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Form 8.3 - NORTONLIFELOCK INC

29th Oct 2021 15:04

 

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

28 Oct 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:

1,622,815

0.28%

1,054,180

0.18%

 

(2)

Cash-settled derivatives:

645,893

0.11%

1,028,322

0.18%

 

(3)

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

500

0.00%

2,100

0.00%

 

(4)

TOTAL:

2,269,208

0.39%

2,084,602

0.36%

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

(1)

Relevant securities owned
and/or controlled:

361,000

0.06%

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:

361,000

0.06%

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

1

25.9000 USD
USD 0.01 commonPurchase

5

25.9650 USD
USD 0.01 commonPurchase

55

25.8900 USD
USD 0.01 commonPurchase

57

25.8850 USD
USD 0.01 commonPurchase

58

25.8699 USD
USD 0.01 commonPurchase

75

25.9366 USD
USD 0.01 commonPurchase

96

25.9753 USD
USD 0.01 commonPurchase

111

25.9883 USD
USD 0.01 commonPurchase

155

25.9303 USD
USD 0.01 commonPurchase

160

25.9771 USD
USD 0.01 commonPurchase

175

25.9105 USD
USD 0.01 commonPurchase

180

25.8800 USD
USD 0.01 commonPurchase

188

25.9135 USD
USD 0.01 commonPurchase

200

25.9750 USD
USD 0.01 commonPurchase

314

25.9428 USD
USD 0.01 commonPurchase

340

26.0060 USD
USD 0.01 commonPurchase

375

26.0552 USD
USD 0.01 commonPurchase

585

25.9868 USD
USD 0.01 commonPurchase

592

25.9608 USD
USD 0.01 commonPurchase

634

26.0000 USD
USD 0.01 commonPurchase

925

25.9971 USD
USD 0.01 commonPurchase

1,243

26.0209 USD
USD 0.01 commonPurchase

1,379

25.9600 USD
USD 0.01 commonPurchase

1,500

25.9687 USD
USD 0.01 commonPurchase

1,586

25.9489 USD
USD 0.01 commonPurchase

3,811

25.9352 USD
USD 0.01 commonPurchase

4,563

26.0768 USD
USD 0.01 commonPurchase

4,751

25.9683 USD
USD 0.01 commonPurchase

7,328

26.0310 USD
USD 0.01 commonPurchase

12,622

25.9700 USD
USD 0.01 commonPurchase

13,506

26.0002 USD
USD 0.01 commonPurchase

19,021

25.9544 USD
USD 0.01 commonPurchase

19,462

26.0657 USD
USD 0.01 commonPurchase

32,230

25.9800 USD
USD 0.01 commonSale

1

26.0800 USD
USD 0.01 commonSale

56

25.8800 USD
USD 0.01 commonSale

100

25.8900 USD
USD 0.01 commonSale

100

25.9200 USD
USD 0.01 commonSale

100

25.9000 USD
USD 0.01 commonSale

121

26.2400 USD
USD 0.01 commonSale

133

25.9978 USD
USD 0.01 commonSale

200

25.9050 USD
USD 0.01 commonSale

200

25.9125 USD
USD 0.01 commonSale

200

26.1600 USD
USD 0.01 commonSale

376

25.9736 USD
USD 0.01 commonSale

415

25.9748 USD
USD 0.01 commonSale

469

26.0535 USD
USD 0.01 commonSale

475

25.8996 USD
USD 0.01 commonSale

558

25.9034 USD
USD 0.01 commonSale

634

26.0000 USD
USD 0.01 commonSale

669

25.9678 USD
USD 0.01 commonSale

680

26.0104 USD
USD 0.01 commonSale

1,430

25.9457 USD
USD 0.01 commonSale

2,078

25.9616 USD
USD 0.01 commonSale

3,381

25.9949 USD
USD 0.01 commonSale

3,768

25.9649 USD
USD 0.01 commonSale

4,751

25.9683 USD
USD 0.01 commonSale

5,154

26.0626 USD
USD 0.01 commonSale

5,253

26.0553 USD
USD 0.01 commonSale

13,341

25.9728 USD
USD 0.01 commonSale

14,477

25.9975 USD
USD 0.01 commonSale

16,736

25.9466 USD
USD 0.01 commonSale

19,539

26.0629 USD
USD 0.01 commonSale

34,639

25.9800 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:

29 Oct 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)

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

500

27.0000

American21 Jan 2022
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/20211029005340/en/

Copyright Business Wire 2021


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