BARCLAYS PLC

FORM 8.3 - NORTONLIFELOCK INC - AMENDMENT

FORM 8.3 - NORTONLIFELOCK INC - AMENDMENT

BARCLAYS PLC

 

FORM 8.3 - Amendment to Purchase

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:

13 September 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:

1,431,911

0.25%

545,012

0.09%

 

 

 

 

(2)

Cash-settled derivatives:

 

 

 

 

160,930

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%

 

 

 

 

 

 

 

 

TOTAL:

1,593,341

0.27%

1,575,434

0.27%

 

 

 

 

Class of relevant security:

Convertible Bond US668771AA66

 

Interests

Short Positions

Number

(%)

Number

(%)

(1)

Relevant securities owned

 

 

 

 

and/or controlled:

141,000

0.02%

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:

141,000

0.02%

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

Convertible Bond

Purchase

4,000

134.1250 USD

Convertible Bond

Sale

2,000

134.1250 USD

USD 0.01 common

Purchase

13

26.6900 USD

USD 0.01 common

Purchase

19

26.6600 USD

USD 0.01 common

Purchase

26

26.7075 USD

USD 0.01 common

Purchase

37

26.9700 USD

USD 0.01 common

Purchase

50

26.7800 USD

USD 0.01 common

Purchase

64

26.9900 USD

USD 0.01 common

Purchase

100

26.8750 USD

USD 0.01 common

Purchase

100

26.8550 USD

USD 0.01 common

Purchase

100

26.8450 USD

USD 0.01 common

Purchase

100

26.7700 USD

USD 0.01 common

Purchase

100

26.5400 USD

USD 0.01 common

Purchase

100

26.9000 USD

USD 0.01 common

Purchase

100

26.8950 USD

USD 0.01 common

Purchase

127

26.9029 USD

USD 0.01 common

Purchase

200

26.7300 USD

USD 0.01 common

Purchase

200

26.8150 USD

USD 0.01 common

Purchase

200

26.8900 USD

USD 0.01 common

Purchase

200

26.8825 USD

USD 0.01 common

Purchase

220

23.4170 EUR

USD 0.01 common

Purchase

250

26.7740 USD

USD 0.01 common

Purchase

304

27.0795 USD

USD 0.01 common

Purchase

346

27.0651 USD

USD 0.01 common

Purchase

373

27.0300 USD

USD 0.01 common

Purchase

395

26.7768 USD

USD 0.01 common

Purchase

450

26.7148 USD

USD 0.01 common

Purchase

483

27.4600 USD

USD 0.01 common

Purchase

542

26.8549 USD

USD 0.01 common

Purchase

584

26.7281 USD

USD 0.01 common

Purchase

593

26.9677 USD

USD 0.01 common

Purchase

600

26.9291 USD

USD 0.01 common

Purchase

600

26.9004 USD

USD 0.01 common

Purchase

643

26.7064 USD

USD 0.01 common

Purchase

650

26.6050 USD

USD 0.01 common

Purchase

700

26.8292 USD

USD 0.01 common

Purchase

797

26.7071 USD

USD 0.01 common

Purchase

921

26.6205 USD

USD 0.01 common

Purchase

1,230

27.1295 USD

USD 0.01 common

Purchase

1,300

27.1269 USD

USD 0.01 common

Purchase

2,250

26.8151 USD

USD 0.01 common

Purchase

2,300

27.1310 USD

USD 0.01 common

Purchase

2,500

26.8506 USD

USD 0.01 common

Purchase

3,116

27.1307 USD

USD 0.01 common

Purchase

3,400

27.1058 USD

USD 0.01 common

Purchase

3,482

27.1258 USD

USD 0.01 common

Purchase

3,679

26.8072 USD

USD 0.01 common

Purchase

3,742

26.6943 USD

USD 0.01 common

Purchase

4,197

27.1043 USD

USD 0.01 common

Purchase

4,388

26.7976 USD

USD 0.01 common

Purchase

6,630

27.0942 USD

USD 0.01 common

Purchase

6,899

27.0934 USD

USD 0.01 common

Purchase

7,120

26.6100 USD

USD 0.01 common

Purchase

7,322

26.7533 USD

USD 0.01 common

Purchase

7,507

27.2600 USD

USD 0.01 common

Purchase

7,606

26.9699 USD

USD 0.01 common

Purchase

8,404

27.1079 USD

USD 0.01 common

Purchase

8,711

26.6413 USD

USD 0.01 common

Purchase

9,689

26.7308 USD

USD 0.01 common

Purchase

12,397

26.9157 USD

USD 0.01 common

Purchase

12,572

27.1105 USD

USD 0.01 common

Purchase

13,595

27.1139 USD

USD 0.01 common

Purchase

19,887

26.8744 USD

USD 0.01 common

Purchase

32,359

26.8247 USD

USD 0.01 common

Purchase

46,412

27.0084 USD

USD 0.01 common

Purchase

56,808

27.1196 USD

USD 0.01 common

Purchase

114,887

26.7294 USD

USD 0.01 common

Purchase

128,433

26.7567 USD

USD 0.01 common

Sale

1

26.7700 USD

USD 0.01 common

Sale

1

26.7100 USD

USD 0.01 common

Sale

1

26.6700 USD

USD 0.01 common

Sale

2

26.6300 USD

USD 0.01 common

Sale

4

26.6550 USD

USD 0.01 common

Sale

6

26.5916 USD

USD 0.01 common

Sale

6

26.5700 USD

USD 0.01 common

Sale

6

26.7016 USD

USD 0.01 common

Sale

12

26.7133 USD

USD 0.01 common

Sale

17

26.6900 USD

USD 0.01 common

Sale

28

26.7207 USD

USD 0.01 common

Sale

66

26.6716 USD

USD 0.01 common

Sale

66

26.8216 USD

USD 0.01 common

Sale

100

26.6750 USD

USD 0.01 common

Sale

100

26.8900 USD

USD 0.01 common

Sale

102

27.1048 USD

USD 0.01 common

Sale

103

27.0947 USD

USD 0.01 common

Sale

120

27.1391 USD

USD 0.01 common

Sale

143

26.7946 USD

USD 0.01 common

Sale

143

26.7876 USD

USD 0.01 common

Sale

150

26.9650 USD

USD 0.01 common

Sale

165

26.7813 USD

USD 0.01 common

Sale

165

26.7933 USD

USD 0.01 common

Sale

200

27.1900 USD

USD 0.01 common

Sale

220

23.4170 EUR

USD 0.01 common

Sale

253

26.8604 USD

USD 0.01 common

Sale

304

26.9503 USD

USD 0.01 common

Sale

308

26.8403 USD

USD 0.01 common

Sale

351

26.7781 USD

USD 0.01 common

Sale

407

26.8454 USD

USD 0.01 common

Sale

500

26.9025 USD

USD 0.01 common

Sale

521

27.0623 USD

USD 0.01 common

Sale

561

26.8323 USD

USD 0.01 common

Sale

584

26.7281 USD

USD 0.01 common

Sale

700

27.0785 USD

USD 0.01 common

Sale

706

27.2100 USD

USD 0.01 common

Sale

1,230

27.1295 USD

USD 0.01 common

Sale

1,760

26.7695 USD

USD 0.01 common

Sale

2,000

27.1275 USD

USD 0.01 common

Sale

2,100

27.1097 USD

USD 0.01 common

Sale

2,314

27.0715 USD

USD 0.01 common

Sale

2,330

27.1204 USD

USD 0.01 common

Sale

2,496

27.1663 USD

USD 0.01 common

Sale

2,591

26.6800 USD

USD 0.01 common

Sale

2,795

26.6833 USD

USD 0.01 common

Sale

2,812

27.0986 USD

USD 0.01 common

Sale

3,000

27.1156 USD

USD 0.01 common

Sale

3,106

27.1749 USD

USD 0.01 common

Sale

5,106

27.1005 USD

USD 0.01 common

Sale

5,196

27.1013 USD

USD 0.01 common

Sale

5,983

27.0562 USD

USD 0.01 common

Sale

6,699

26.8369 USD

USD 0.01 common

Sale

7,300

27.1291 USD

USD 0.01 common

Sale

7,493

26.9700 USD

USD 0.01 common

Sale

7,542

27.2600 USD

USD 0.01 common

Sale

7,606

26.9699 USD

USD 0.01 common

Sale

8,124

26.6176 USD

USD 0.01 common

Sale

9,268

27.0375 USD

USD 0.01 common

Sale

9,534

27.1106 USD

USD 0.01 common

Sale

11,497

26.9010 USD

USD 0.01 common

Sale

13,199

26.8534 USD

USD 0.01 common

Sale

13,865

27.1224 USD

USD 0.01 common

Sale

18,063

26.8486 USD

USD 0.01 common

Sale

30,679

26.6100 USD

USD 0.01 common

Sale

90,205

26.6126 USD

USD 0.01 common

Sale

134,025

26.7328 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:

16 Sep 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.