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: 19 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:

1,564,550

0.27%

967,104

0.17%

 

 

 

 

(2)

Cash-settled derivatives:

 

 

 

 

655,267

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:

2,220,317

0.38%

1,997,526

0.34%

 
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

7

25.8650 USD
USD 0.01 common Purchase

7

25.8700 USD
USD 0.01 common Purchase

7

25.8100 USD
USD 0.01 common Purchase

7

25.7900 USD
USD 0.01 common Purchase

14

25.8375 USD
USD 0.01 common Purchase

21

25.8466 USD
USD 0.01 common Purchase

21

25.7933 USD
USD 0.01 common Purchase

28

25.8225 USD
USD 0.01 common Purchase

34

25.8550 USD
USD 0.01 common Purchase

34

25.8250 USD
USD 0.01 common Purchase

48

25.7500 USD
USD 0.01 common Purchase

56

25.8425 USD
USD 0.01 common Purchase

63

25.7185 USD
USD 0.01 common Purchase

65

25.7767 USD
USD 0.01 common Purchase

66

25.7543 USD
USD 0.01 common Purchase

100

25.6950 USD
USD 0.01 common Purchase

101

25.7599 USD
USD 0.01 common Purchase

119

25.7579 USD
USD 0.01 common Purchase

166

25.8087 USD
USD 0.01 common Purchase

200

25.6400 USD
USD 0.01 common Purchase

206

25.7550 USD
USD 0.01 common Purchase

300

25.7800 USD
USD 0.01 common Purchase

300

25.8277 USD
USD 0.01 common Purchase

404

25.7525 USD
USD 0.01 common Purchase

420

25.7780 USD
USD 0.01 common Purchase

475

25.7600 USD
USD 0.01 common Purchase

510

25.7534 USD
USD 0.01 common Purchase

555

25.7527 USD
USD 0.01 common Purchase

726

25.8070 USD
USD 0.01 common Purchase

829

25.8221 USD
USD 0.01 common Purchase

1,443

25.7578 USD
USD 0.01 common Purchase

1,568

25.7958 USD
USD 0.01 common Purchase

1,678

25.7576 USD
USD 0.01 common Purchase

2,476

25.7701 USD
USD 0.01 common Purchase

3,241

25.7547 USD
USD 0.01 common Purchase

5,241

25.8085 USD
USD 0.01 common Purchase

5,888

25.7868 USD
USD 0.01 common Purchase

14,131

25.7968 USD
USD 0.01 common Purchase

17,098

25.8200 USD
USD 0.01 common Purchase

19,374

25.7950 USD
USD 0.01 common Purchase

25,813

25.8329 USD
USD 0.01 common Purchase

26,163

25.7896 USD
USD 0.01 common Purchase

34,418

25.7924 USD
USD 0.01 common Purchase

37,706

25.8201 USD
USD 0.01 common Purchase

61,645

25.8198 USD
USD 0.01 common Sale

2

25.6700 USD
USD 0.01 common Sale

2

25.7800 USD
USD 0.01 common Sale

4

25.7825 USD
USD 0.01 common Sale

8

25.7075 USD
USD 0.01 common Sale

8

25.7950 USD
USD 0.01 common Sale

10

25.7860 USD
USD 0.01 common Sale

14

25.8100 USD
USD 0.01 common Sale

16

25.7687 USD
USD 0.01 common Sale

18

25.7844 USD
USD 0.01 common Sale

20

25.7530 USD
USD 0.01 common Sale

22

25.7627 USD
USD 0.01 common Sale

22

25.7727 USD
USD 0.01 common Sale

26

25.7853 USD
USD 0.01 common Sale

34

25.7797 USD
USD 0.01 common Sale

34

25.7752 USD
USD 0.01 common Sale

40

25.7770 USD
USD 0.01 common Sale

40

25.7670 USD
USD 0.01 common Sale

52

25.7815 USD
USD 0.01 common Sale

56

25.7782 USD
USD 0.01 common Sale

66

25.8524 USD
USD 0.01 common Sale

88

25.7764 USD
USD 0.01 common Sale

102

25.7767 USD
USD 0.01 common Sale

200

25.8300 USD
USD 0.01 common Sale

289

25.7565 USD
USD 0.01 common Sale

296

25.8347 USD
USD 0.01 common Sale

332

25.8179 USD
USD 0.01 common Sale

390

25.8390 USD
USD 0.01 common Sale

418

25.7921 USD
USD 0.01 common Sale

499

25.7469 USD
USD 0.01 common Sale

500

25.8260 USD
USD 0.01 common Sale

510

25.7534 USD
USD 0.01 common Sale

673

25.7405 USD
USD 0.01 common Sale

702

25.7500 USD
USD 0.01 common Sale

865

25.8166 USD
USD 0.01 common Sale

900

25.7433 USD
USD 0.01 common Sale

1,053

25.7528 USD
USD 0.01 common Sale

1,204

25.7890 USD
USD 0.01 common Sale

1,400

25.7557 USD
USD 0.01 common Sale

2,011

25.7400 USD
USD 0.01 common Sale

2,676

25.7603 USD
USD 0.01 common Sale

2,685

25.7856 USD
USD 0.01 common Sale

3,380

25.7771 USD
USD 0.01 common Sale

3,543

25.7906 USD
USD 0.01 common Sale

3,827

25.8178 USD
USD 0.01 common Sale

4,050

25.8025 USD
USD 0.01 common Sale

5,036

25.8208 USD
USD 0.01 common Sale

13,713

25.7969 USD
USD 0.01 common Sale

16,469

25.7501 USD
USD 0.01 common Sale

21,400

25.8500 USD
USD 0.01 common Sale

28,685

25.7875 USD
USD 0.01 common Sale

31,159

25.8251 USD
USD 0.01 common Sale

32,510

25.8201 USD
USD 0.01 common Sale

74,906

25.8200 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: 20 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: 749012
Time of Receipt (offset from UTC): 20211020T103135+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC