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Form 8.3 - NORTONLIFELOCK INC - Amendment

10th Dec 2021 17:14

 

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 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

7 DEC 2021

(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:

1,623,884

0.28%

685,848

0.12%

 

(2)

Cash-settled derivatives:

386,198

0.07%

1,513,168

0.26%

 

(3)

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

0

0.00%

2,100

0.00%

 

(4)

TOTAL:

2,010,082

0.35%

2,201,116

0.38%

 
Class of relevant security:Convertible Bond US668771AA66
InterestsShort 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%

 

(4)

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 relevantPurchase/saleNumber ofPrice per unit
securitysecurities
USD 0.01 commonPurchase

12

24.7950 USD
USD 0.01 commonPurchase

43

24.7350 USD
USD 0.01 commonPurchase

57

24.5500 USD
USD 0.01 commonPurchase

78

24.8800 USD
USD 0.01 commonPurchase

99

24.5404 USD
USD 0.01 commonPurchase

100

24.5400 USD
USD 0.01 commonPurchase

113

21.8950 EUR
USD 0.01 commonPurchase

292

24.5057 USD
USD 0.01 commonPurchase

323

24.5690 USD
USD 0.01 commonPurchase

400

24.5700 USD
USD 0.01 commonPurchase

434

24.6042 USD
USD 0.01 commonPurchase

518

24.5959 USD
USD 0.01 commonPurchase

725

24.6608 USD
USD 0.01 commonPurchase

1,372

24.6189 USD
USD 0.01 commonPurchase

1,700

24.6721 USD
USD 0.01 commonPurchase

1,776

24.6400 USD
USD 0.01 commonPurchase

1,996

24.6395 USD
USD 0.01 commonPurchase

2,203

24.5707 USD
USD 0.01 commonPurchase

2,453

24.6013 USD
USD 0.01 commonPurchase

3,439

24.5997 USD
USD 0.01 commonPurchase

3,703

24.5982 USD
USD 0.01 commonPurchase

3,775

24.6300 USD
USD 0.01 commonPurchase

3,967

24.6141 USD
USD 0.01 commonPurchase

4,264

24.5965 USD
USD 0.01 commonPurchase

4,519

24.5905 USD
USD 0.01 commonPurchase

4,559

24.6027 USD
USD 0.01 commonPurchase

4,766

24.7627 USD
USD 0.01 commonPurchase

4,940

24.6355 USD
USD 0.01 commonPurchase

5,062

24.6216 USD
USD 0.01 commonPurchase

5,121

24.6220 USD
USD 0.01 commonPurchase

5,258

24.6011 USD
USD 0.01 commonPurchase

5,462

24.6538 USD
USD 0.01 commonPurchase

5,643

24.6219 USD
USD 0.01 commonPurchase

5,896

24.7126 USD
USD 0.01 commonPurchase

6,096

24.6462 USD
USD 0.01 commonPurchase

6,470

24.6109 USD
USD 0.01 commonPurchase

6,554

24.6289 USD
USD 0.01 commonPurchase

6,754

24.6205 USD
USD 0.01 commonPurchase

7,530

24.6281 USD
USD 0.01 commonPurchase

7,630

24.6475 USD
USD 0.01 commonPurchase

9,709

24.5658 USD
USD 0.01 commonPurchase

13,433

24.6531 USD
USD 0.01 commonPurchase

14,158

24.6576 USD
USD 0.01 commonPurchase

16,853

24.7340 USD
USD 0.01 commonPurchase

19,139

24.6415 USD
USD 0.01 commonPurchase

20,204

24.5785 USD
USD 0.01 commonPurchase

41,482

24.7400 USD
USD 0.01 commonPurchase

45,873

24.6391 USD
USD 0.01 commonPurchase

56,592

24.7080 USD
USD 0.01 commonPurchase

72,381

24.6147 USD
USD 0.01 commonPurchase

80,984

24.7378 USD
USD 0.01 commonPurchase

126,000

24.7298 USD
USD 0.01 commonPurchase

249,045

24.7228 USD
USD 0.01 commonPurchase

455,274

24.6864 USD
USD 0.01 commonSale

1

24.6300 USD
USD 0.01 commonSale

11

24.5400 USD
USD 0.01 commonSale

22

24.6150 USD
USD 0.01 commonSale

33

24.5766 USD
USD 0.01 commonSale

33

24.5500 USD
USD 0.01 commonSale

33

24.5600 USD
USD 0.01 commonSale

54

24.6993 USD
USD 0.01 commonSale

55

24.5560 USD
USD 0.01 commonSale

66

24.5550 USD
USD 0.01 commonSale

100

24.5900 USD
USD 0.01 commonSale

113

21.8950 EUR
USD 0.01 commonSale

283

24.7153 USD
USD 0.01 commonSale

292

24.5057 USD
USD 0.01 commonSale

300

24.5966 USD
USD 0.01 commonSale

300

24.7866 USD
USD 0.01 commonSale

300

24.5800 USD
USD 0.01 commonSale

400

24.5700 USD
USD 0.01 commonSale

600

24.6441 USD
USD 0.01 commonSale

600

24.7683 USD
USD 0.01 commonSale

609

24.6195 USD
USD 0.01 commonSale

700

24.5992 USD
USD 0.01 commonSale

700

24.7071 USD
USD 0.01 commonSale

900

24.5661 USD
USD 0.01 commonSale

1,000

24.6844 USD
USD 0.01 commonSale

1,003

24.7049 USD
USD 0.01 commonSale

1,011

24.6434 USD
USD 0.01 commonSale

1,100

24.6868 USD
USD 0.01 commonSale

1,391

24.5253 USD
USD 0.01 commonSale

1,489

24.6724 USD
USD 0.01 commonSale

1,529

24.7507 USD
USD 0.01 commonSale

1,640

24.5885 USD
USD 0.01 commonSale

1,776

24.6400 USD
USD 0.01 commonSale

2,103

24.6573 USD
USD 0.01 commonSale

2,584

24.7744 USD
USD 0.01 commonSale

3,242

24.6994 USD
USD 0.01 commonSale

3,359

24.6516 USD
USD 0.01 commonSale

4,666

24.7641 USD
USD 0.01 commonSale

6,150

24.7093 USD
USD 0.01 commonSale

7,247

24.7342 USD
USD 0.01 commonSale

8,451

24.6652 USD
USD 0.01 commonSale

9,354

24.6368 USD
USD 0.01 commonSale

10,544

24.7400 USD
USD 0.01 commonSale

12,676

24.7275 USD
USD 0.01 commonSale

17,009

24.7322 USD
USD 0.01 commonSale

101,289

24.7371 USD
USD 0.01 commonSale

105,422

24.6027 USD
USD 0.01 commonSale

155,000

24.6436 USD
USD 0.01 commonSale

187,200

24.7521 USD
USD 0.01 commonSale

230,837

24.6871 USD
USD 0.01 commonSale

682,911

24.6864 USD
NB: The below transactions which were previously disclosed have been cancelled
Class of relevantPurchase/saleNumber ofPrice per unit
securitysecurities
USD 0.01 commonSale

227,637

24.6864 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:

10 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

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)

Class

ProductWriting,NumberExerciseTypeExpiry

of

descriptionpurchasing,ofpricedate

relevant

selling,securitiesper unit

security

varying 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/20211210005432/en/

Copyright Business Wire 2021


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