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 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 relates:

Use a separate form for each offeror/offeree

NORTONLIFELOCK INC

(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:

For an opening position disclosure, state the latest practicable date prior to the disclosure

27 Sept 2021

(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer?

If it is a cash offer or possible cash offer, state “N/A”

YES : 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:

1,479,470

0.25%

458,542

0.08%

 

(2)

Cash-settled derivatives:

159,730

0.03%

1,028,322

0.18%

 

(3)

Stock-settled derivatives (including options)
and agreements to purchase/sell:

500

0.00%

2,100

0.00%

 

(4)

TOTAL:

1,639,700

0.28%

1,488,964

0.26%

 
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%

 

(4)

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

 

USD 0.01 common Purchase

1

25.5200 USD
USD 0.01 common Purchase

5

25.8350 USD
USD 0.01 common Purchase

5

25.8500 USD
USD 0.01 common Purchase

7

25.7021 USD
USD 0.01 common Purchase

7

25.7678 USD
USD 0.01 common Purchase

17

25.8132 USD
USD 0.01 common Purchase

18

25.7077 USD
USD 0.01 common Purchase

18

25.6736 USD
USD 0.01 common Purchase

22

25.6800 USD
USD 0.01 common Purchase

27

25.6700 USD
USD 0.01 common Purchase

38

25.8200 USD
USD 0.01 common Purchase

49

25.6661 USD
USD 0.01 common Purchase

53

25.6326 USD
USD 0.01 common Purchase

61

25.6630 USD
USD 0.01 common Purchase

63

25.5400 USD
USD 0.01 common Purchase

100

25.7700 USD
USD 0.01 common Purchase

110

25.7365 USD
USD 0.01 common Purchase

113

25.6300 USD
USD 0.01 common Purchase

114

25.6435 USD
USD 0.01 common Purchase

143

21.9693 EUR
USD 0.01 common Purchase

199

25.8111 USD
USD 0.01 common Purchase

224

25.5300 USD
USD 0.01 common Purchase

300

25.6733 USD
USD 0.01 common Purchase

400

25.7350 USD
USD 0.01 common Purchase

441

25.7831 USD
USD 0.01 common Purchase

524

25.5493 USD
USD 0.01 common Purchase

568

25.5482 USD
USD 0.01 common Purchase

600

25.5466 USD
USD 0.01 common Purchase

643

25.7086 USD
USD 0.01 common Purchase

713

25.5500 USD
USD 0.01 common Purchase

800

25.8075 USD
USD 0.01 common Purchase

1,100

25.5272 USD
USD 0.01 common Purchase

1,100

25.5454 USD
USD 0.01 common Purchase

1,107

25.5498 USD
USD 0.01 common Purchase

1,192

25.5449 USD
USD 0.01 common Purchase

1,603

25.5432 USD
USD 0.01 common Purchase

1,624

25.5451 USD
USD 0.01 common Purchase

2,000

25.5470 USD
USD 0.01 common Purchase

2,296

25.7109 USD
USD 0.01 common Purchase

2,521

25.7104 USD
USD 0.01 common Purchase

3,015

25.5286 USD
USD 0.01 common Purchase

3,134

25.8121 USD
USD 0.01 common Purchase

3,800

25.8166 USD
USD 0.01 common Purchase

4,555

25.6844 USD
USD 0.01 common Purchase

5,468

25.7257 USD
USD 0.01 common Purchase

6,449

25.7642 USD
USD 0.01 common Purchase

6,752

25.8141 USD
USD 0.01 common Purchase

11,196

25.8065 USD
USD 0.01 common Purchase

11,742

25.5441 USD
USD 0.01 common Purchase

29,283

25.7467 USD
USD 0.01 common Purchase

31,433

25.7336 USD
USD 0.01 common Purchase

58,595

25.8085 USD
USD 0.01 common Purchase

63,772

25.8100 USD
USD 0.01 common Sale

61

25.8200 USD
USD 0.01 common Sale

63

25.5400 USD
USD 0.01 common Sale

100

25.7200 USD
USD 0.01 common Sale

100

25.5800 USD
USD 0.01 common Sale

100

25.8150 USD
USD 0.01 common Sale

110

25.8140 USD
USD 0.01 common Sale

119

25.8036 USD
USD 0.01 common Sale

121

25.8303 USD
USD 0.01 common Sale

124

25.8500 USD
USD 0.01 common Sale

127

25.5755 USD
USD 0.01 common Sale

143

21.9693 EUR
USD 0.01 common Sale

167

25.6958 USD
USD 0.01 common Sale

186

25.8210 USD
USD 0.01 common Sale

191

25.8013 USD
USD 0.01 common Sale

204

25.8083 USD
USD 0.01 common Sale

214

25.7906 USD
USD 0.01 common Sale

224

25.5300 USD
USD 0.01 common Sale

254

25.8193 USD
USD 0.01 common Sale

294

25.6504 USD
USD 0.01 common Sale

341

25.8031 USD
USD 0.01 common Sale

400

25.8050 USD
USD 0.01 common Sale

401

25.8096 USD
USD 0.01 common Sale

428

25.8154 USD
USD 0.01 common Sale

484

25.7761 USD
USD 0.01 common Sale

500

25.8040 USD
USD 0.01 common Sale

511

25.8118 USD
USD 0.01 common Sale

526

25.8395 USD
USD 0.01 common Sale

595

25.7993 USD
USD 0.01 common Sale

600

25.8000 USD
USD 0.01 common Sale

641

25.8179 USD
USD 0.01 common Sale

676

25.8275 USD
USD 0.01 common Sale

752

25.6811 USD
USD 0.01 common Sale

867

25.7503 USD
USD 0.01 common Sale

958

25.7087 USD
USD 0.01 common Sale

1,000

25.6871 USD
USD 0.01 common Sale

1,000

25.5250 USD
USD 0.01 common Sale

1,092

25.6937 USD
USD 0.01 common Sale

1,388

25.7951 USD
USD 0.01 common Sale

1,600

25.7837 USD
USD 0.01 common Sale

2,000

25.8089 USD
USD 0.01 common Sale

2,100

25.8014 USD
USD 0.01 common Sale

2,124

25.7643 USD
USD 0.01 common Sale

2,600

25.8104 USD
USD 0.01 common Sale

2,750

25.7109 USD
USD 0.01 common Sale

2,976

25.7393 USD
USD 0.01 common Sale

3,251

25.6979 USD
USD 0.01 common Sale

6,036

25.8061 USD
USD 0.01 common Sale

7,690

25.7698 USD
USD 0.01 common Sale

9,042

25.8300 USD
USD 0.01 common Sale

9,196

25.7650 USD
USD 0.01 common Sale

10,515

25.8102 USD
USD 0.01 common Sale

12,347

25.7664 USD
USD 0.01 common Sale

14,093

25.7343 USD
USD 0.01 common Sale

30,371

25.7424 USD
USD 0.01 common Sale

52,081

25.8100 USD
USD 0.01 common Sale

67,032

25.8082 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:

28 Sept 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

Full name of person making disclosure:

Barclays PLC.

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

NORTONLIFELOCK INC

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: 747249
Time of Receipt (offset from UTC): 20210928T120814+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC