BARCLAYS PLC UK Regulatory Announcement: Form 8.3 – NortonLifeLock Inc.
LONDON–(BUSINESS WIRE)–
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: | 16 July 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: | 1,964,962 | 0.34% | 183,743 | 0.03% | |
|
|
|
|
| ||
| (2) | Cash-settled derivatives: |
|
|
|
|
| 24,339 | 0.00% | 1,279,498 | 0.22% | ||
|
|
|
|
| ||
| (3) | Stock-settled derivatives (including options) |
|
|
|
|
| and agreements to purchase/sell: | 500 | 0.00% | 2,100 | 0.00% | |
|
|
|
|
| ||
|
|
|
|
| ||
| TOTAL: | 1,989,801 | 0.34% | 1,465,341 | 0.25% | |
|
|
|
|
| ||
| Class of relevant security: | Convertible Bond US668771AA66 |
|
| ||
| Interests | Short Positions | ||||
| Number | (%) | Number | (%) | ||
| (1) | Relevant securities owned |
|
|
|
|
| and/or controlled: | 129,000 | 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: | 129,000 | 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 | ||
| USD 0.01 common | Purchase | 2 | 26.0050 USD |
| USD 0.01 common | Purchase | 4 | 26.1325 USD |
| USD 0.01 common | Purchase | 6 | 26.2300 USD |
| USD 0.01 common | Purchase | 10 | 26.1130 USD |
| USD 0.01 common | Purchase | 12 | 26.1916 USD |
| USD 0.01 common | Purchase | 16 | 26.1812 USD |
| USD 0.01 common | Purchase | 21 | 26.1557 USD |
| USD 0.01 common | Purchase | 23 | 26.2060 USD |
| USD 0.01 common | Purchase | 43 | 26.1930 USD |
| USD 0.01 common | Purchase | 55 | 26.1727 USD |
| USD 0.01 common | Purchase | 64 | 26.1808 USD |
| USD 0.01 common | Purchase | 100 | 26.3300 USD |
| USD 0.01 common | Purchase | 100 | 26.2950 USD |
| USD 0.01 common | Purchase | 116 | 26.1759 USD |
| USD 0.01 common | Purchase | 200 | 26.3250 USD |
| USD 0.01 common | Purchase | 212 | 26.3400 USD |
| USD 0.01 common | Purchase | 245 | 26.0987 USD |
| USD 0.01 common | Purchase | 310 | 26.2012 USD |
| USD 0.01 common | Purchase | 400 | 26.0800 USD |
| USD 0.01 common | Purchase | 400 | 26.2350 USD |
| USD 0.01 common | Purchase | 467 | 26.3200 USD |
| USD 0.01 common | Purchase | 700 | 26.3257 USD |
| USD 0.01 common | Purchase | 800 | 26.3112 USD |
| USD 0.01 common | Purchase | 800 | 26.1075 USD |
| USD 0.01 common | Purchase | 817 | 26.3287 USD |
| USD 0.01 common | Purchase | 1,100 | 26.3263 USD |
| USD 0.01 common | Purchase | 1,114 | 26.3255 USD |
| USD 0.01 common | Purchase | 1,234 | 26.1462 USD |
| USD 0.01 common | Purchase | 1,344 | 26.2527 USD |
| USD 0.01 common | Purchase | 1,469 | 26.0113 USD |
| USD 0.01 common | Purchase | 1,741 | 26.3188 USD |
| USD 0.01 common | Purchase | 1,828 | 26.0360 USD |
| USD 0.01 common | Purchase | 2,128 | 26.2423 USD |
| USD 0.01 common | Purchase | 2,566 | 26.1439 USD |
| USD 0.01 common | Purchase | 2,849 | 26.3262 USD |
| USD 0.01 common | Purchase | 3,646 | 26.1464 USD |
| USD 0.01 common | Purchase | 5,118 | 26.1797 USD |
| USD 0.01 common | Purchase | 5,213 | 26.2294 USD |
| USD 0.01 common | Purchase | 7,472 | 26.2103 USD |
| USD 0.01 common | Purchase | 9,560 | 26.0106 USD |
| USD 0.01 common | Purchase | 14,191 | 26.1335 USD |
| USD 0.01 common | Purchase | 14,303 | 26.2086 USD |
| USD 0.01 common | Purchase | 23,701 | 26.0033 USD |
| USD 0.01 common | Purchase | 26,494 | 26.0100 USD |
| USD 0.01 common | Purchase | 28,026 | 26.0053 USD |
| USD 0.01 common | Purchase | 29,310 | 26.0087 USD |
| USD 0.01 common | Purchase | 41,672 | 26.0779 USD |
| USD 0.01 common | Purchase | 96,583 | 26.1013 USD |
| USD 0.01 common | Purchase | 100,000 | 26.3001 USD |
| USD 0.01 common | Purchase | 104,687 | 26.1083 USD |
| USD 0.01 common | Purchase | 501,200 | 26.2819 USD |
| USD 0.01 common | Purchase | 908,112 | 26.2140 USD |
| USD 0.01 common | Sale | 2 | 26.0950 USD |
| USD 0.01 common | Sale | 4 | 26.0600 USD |
| USD 0.01 common | Sale | 100 | 26.3200 USD |
| USD 0.01 common | Sale | 120 | 26.2958 USD |
| USD 0.01 common | Sale | 199 | 26.2100 USD |
| USD 0.01 common | Sale | 200 | 26.1525 USD |
| USD 0.01 common | Sale | 300 | 26.1300 USD |
| USD 0.01 common | Sale | 300 | 26.0650 USD |
| USD 0.01 common | Sale | 360 | 26.1516 USD |
| USD 0.01 common | Sale | 400 | 26.1700 USD |
| USD 0.01 common | Sale | 400 | 26.2175 USD |
| USD 0.01 common | Sale | 557 | 26.2269 USD |
| USD 0.01 common | Sale | 577 | 26.2450 USD |
| USD 0.01 common | Sale | 600 | 26.0366 USD |
| USD 0.01 common | Sale | 672 | 26.1779 USD |
| USD 0.01 common | Sale | 700 | 26.3100 USD |
| USD 0.01 common | Sale | 700 | 26.2042 USD |
| USD 0.01 common | Sale | 797 | 26.2049 USD |
| USD 0.01 common | Sale | 828 | 26.2244 USD |
| USD 0.01 common | Sale | 900 | 26.2933 USD |
| USD 0.01 common | Sale | 975 | 26.2030 USD |
| USD 0.01 common | Sale | 1,000 | 26.1500 USD |
| USD 0.01 common | Sale | 1,027 | 26.1519 USD |
| USD 0.01 common | Sale | 1,101 | 26.2300 USD |
| USD 0.01 common | Sale | 1,234 | 26.1462 USD |
| USD 0.01 common | Sale | 1,300 | 26.2536 USD |
| USD 0.01 common | Sale | 1,400 | 26.0857 USD |
| USD 0.01 common | Sale | 1,500 | 26.2046 USD |
| USD 0.01 common | Sale | 1,700 | 26.2141 USD |
| USD 0.01 common | Sale | 1,800 | 26.1517 USD |
| USD 0.01 common | Sale | 1,867 | 26.2027 USD |
| USD 0.01 common | Sale | 1,882 | 26.1461 USD |
| USD 0.01 common | Sale | 2,102 | 26.2218 USD |
| USD 0.01 common | Sale | 2,382 | 26.1598 USD |
| USD 0.01 common | Sale | 2,602 | 26.0576 USD |
| USD 0.01 common | Sale | 2,707 | 26.2000 USD |
| USD 0.01 common | Sale | 2,783 | 26.2047 USD |
| USD 0.01 common | Sale | 3,200 | 26.0506 USD |
| USD 0.01 common | Sale | 4,440 | 26.0780 USD |
| USD 0.01 common | Sale | 4,521 | 26.0614 USD |
| USD 0.01 common | Sale | 5,051 | 26.0281 USD |
| USD 0.01 common | Sale | 5,173 | 26.1502 USD |
| USD 0.01 common | Sale | 5,602 | 25.9900 USD |
| USD 0.01 common | Sale | 5,955 | 26.0293 USD |
| USD 0.01 common | Sale | 6,135 | 26.0266 USD |
| USD 0.01 common | Sale | 6,476 | 26.1670 USD |
| USD 0.01 common | Sale | 7,344 | 26.2543 USD |
| USD 0.01 common | Sale | 7,700 | 26.0414 USD |
| USD 0.01 common | Sale | 9,560 | 26.0106 USD |
| USD 0.01 common | Sale | 10,100 | 26.1487 USD |
| USD 0.01 common | Sale | 11,256 | 26.0066 USD |
| USD 0.01 common | Sale | 11,301 | 26.1994 USD |
| USD 0.01 common | Sale | 14,817 | 26.2163 USD |
| USD 0.01 common | Sale | 18,234 | 26.0618 USD |
| USD 0.01 common | Sale | 20,244 | 26.1475 USD |
| USD 0.01 common | Sale | 21,634 | 26.0182 USD |
| USD 0.01 common | Sale | 23,381 | 26.0445 USD |
| USD 0.01 common | Sale | 23,857 | 26.0993 USD |
| USD 0.01 common | Sale | 24,234 | 26.0084 USD |
| USD 0.01 common | Sale | 25,170 | 26.0038 USD |
| USD 0.01 common | Sale | 35,075 | 26.1889 USD |
| USD 0.01 common | Sale | 37,893 | 26.2532 USD |
| USD 0.01 common | Sale | 39,362 | 26.1712 USD |
| USD 0.01 common | Sale | 39,623 | 26.0142 USD |
| USD 0.01 common | Sale | 42,637 | 26.0100 USD |
| USD 0.01 common | Sale | 61,204 | 26.0559 USD |
| USD 0.01 common | Sale | 100,000 | 26.3001 USD |
| USD 0.01 common | Sale | 102,600 | 26.3108 USD |
| USD 0.01 common | Sale | 149,142 | 26.0386 USD |
| USD 0.01 common | Sale | 178,506 | 26.2481 USD |
| USD 0.01 common | Sale | 341,262 | 26.2740 USD |
| USD 0.01 common | Sale | 501,200 | 26.2819 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: | 19 Jul 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.
Contacts
BARCLAYS PLC
