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Form 8.3 - NORTONLIFELOCK INC

24th Jan 2022 13:26

 

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 interests and short positions disclosed, if different from 1(a):

The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.

 

(c) Name of offeror/offeree in relation to whose relevant securities this form relates:

Use a separate form for each offeror/offeree

NORTONLIFELOCK INC

(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:

For an opening position disclosure, state the latest practicable date prior to the disclosure

21 Jan 2022

(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer?

If it is a cash offer or possible cash offer, state “N/A”

YES: 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
InterestsShort Positions
Number(%)Number(%)

(1)

Relevant securities owned

 

and/or controlled:

1,343,065

0.23%

598,654

0.10%

 

(2)

Cash-settled derivatives:

 

335,807

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:

1,678,872

0.29%

2,113,924

0.36%

 
Class of relevant security:Convertible Bond US668771AA66
InterestsShort 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 relevantPurchase/saleNumber ofPrice per unit
securitysecurities
USD 0.01 commonPurchase

6

26.1733 USD
USD 0.01 commonPurchase

25

25.9900 USD
USD 0.01 commonPurchase

45

26.1488 USD
USD 0.01 commonPurchase

47

26.1000 USD
USD 0.01 commonPurchase

75

26.0933 USD
USD 0.01 commonPurchase

75

26.0666 USD
USD 0.01 commonPurchase

75

26.0533 USD
USD 0.01 commonPurchase

94

26.0950 USD
USD 0.01 commonPurchase

94

26.1100 USD
USD 0.01 commonPurchase

94

26.0800 USD
USD 0.01 commonPurchase

100

26.0575 USD
USD 0.01 commonPurchase

100

26.3800 USD
USD 0.01 commonPurchase

109

26.4200 USD
USD 0.01 commonPurchase

125

26.0700 USD
USD 0.01 commonPurchase

141

26.0866 USD
USD 0.01 commonPurchase

166

26.0972 USD
USD 0.01 commonPurchase

200

26.4000 USD
USD 0.01 commonPurchase

200

26.4050 USD
USD 0.01 commonPurchase

200

26.1200 USD
USD 0.01 commonPurchase

209

26.2000 USD
USD 0.01 commonPurchase

431

26.0546 USD
USD 0.01 commonPurchase

500

26.3870 USD
USD 0.01 commonPurchase

589

26.1437 USD
USD 0.01 commonPurchase

672

26.1659 USD
USD 0.01 commonPurchase

756

26.3978 USD
USD 0.01 commonPurchase

800

26.4062 USD
USD 0.01 commonPurchase

989

26.1056 USD
USD 0.01 commonPurchase

3,250

26.0900 USD
USD 0.01 commonPurchase

4,885

26.4095 USD
USD 0.01 commonPurchase

5,089

26.1902 USD
USD 0.01 commonPurchase

5,248

26.2038 USD
USD 0.01 commonPurchase

7,517

26.1262 USD
USD 0.01 commonPurchase

8,047

26.1981 USD
USD 0.01 commonPurchase

11,557

26.1476 USD
USD 0.01 commonPurchase

12,494

26.1312 USD
USD 0.01 commonPurchase

12,657

26.3722 USD
USD 0.01 commonPurchase

42,342

26.0710 USD
USD 0.01 commonPurchase

43,387

26.1507 USD
USD 0.01 commonPurchase

43,961

26.2106 USD
USD 0.01 commonPurchase

80,404

26.0600 USD
USD 0.01 commonSale

18

26.3000 USD
USD 0.01 commonSale

22

26.1800 USD
USD 0.01 commonSale

23

26.0400 USD
USD 0.01 commonSale

46

26.0300 USD
USD 0.01 commonSale

69

26.0500 USD
USD 0.01 commonSale

100

26.1100 USD
USD 0.01 commonSale

100

26.1000 USD
USD 0.01 commonSale

100

26.1300 USD
USD 0.01 commonSale

100

26.1450 USD
USD 0.01 commonSale

100

26.2100 USD
USD 0.01 commonSale

100

26.2250 USD
USD 0.01 commonSale

156

26.3500 USD
USD 0.01 commonSale

200

26.2225 USD
USD 0.01 commonSale

225

26.2858 USD
USD 0.01 commonSale

259

26.0650 USD
USD 0.01 commonSale

339

26.0586 USD
USD 0.01 commonSale

459

26.2764 USD
USD 0.01 commonSale

466

26.2231 USD
USD 0.01 commonSale

500

26.1280 USD
USD 0.01 commonSale

500

26.3640 USD
USD 0.01 commonSale

656

26.0609 USD
USD 0.01 commonSale

800

26.2887 USD
USD 0.01 commonSale

998

26.2492 USD
USD 0.01 commonSale

1,291

26.0766 USD
USD 0.01 commonSale

1,384

26.0736 USD
USD 0.01 commonSale

1,526

26.0688 USD
USD 0.01 commonSale

1,753

26.0716 USD
USD 0.01 commonSale

1,778

26.0674 USD
USD 0.01 commonSale

2,054

26.0533 USD
USD 0.01 commonSale

2,083

26.0620 USD
USD 0.01 commonSale

2,096

26.0671 USD
USD 0.01 commonSale

2,406

26.3070 USD
USD 0.01 commonSale

2,718

26.0517 USD
USD 0.01 commonSale

3,200

26.0900 USD
USD 0.01 commonSale

3,478

26.2103 USD
USD 0.01 commonSale

4,034

26.2364 USD
USD 0.01 commonSale

4,109

26.1738 USD
USD 0.01 commonSale

4,313

26.0998 USD
USD 0.01 commonSale

4,729

26.1993 USD
USD 0.01 commonSale

6,750

26.4000 USD
USD 0.01 commonSale

6,984

26.0824 USD
USD 0.01 commonSale

7,042

26.1356 USD
USD 0.01 commonSale

7,550

26.4059 USD
USD 0.01 commonSale

7,550

26.4500 USD
USD 0.01 commonSale

7,866

26.3800 USD
USD 0.01 commonSale

8,385

26.1102 USD
USD 0.01 commonSale

13,303

26.1677 USD
USD 0.01 commonSale

14,688

26.0741 USD
USD 0.01 commonSale

21,957

26.0926 USD
USD 0.01 commonSale

25,365

26.2075 USD
USD 0.01 commonSale

26,972

26.0600 USD
USD 0.01 commonSale

40,093

26.1806 USD
USD 0.01 commonSale

64,472

26.1216 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:

24 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

Full name of person making disclosure:

Barclays PLC.

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

NORTONLIFELOCK INC

2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

ClassProductWriting,NumberExerciseTypeExpiry
ofdescriptionpurchasing,ofpricedate
relevantselling,securitiesper unit
securityvarying etcto which
option
relates
USD 0.01 commonPut OptionsPurchased

-2,100

30.0000

American21 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.

View source version on businesswire.com: https://www.businesswire.com/news/home/20220124005423/en/

Copyright Business Wire 2022


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