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: 03 December 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:

1,716,035

0.29%

882,780

0.15%

 

(2)

Cash-settled derivatives:

636,598

0.11%

1,513,168

0.26%

 

(3)

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

0

0.00%

2,100

0.00%

 
 
TOTAL:

2,352,633

0.40%

2,398,048

0.41%

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

(1)

Relevant securities owned
and/or controlled:

386,000

0.07%

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:

386,000

0.07%

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

24.0200 USD

USD 0.01 common

Purchase

1

24.1350 USD

USD 0.01 common

Purchase

1

24.1500 USD

USD 0.01 common

Purchase

2

24.0000 USD

USD 0.01 common

Purchase

42

24.1100 USD

USD 0.01 common

Purchase

100

24.1550 USD

USD 0.01 common

Purchase

102

24.1522 USD

USD 0.01 common

Purchase

200

23.9150 USD

USD 0.01 common

Purchase

200

24.0600 USD

USD 0.01 common

Purchase

219

24.1128 USD

USD 0.01 common

Purchase

300

24.1016 USD

USD 0.01 common

Purchase

300

23.9900 USD

USD 0.01 common

Purchase

302

24.1160 USD

USD 0.01 common

Purchase

307

24.1023 USD

USD 0.01 common

Purchase

378

24.1169 USD

USD 0.01 common

Purchase

500

23.9200 USD

USD 0.01 common

Purchase

502

24.0587 USD

USD 0.01 common

Purchase

589

23.9884 USD

USD 0.01 common

Purchase

610

24.0831 USD

USD 0.01 common

Purchase

780

23.9728 USD

USD 0.01 common

Purchase

800

24.0562 USD

USD 0.01 common

Purchase

919

24.0852 USD

USD 0.01 common

Purchase

1,000

23.9310 USD

USD 0.01 common

Purchase

1,200

24.0387 USD

USD 0.01 common

Purchase

1,200

23.9166 USD

USD 0.01 common

Purchase

1,601

24.0500 USD

USD 0.01 common

Purchase

1,700

24.0505 USD

USD 0.01 common

Purchase

1,876

24.0385 USD

USD 0.01 common

Purchase

1,900

24.0407 USD

USD 0.01 common

Purchase

2,200

24.0536 USD

USD 0.01 common

Purchase

3,505

24.0396 USD

USD 0.01 common

Purchase

5,165

24.0452 USD

USD 0.01 common

Purchase

5,262

24.1223 USD

USD 0.01 common

Purchase

5,599

24.1322 USD

USD 0.01 common

Purchase

7,340

24.0234 USD

USD 0.01 common

Purchase

11,349

24.0044 USD

USD 0.01 common

Purchase

15,909

24.0576 USD

USD 0.01 common

Purchase

19,022

24.1149 USD

USD 0.01 common

Purchase

28,264

24.0464 USD

USD 0.01 common

Purchase

40,229

24.1013 USD

USD 0.01 common

Purchase

77,054

23.9937 USD

USD 0.01 common

Purchase

77,295

24.1300 USD

USD 0.01 common

Purchase

117,330

24.0095 USD

USD 0.01 common

Sale

1

24.1350 USD

USD 0.01 common

Sale

2

24.1450 USD

USD 0.01 common

Sale

11

24.0100 USD

USD 0.01 common

Sale

14

24.0435 USD

USD 0.01 common

Sale

16

24.0475 USD

USD 0.01 common

Sale

16

24.0600 USD

USD 0.01 common

Sale

22

24.0972 USD

USD 0.01 common

Sale

22

24.0745 USD

USD 0.01 common

Sale

22

24.0450 USD

USD 0.01 common

Sale

25

24.0638 USD

USD 0.01 common

Sale

27

24.0883 USD

USD 0.01 common

Sale

29

24.0531 USD

USD 0.01 common

Sale

30

24.0270 USD

USD 0.01 common

Sale

33

24.0400 USD

USD 0.01 common

Sale

33

24.0466 USD

USD 0.01 common

Sale

45

24.0398 USD

USD 0.01 common

Sale

71

24.0500 USD

USD 0.01 common

Sale

100

24.0010 USD

USD 0.01 common

Sale

108

24.0000 USD

USD 0.01 common

Sale

129

24.0526 USD

USD 0.01 common

Sale

202

24.1793 USD

USD 0.01 common

Sale

215

24.1458 USD

USD 0.01 common

Sale

253

24.0682 USD

USD 0.01 common

Sale

260

24.0338 USD

USD 0.01 common

Sale

300

23.9900 USD

USD 0.01 common

Sale

300

24.0200 USD

USD 0.01 common

Sale

371

24.0716 USD

USD 0.01 common

Sale

796

24.1040 USD

USD 0.01 common

Sale

1,100

24.0236 USD

USD 0.01 common

Sale

1,117

24.1203 USD

USD 0.01 common

Sale

2,150

24.1060 USD

USD 0.01 common

Sale

2,432

24.0293 USD

USD 0.01 common

Sale

2,950

24.0448 USD

USD 0.01 common

Sale

4,609

24.0140 USD

USD 0.01 common

Sale

5,424

24.0265 USD

USD 0.01 common

Sale

6,632

24.1294 USD

USD 0.01 common

Sale

10,932

24.1299 USD

USD 0.01 common

Sale

13,543

24.0927 USD

USD 0.01 common

Sale

19,805

24.0956 USD

USD 0.01 common

Sale

26,451

24.1140 USD

USD 0.01 common

Sale

31,872

24.0459 USD

USD 0.01 common

Sale

77,912

24.1300 USD

USD 0.01 common

Sale

117,330

24.0095 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:

6 Dec 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

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: 752423
Time of Receipt (offset from UTC): 20211206T104311+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC