29th Dec 2021 12:28
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 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: | 27 December 2021 |
| (f) | In addition to the company in 1(c) above, is the discloser making | NO |
| disclosures in respect of any other party to the offer? |
|
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: | 1,380,538 | 0.24% | 553,681 | 0.10% | ||
(2) | Cash-settled derivatives: | |||||
274,198 | 0.05% | 1,513,170 | 0.26% | |||
(3) | Stock-settled derivatives (including options) | |||||
| and agreements to purchase/sell: | 0 | 0.00% | 2,100 | 0.00% | ||
| TOTAL: | 1,654,736 | 0.28% | 2,068,951 | 0.36% | ||
| 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 | 3 | 26.0633 USD |
USD 0.01 common | Purchase | 5 | 26.0780 USD |
USD 0.01 common | Purchase | 6 | 26.0591 USD |
USD 0.01 common | Purchase | 6 | 26.0908 USD |
USD 0.01 common | Purchase | 7 | 26.1092 USD |
USD 0.01 common | Purchase | 7 | 26.0871 USD |
USD 0.01 common | Purchase | 8 | 26.0943 USD |
USD 0.01 common | Purchase | 8 | 26.0862 USD |
USD 0.01 common | Purchase | 23 | 26.0900 USD |
USD 0.01 common | Purchase | 25 | 25.9700 USD |
USD 0.01 common | Purchase | 39 | 26.0800 USD |
USD 0.01 common | Purchase | 46 | 26.1075 USD |
USD 0.01 common | Purchase | 46 | 26.1025 USD |
USD 0.01 common | Purchase | 46 | 26.1050 USD |
USD 0.01 common | Purchase | 60 | 25.8950 USD |
USD 0.01 common | Purchase | 92 | 26.0925 USD |
USD 0.01 common | Purchase | 97 | 26.0600 USD |
USD 0.01 common | Purchase | 102 | 26.1141 USD |
USD 0.01 common | Purchase | 110 | 26.1134 USD |
USD 0.01 common | Purchase | 111 | 22.8800 EUR |
USD 0.01 common | Purchase | 159 | 26.1135 USD |
USD 0.01 common | Purchase | 184 | 26.1000 USD |
USD 0.01 common | Purchase | 196 | 26.0700 USD |
USD 0.01 common | Purchase | 300 | 25.9566 USD |
USD 0.01 common | Purchase | 300 | 26.1100 USD |
USD 0.01 common | Purchase | 420 | 25.9200 USD |
USD 0.01 common | Purchase | 681 | 25.9491 USD |
USD 0.01 common | Purchase | 1,175 | 26.0596 USD |
USD 0.01 common | Purchase | 1,700 | 26.0835 USD |
USD 0.01 common | Purchase | 6,261 | 26.1296 USD |
USD 0.01 common | Purchase | 6,851 | 26.0609 USD |
USD 0.01 common | Purchase | 7,756 | 26.0608 USD |
USD 0.01 common | Purchase | 8,970 | 26.1115 USD |
USD 0.01 common | Purchase | 11,900 | 25.9938 USD |
USD 0.01 common | Purchase | 21,594 | 26.0810 USD |
USD 0.01 common | Purchase | 24,333 | 26.1300 USD |
USD 0.01 common | Purchase | 24,436 | 26.1049 USD |
USD 0.01 common | Purchase | 26,256 | 26.1277 USD |
USD 0.01 common | Sale | 5 | 26.0800 USD |
USD 0.01 common | Sale | 8 | 26.0750 USD |
USD 0.01 common | Sale | 15 | 26.0913 USD |
USD 0.01 common | Sale | 25 | 26.0960 USD |
USD 0.01 common | Sale | 29 | 26.0400 USD |
USD 0.01 common | Sale | 30 | 26.0900 USD |
USD 0.01 common | Sale | 30 | 26.0950 USD |
USD 0.01 common | Sale | 30 | 26.0925 USD |
USD 0.01 common | Sale | 31 | 26.0700 USD |
USD 0.01 common | Sale | 31 | 26.0600 USD |
USD 0.01 common | Sale | 55 | 26.0652 USD |
USD 0.01 common | Sale | 60 | 25.8950 USD |
USD 0.01 common | Sale | 60 | 25.9200 USD |
USD 0.01 common | Sale | 100 | 26.1000 USD |
USD 0.01 common | Sale | 111 | 22.8800 EUR |
USD 0.01 common | Sale | 115 | 26.0869 USD |
USD 0.01 common | Sale | 315 | 26.1100 USD |
USD 0.01 common | Sale | 442 | 26.0997 USD |
USD 0.01 common | Sale | 576 | 26.0622 USD |
USD 0.01 common | Sale | 1,000 | 26.0760 USD |
USD 0.01 common | Sale | 1,420 | 26.0674 USD |
USD 0.01 common | Sale | 1,774 | 25.8700 USD |
USD 0.01 common | Sale | 2,102 | 26.0637 USD |
USD 0.01 common | Sale | 2,300 | 26.0613 USD |
USD 0.01 common | Sale | 2,688 | 26.0454 USD |
USD 0.01 common | Sale | 3,029 | 26.0712 USD |
USD 0.01 common | Sale | 6,408 | 26.0592 USD |
USD 0.01 common | Sale | 6,625 | 26.1277 USD |
USD 0.01 common | Sale | 11,755 | 26.1290 USD |
USD 0.01 common | Sale | 13,132 | 26.0172 USD |
USD 0.01 common | Sale | 15,450 | 26.1298 USD |
USD 0.01 common | Sale | 24,436 | 26.1049 USD |
USD 0.01 common | Sale | 24,662 | 26.1300 USD |
USD 0.01 common | Sale | 27,264 | 26.0929 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 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
| 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.
View source version on businesswire.com: https://www.businesswire.com/news/home/20211229005198/en/
Copyright Business Wire 2021
Related Shares:
Barclays