Form 8.3 - NORTONLIFELOCK INC Amendment

LONDON--()-- 

FORM 8.3

Amendment to Sale

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: 22 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:

1,493,141

0.26%

545,635

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:

1,711,571

0.29%

1,576,057

0.27%

 
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)

(1)

Relevant securities owned
and/or controlled:

141,000

0.02%

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:

141,000

0.02%

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

6

24.9358 USD
USD 0.01 common Purchase

11

24.9800 USD
USD 0.01 common Purchase

38

24.9350 USD
USD 0.01 common Purchase

38

24.9450 USD
USD 0.01 common Purchase

39

24.9628 USD
USD 0.01 common Purchase

57

24.9550 USD
USD 0.01 common Purchase

57

24.9516 USD
USD 0.01 common Purchase

57

24.9650 USD
USD 0.01 common Purchase

65

24.9115 USD
USD 0.01 common Purchase

123

24.9890 USD
USD 0.01 common Purchase

139

24.9600 USD
USD 0.01 common Purchase

190

24.9610 USD
USD 0.01 common Purchase

200

25.1000 USD
USD 0.01 common Purchase

200

25.0000 USD
USD 0.01 common Purchase

201

24.9200 USD
USD 0.01 common Purchase

231

25.1067 USD
USD 0.01 common Purchase

301

25.1498 USD
USD 0.01 common Purchase

338

24.9744 USD
USD 0.01 common Purchase

494

24.9919 USD
USD 0.01 common Purchase

500

25.1460 USD
USD 0.01 common Purchase

584

25.1700 USD
USD 0.01 common Purchase

800

25.1375 USD
USD 0.01 common Purchase

1,003

24.9500 USD
USD 0.01 common Purchase

1,060

25.1282 USD
USD 0.01 common Purchase

1,335

25.0467 USD
USD 0.01 common Purchase

1,510

25.1307 USD
USD 0.01 common Purchase

1,600

25.0543 USD
USD 0.01 common Purchase

1,793

25.1044 USD
USD 0.01 common Purchase

2,100

25.1500 USD
USD 0.01 common Purchase

2,123

25.0088 USD
USD 0.01 common Purchase

2,161

24.9571 USD
USD 0.01 common Purchase

2,700

25.1262 USD
USD 0.01 common Purchase

2,909

25.0665 USD
USD 0.01 common Purchase

2,911

25.1257 USD
USD 0.01 common Purchase

3,000

25.0020 USD
USD 0.01 common Purchase

3,507

25.0457 USD
USD 0.01 common Purchase

4,288

25.1228 USD
USD 0.01 common Purchase

8,852

24.9547 USD
USD 0.01 common Purchase

11,216

25.1346 USD
USD 0.01 common Purchase

13,772

25.0268 USD
USD 0.01 common Purchase

16,448

25.0050 USD
USD 0.01 common Purchase

17,278

24.9802 USD
USD 0.01 common Purchase

20,290

24.9872 USD
USD 0.01 common Purchase

20,500

24.9401 USD
USD 0.01 common Purchase

24,516

25.0074 USD
USD 0.01 common Purchase

58,171

24.9400 USD
USD 0.01 common Purchase

69,934

24.9796 USD
USD 0.01 common Sale

10

24.9700 USD
USD 0.01 common Sale

75

24.9300 USD
USD 0.01 common Sale

93

25.1300 USD
USD 0.01 common Sale

100

25.1600 USD
USD 0.01 common Sale

100

25.1400 USD
USD 0.01 common Sale

105

24.9104 USD
USD 0.01 common Sale

161

24.9867 USD
USD 0.01 common Sale

200

24.8650 USD
USD 0.01 common Sale

200

24.9950 USD
USD 0.01 common Sale

200

25.1000 USD
USD 0.01 common Sale

300

24.9716 USD
USD 0.01 common Sale

300

25.0100 USD
USD 0.01 common Sale

304

24.9567 USD
USD 0.01 common Sale

327

24.9324 USD
USD 0.01 common Sale

474

25.0696 USD
USD 0.01 common Sale

500

24.9520 USD
USD 0.01 common Sale

511

24.9610 USD
USD 0.01 common Sale

523

25.0000 USD
USD 0.01 common Sale

585

25.1700 USD
USD 0.01 common Sale

668

24.9783 USD
USD 0.01 common Sale

700

24.9828 USD
USD 0.01 common Sale

721

25.1548 USD
USD 0.01 common Sale

744

24.9538 USD
USD 0.01 common Sale

800

24.9600 USD
USD 0.01 common Sale

816

24.9740 USD
USD 0.01 common Sale

825

25.1554 USD
USD 0.01 common Sale

926

24.9405 USD
USD 0.01 common Sale

1,000

25.1605 USD
USD 0.01 common Sale

1,000

25.1465 USD
USD 0.01 common Sale

1,001

25.1470 USD
USD 0.01 common Sale

1,086

24.9464 USD
USD 0.01 common Sale

1,088

24.9601 USD
USD 0.01 common Sale

1,300

25.1530 USD
USD 0.01 common Sale

1,500

25.1318 USD
USD 0.01 common Sale

1,502

25.1357 USD
USD 0.01 common Sale

1,541

25.1177 USD
USD 0.01 common Sale

1,646

25.1419 USD
USD 0.01 common Sale

3,808

25.0020 USD
USD 0.01 common Sale

4,172

25.1426 USD
USD 0.01 common Sale

4,437

25.1354 USD
USD 0.01 common Sale

5,043

24.9540 USD
USD 0.01 common Sale

10,279

24.9398 USD
USD 0.01 common Sale

11,833

24.9947 USD
USD 0.01 common Sale

16,445

24.9846 USD
USD 0.01 common Sale

20,351

25.0048 USD
USD 0.01 common Sale

21,078

24.9409 USD
USD 0.01 common Sale

29,823

25.0144 USD
USD 0.01 common Sale

54,322

24.9400 USD
USD 0.01 common Sale

90,494

24.9857 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: 746844
Time of Receipt (offset from UTC): 20210924T171734+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC