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: 14 January 2022
(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:

1,321,357

0.23%

540,911

0.09%

 

 

 

 

(2)

Cash-settled derivatives:

 

 

 

 

354,830

0.06%

1,513,170

0.26%

 

 

 

 

(3)

Stock-settled derivatives (including options)

 

 

 

 

and agreements to purchase/sell:

0

0.00%

2,100

0.00%

 

 

 

 

 

 

 

 

TOTAL:

1,676,187

0.29%

2,056,181

0.35%

 

 

 

 

Class of relevant security:

Convertible Bond US668771AA66

 

Interests

Short Positions

Number

(%)

Number

(%)

(1)

Relevant securities owned

 

 

 

 

and/or controlled:

390,000

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:

390,000

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

26.5500 USD

USD 0.01 common

Purchase

6

26.7750 USD

USD 0.01 common

Purchase

9

26.9000 USD

USD 0.01 common

Purchase

14

26.8700 USD

USD 0.01 common

Purchase

26

26.8650 USD

USD 0.01 common

Purchase

26

26.8850 USD

USD 0.01 common

Purchase

32

26.8900 USD

USD 0.01 common

Purchase

40

26.5000 USD

USD 0.01 common

Purchase

55

26.7600 USD

USD 0.01 common

Purchase

64

26.8875 USD

USD 0.01 common

Purchase

75

26.8750 USD

USD 0.01 common

Purchase

78

26.7916 USD

USD 0.01 common

Purchase

86

26.8950 USD

USD 0.01 common

Purchase

90

26.8350 USD

USD 0.01 common

Purchase

91

23.0450 EUR

USD 0.01 common

Purchase

100

26.7400 USD

USD 0.01 common

Purchase

112

26.8405 USD

USD 0.01 common

Purchase

132

26.5983 USD

USD 0.01 common

Purchase

154

26.8450 USD

USD 0.01 common

Purchase

170

26.7576 USD

USD 0.01 common

Purchase

200

26.4400 USD

USD 0.01 common

Purchase

201

26.6991 USD

USD 0.01 common

Purchase

211

26.3952 USD

USD 0.01 common

Purchase

264

26.8804 USD

USD 0.01 common

Purchase

267

26.3900 USD

USD 0.01 common

Purchase

418

26.4300 USD

USD 0.01 common

Purchase

808

26.4124 USD

USD 0.01 common

Purchase

917

26.6721 USD

USD 0.01 common

Purchase

2,800

26.8500 USD

USD 0.01 common

Purchase

3,144

26.7957 USD

USD 0.01 common

Purchase

5,243

26.8077 USD

USD 0.01 common

Purchase

8,367

26.7998 USD

USD 0.01 common

Purchase

8,831

26.8020 USD

USD 0.01 common

Purchase

15,144

26.6458 USD

USD 0.01 common

Purchase

33,987

26.8800 USD

USD 0.01 common

Purchase

75,598

26.7869 USD

USD 0.01 common

Sale

3

26.3900 USD

USD 0.01 common

Sale

6

26.7750 USD

USD 0.01 common

Sale

9

26.9000 USD

USD 0.01 common

Sale

19

26.5800 USD

USD 0.01 common

Sale

55

26.7600 USD

USD 0.01 common

Sale

63

26.8466 USD

USD 0.01 common

Sale

91

23.0450 EUR

USD 0.01 common

Sale

100

26.8000 USD

USD 0.01 common

Sale

110

26.7550 USD

USD 0.01 common

Sale

110

26.7450 USD

USD 0.01 common

Sale

110

26.7700 USD

USD 0.01 common

Sale

155

26.7650 USD

USD 0.01 common

Sale

203

26.7083 USD

USD 0.01 common

Sale

228

26.7902 USD

USD 0.01 common

Sale

231

26.8399 USD

USD 0.01 common

Sale

335

26.8378 USD

USD 0.01 common

Sale

412

26.8607 USD

USD 0.01 common

Sale

600

26.8100 USD

USD 0.01 common

Sale

600

26.7950 USD

USD 0.01 common

Sale

701

26.6697 USD

USD 0.01 common

Sale

800

26.7981 USD

USD 0.01 common

Sale

982

26.8013 USD

USD 0.01 common

Sale

1,000

26.7980 USD

USD 0.01 common

Sale

1,001

26.8046 USD

USD 0.01 common

Sale

1,188

26.8322 USD

USD 0.01 common

Sale

1,210

26.7886 USD

USD 0.01 common

Sale

2,108

26.6545 USD

USD 0.01 common

Sale

2,800

26.8500 USD

USD 0.01 common

Sale

3,263

26.8261 USD

USD 0.01 common

Sale

5,397

26.8726 USD

USD 0.01 common

Sale

5,481

26.7878 USD

USD 0.01 common

Sale

5,500

26.8344 USD

USD 0.01 common

Sale

5,573

26.7879 USD

USD 0.01 common

Sale

8,598

26.8066 USD

USD 0.01 common

Sale

16,301

26.7794 USD

USD 0.01 common

Sale

16,449

26.6407 USD

USD 0.01 common

Sale

20,975

26.7589 USD

USD 0.01 common

Sale

21,947

26.7758 USD

USD 0.01 common

Sale

37,258

26.8800 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 Jan 2022
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: 755268
Time of Receipt (offset from UTC): 20220118T144402+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC