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: 15 October 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:

1,579,029

0.27%

886,125

0.15%

 

 

 

 

(2)

Cash-settled derivatives:

 

 

 

 

641,167

0.11%

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:

2,220,696

0.38%

1,916,547

0.33%

 
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

2

25.3250 USD
USD 0.01 common Purchase

4

25.4150 USD
USD 0.01 common Purchase

7

25.2500 USD
USD 0.01 common Purchase

7

25.2950 USD
USD 0.01 common Purchase

14

25.2875 USD
USD 0.01 common Purchase

14

25.2200 USD
USD 0.01 common Purchase

14

25.2671 USD
USD 0.01 common Purchase

14

25.2925 USD
USD 0.01 common Purchase

21

25.2266 USD
USD 0.01 common Purchase

21

25.2516 USD
USD 0.01 common Purchase

26

25.2630 USD
USD 0.01 common Purchase

28

25.2575 USD
USD 0.01 common Purchase

35

25.2750 USD
USD 0.01 common Purchase

41

25.3047 USD
USD 0.01 common Purchase

45

25.4031 USD
USD 0.01 common Purchase

53

25.4200 USD
USD 0.01 common Purchase

71

25.3301 USD
USD 0.01 common Purchase

76

25.3394 USD
USD 0.01 common Purchase

76

25.3018 USD
USD 0.01 common Purchase

85

25.2369 USD
USD 0.01 common Purchase

100

25.2150 USD
USD 0.01 common Purchase

100

25.3196 USD
USD 0.01 common Purchase

112

25.3114 USD
USD 0.01 common Purchase

116

25.3129 USD
USD 0.01 common Purchase

124

25.3535 USD
USD 0.01 common Purchase

140

25.3172 USD
USD 0.01 common Purchase

144

25.3327 USD
USD 0.01 common Purchase

148

25.3448 USD
USD 0.01 common Purchase

160

25.3385 USD
USD 0.01 common Purchase

230

25.2563 USD
USD 0.01 common Purchase

234

21.8447 EUR
USD 0.01 common Purchase

249

25.2650 USD
USD 0.01 common Purchase

669

25.3733 USD
USD 0.01 common Purchase

900

25.2400 USD
USD 0.01 common Purchase

979

25.2840 USD
USD 0.01 common Purchase

1,126

25.3555 USD
USD 0.01 common Purchase

1,200

25.3950 USD
USD 0.01 common Purchase

1,316

25.2732 USD
USD 0.01 common Purchase

1,427

25.2999 USD
USD 0.01 common Purchase

1,805

25.3900 USD
USD 0.01 common Purchase

2,200

25.2877 USD
USD 0.01 common Purchase

2,528

25.3211 USD
USD 0.01 common Purchase

2,684

25.3748 USD
USD 0.01 common Purchase

2,691

25.3061 USD
USD 0.01 common Purchase

2,718

25.2762 USD
USD 0.01 common Purchase

3,748

25.2960 USD
USD 0.01 common Purchase

4,918

25.3346 USD
USD 0.01 common Purchase

6,112

25.4051 USD
USD 0.01 common Purchase

10,059

25.3739 USD
USD 0.01 common Purchase

13,970

25.3471 USD
USD 0.01 common Purchase

16,096

25.3317 USD
USD 0.01 common Purchase

28,050

25.3017 USD
USD 0.01 common Purchase

37,389

25.3880 USD
USD 0.01 common Purchase

44,129

25.3119 USD
USD 0.01 common Purchase

64,139

25.3000 USD
USD 0.01 common Sale

1

25.3400 USD
USD 0.01 common Sale

1

25.2550 USD
USD 0.01 common Sale

24

25.3470 USD
USD 0.01 common Sale

25

25.4772 USD
USD 0.01 common Sale

34

25.2755 USD
USD 0.01 common Sale

34

25.2857 USD
USD 0.01 common Sale

35

25.3008 USD
USD 0.01 common Sale

36

25.3211 USD
USD 0.01 common Sale

44

25.3756 USD
USD 0.01 common Sale

53

25.4200 USD
USD 0.01 common Sale

55

25.3600 USD
USD 0.01 common Sale

59

25.3918 USD
USD 0.01 common Sale

73

25.3261 USD
USD 0.01 common Sale

85

25.2369 USD
USD 0.01 common Sale

100

25.2400 USD
USD 0.01 common Sale

100

25.2700 USD
USD 0.01 common Sale

107

25.2200 USD
USD 0.01 common Sale

200

25.2800 USD
USD 0.01 common Sale

234

21.8447 EUR
USD 0.01 common Sale

236

25.3760 USD
USD 0.01 common Sale

301

25.2697 USD
USD 0.01 common Sale

364

25.2842 USD
USD 0.01 common Sale

400

25.3087 USD
USD 0.01 common Sale

578

25.3900 USD
USD 0.01 common Sale

616

25.3476 USD
USD 0.01 common Sale

651

25.3495 USD
USD 0.01 common Sale

950

25.3724 USD
USD 0.01 common Sale

1,015

25.3913 USD
USD 0.01 common Sale

2,468

25.3808 USD
USD 0.01 common Sale

3,052

25.4074 USD
USD 0.01 common Sale

3,999

25.3133 USD
USD 0.01 common Sale

7,174

25.3571 USD
USD 0.01 common Sale

10,060

25.3691 USD
USD 0.01 common Sale

11,003

25.3016 USD
USD 0.01 common Sale

16,187

25.3230 USD
USD 0.01 common Sale

17,286

25.3398 USD
USD 0.01 common Sale

25,207

25.3000 USD
USD 0.01 common Sale

27,463

25.3017 USD
USD 0.01 common Sale

37,523

25.3876 USD
USD 0.01 common Sale

40,030

25.3113 USD
USD 0.01 common Sale

40,788

25.3005 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:

18 Oct 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: 748566
Time of Receipt (offset from UTC): 20211018T102721+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC