

2,145

25.6400 USD
USD 0.01 common Sale

3,052

25.7563 USD
USD 0.01 common Sale

4,719

25.7053 USD
USD 0.01 common Sale

5,030

25.6635 USD
USD 0.01 common Sale

5,361

25.7198 USD
USD 0.01 common Sale

5,919

25.5529 USD
USD 0.01 common Sale

8,474

25.7593 USD
USD 0.01 common Sale

16,080

25.4412 USD
USD 0.01 common Sale

16,393

25.6926 USD
USD 0.01 common Sale

16,564

25.6665 USD
USD 0.01 common Sale

18,941

25.7227 USD
USD 0.01 common Sale

21,018

25.4979 USD
USD 0.01 common Sale

46,035

25.6304 USD
USD 0.01 common Sale

107,170

25.7500 USD
USD 0.01 common Sale

144,942

25.6747 USD
USD 0.01 common Sale

230,950

25.1700 USD
USD 0.01 common Sale

231,840

25.1712 USD

(b) Cash-settled derivative transactions

Class of relevant security

Product description

e.g. CFD

Nature of dealing

e.g. opening/closing a long/short position, increasing/reducing a long/short position

Number of reference securities

Price per unit

 

 

 

 

 

 

(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

e.g. American, European etc.

Expiry date

Option money paid/ received per unit

 

 

 

 

 

 

 

 

(ii) Exercise

Class of relevant security

Product description

e.g. call option

Exercising/ exercised against

Number of securities

Exercise price per unit

 

 

 

 

 

 

(d) Other dealings (including subscribing for new securities)

Class of relevant security

Nature of dealing

e.g. subscription, conversion

Details

Price per unit (if applicable)

 

 

 

 

 

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:

24 Sep 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.

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

Call Options

Purchased

500

27.0000

American

21 Jan 2022

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.

Category Code: RET
Sequence Number: 746815
Time of Receipt (offset from UTC): 20210924T130915+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC