Form 8.3 - NortonLifeLock Inc.
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FORM 8.3 |
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PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY |
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A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR |
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MORE |
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Rule 8.3 of the Takeover Code (the "Code") |
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1. |
KEY INFORMATION |
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(a) |
Full name of discloser: |
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Barclays PLC. |
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(b) |
Owner or controller of interest and short |
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positions disclosed, if different from 1(a): |
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(c) |
Name of offeror/offeree in relation to whose |
NORTONLIFELOCK INC |
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relevant securities this form relates: |
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(d) |
If an exempt fund manager connected with an |
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offeror/offeree, state this and specify identity of |
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offeror/offeree: |
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(e) |
Date position held/dealing undertaken: |
03 Aug 2022 |
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(f) |
In addition to the company in 1(c) above, is the discloser making |
YES: |
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disclosures in respect of any other party to the offer? |
AVAST PLC |
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2. |
POSITIONS OF THE PERSON MAKING THE DISCLOSURE |
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(a) |
Interests and short positions in the relevant securities of the offeror or offeree |
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to which the disclosure relates following the dealing(if any) |
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Class of relevant security: |
USD 0.01 common |
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Interests |
Short Positions |
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Number |
(%) |
Number |
(%) |
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(1) |
Relevant securities owned |
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and/or controlled: |
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1,293,504 |
0.23% |
1,439,026 |
0.25% |
|
(2) |
Cash-settled derivatives: |
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|
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and/or controlled: |
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|
1,648,723 |
0.29% |
3,757,122 |
0.66% |
|
(3) |
Stock-settled derivatives (including options) |
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and agreements to purchase/sell: |
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73,200 |
0.01% |
150,000 |
0.03% |
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|
|
|
|
|
|
|
|
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TOTAL: |
|
|
3,015,427 |
0.53% |
5,346,148 |
0.94% |
|
Class of relevant security: |
Convertible Bond US668771AB40 |
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|
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Interests |
Short Positions |
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|
Number |
(%) |
Number |
(%) |
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|
(1) |
Relevant securities owned |
|
|
|
|
||
|
|
and/or controlled: |
|
|
2,458,000 |
0.43% |
0 |
0.00% |
|
(2) |
Cash-settled derivatives: |
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|
||
|
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and/or controlled: |
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0 |
0.00% |
0 |
0.00% |
|
(3) |
Stock-settled derivatives (including options) |
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and agreements to purchase/sell: |
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0 |
0.00% |
0 |
0.00% |
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|
|
|
|
|
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TOTAL: |
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|
2,458,000 |
0.43% |
0 |
0.00% |
|
(b) |
Rights to subscribe for new securities (including directors and other executive |
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options) |
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Class of relevant security in relation to |
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which subscription right exists |
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Details, including nature of the rights |
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concerned and relevant percentages: |
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3. |
DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER |
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(a) |
Purchases and sales |
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Class of relevant |
Purchase/sale |
Number of |
Price per unit |
||||
|
security |
|
securities |
|
||||
|
USD 0.01 common |
Purchase |
37 |
26.0800 USD |
||||
|
USD 0.01 common |
Purchase |
40 |
26.6800 USD |
||||
|
USD 0.01 common |
Purchase |
51 |
26.7082 USD |
||||
|
USD 0.01 common |
Purchase |
54 |
26.3439 USD |
||||
|
USD 0.01 common |
Purchase |
95 |
26.6814 USD |
||||
|
USD 0.01 common |
Purchase |
100 |
26.2200 USD |
||||
|
USD 0.01 common |
Purchase |
100 |
26.2600 USD |
||||
|
USD 0.01 common |
Purchase |
100 |
26.3600 USD |
||||
|
USD 0.01 common |
Purchase |
100 |
26.1450 USD |
||||
|
USD 0.01 common |
Purchase |
108 |
26.6681 USD |
||||
|
USD 0.01 common |
Purchase |
219 |
25.6932 EUR |
||||
|
USD 0.01 common |
Purchase |
230 |
26.7321 USD |
||||
|
USD 0.01 common |
Purchase |
293 |
26.6000 USD |
||||
|
USD 0.01 common |
Purchase |
300 |
26.1300 USD |
||||
|
USD 0.01 common |
Purchase |
356 |
26.1000 USD |
||||
|
USD 0.01 common |
Purchase |
400 |
26.4500 USD |
||||
|
USD 0.01 common |
Purchase |
400 |
26.1462 USD |
||||
|
USD 0.01 common |
Purchase |
416 |
26.4017 USD |
||||
|
USD 0.01 common |
Purchase |
421 |
25.7241 EUR |
||||
|
USD 0.01 common |
Purchase |
452 |
26.4377 USD |
||||
|
USD 0.01 common |
Purchase |
469 |
26.5537 USD |
||||
|
USD 0.01 common |
Purchase |
484 |
26.5784 USD |
||||
|
USD 0.01 common |
Purchase |
500 |
26.1384 USD |
||||
|
USD 0.01 common |
Purchase |
500 |
26.1330 USD |
||||
|
USD 0.01 common |
Purchase |
600 |
26.1366 USD |
||||
|
USD 0.01 common |
Purchase |
600 |
26.1200 USD |
||||
|
USD 0.01 common |
Purchase |
600 |
26.2666 USD |
||||
|
USD 0.01 common |
Purchase |
600 |
26.1475 USD |
||||
|
USD 0.01 common |
Purchase |
645 |
26.1586 USD |
||||
|
USD 0.01 common |
Purchase |
676 |
26.5148 USD |
||||
|
USD 0.01 common |
Purchase |
800 |
26.1387 USD |
||||
|
USD 0.01 common |
Purchase |
824 |
26.4198 USD |
||||
|
USD 0.01 common |
Purchase |
840 |
26.1263 USD |
||||
|
USD 0.01 common |
Purchase |
1,000 |
26.4350 USD |
||||
|
USD 0.01 common |
Purchase |
1,121 |
26.5383 USD |
||||
|
USD 0.01 common |
Purchase |
1,158 |
26.1452 USD |
||||
|
USD 0.01 common |
Purchase |
1,228 |
26.6394 USD |
||||
|
USD 0.01 common |
Purchase |
1,261 |
26.4435 USD |
||||
|
USD 0.01 common |
Purchase |
1,278 |
26.6132 USD |
||||
|
USD 0.01 common |
Purchase |
1,334 |
26.3780 USD |
||||
|
USD 0.01 common |
Purchase |
1,390 |
26.5823 USD |
||||
|
USD 0.01 common |
Purchase |
1,400 |
26.1967 USD |
||||
|
USD 0.01 common |
Purchase |
1,627 |
26.5181 USD |
||||
|
USD 0.01 common |
Purchase |
1,788 |
26.4536 USD |
||||
|
USD 0.01 common |
Purchase |
1,851 |
26.4898 USD |
||||
|
USD 0.01 common |
Purchase |
2,218 |
26.1327 USD |
||||
|
USD 0.01 common |
Purchase |
2,320 |
26.3043 USD |
||||
|
USD 0.01 common |
Purchase |
2,344 |
26.1824 USD |
||||
|
USD 0.01 common |
Purchase |
2,500 |
26.3268 USD |
||||
|
USD 0.01 common |
Purchase |
2,528 |
26.3424 USD |
||||
|
USD 0.01 common |
Purchase |
2,660 |
26.6543 USD |
||||
|
USD 0.01 common |
Purchase |
2,812 |
26.5765 USD |
||||
|
USD 0.01 common |
Purchase |
2,851 |
26.4205 USD |
||||
|
USD 0.01 common |
Purchase |
3,195 |
26.4289 USD |
||||
|
USD 0.01 common |
Purchase |
3,470 |
26.3932 USD |
||||
|
USD 0.01 common |
Purchase |
3,538 |
26.6738 USD |
||||
|
USD 0.01 common |
Purchase |
3,620 |
26.1659 USD |
||||
|
USD 0.01 common |
Purchase |
3,729 |
26.3490 USD |
||||
|
USD 0.01 common |
Purchase |
3,800 |
26.1328 USD |
||||
|
USD 0.01 common |
Purchase |
3,900 |
26.2037 USD |
||||
|
USD 0.01 common |
Purchase |
4,240 |
26.4159 USD |
||||
|
USD 0.01 common |
Purchase |
4,529 |
26.5317 USD |
||||
|
USD 0.01 common |
Purchase |
5,090 |
26.6714 USD |
||||
|
USD 0.01 common |
Purchase |
5,286 |
26.3428 USD |
||||
|
USD 0.01 common |
Purchase |
5,306 |
26.6676 USD |
||||
|
USD 0.01 common |
Purchase |
5,567 |
26.1933 USD |
||||
|
USD 0.01 common |
Purchase |
7,077 |
26.4219 USD |
||||
|
USD 0.01 common |
Purchase |
7,501 |
26.7103 USD |
||||
|
USD 0.01 common |
Purchase |
7,739 |
26.1588 USD |
||||
|
USD 0.01 common |
Purchase |
10,966 |
26.3492 USD |
||||
|
USD 0.01 common |
Purchase |
11,385 |
26.3883 USD |
||||
|
USD 0.01 common |
Purchase |
12,708 |
26.7400 USD |
||||
|
USD 0.01 common |
Purchase |
18,885 |
26.4073 USD |
||||
|
USD 0.01 common |
Purchase |
19,114 |
26.3387 USD |
||||
|
USD 0.01 common |
Purchase |
30,904 |
26.6607 USD |
||||
|
USD 0.01 common |
Purchase |
41,093 |
26.3337 USD |
||||
|
USD 0.01 common |
Purchase |
59,169 |
26.4760 USD |
||||
|
USD 0.01 common |
Purchase |
70,000 |
26.2500 USD |
||||
|
USD 0.01 common |
Purchase |
70,230 |
26.3998 USD |
||||
|
USD 0.01 common |
Purchase |
72,000 |
26.4666 USD |
||||
|
USD 0.01 common |
Purchase |
72,000 |
26.5500 USD |
||||
|
USD 0.01 common |
Purchase |
74,070 |
26.3280 USD |
||||
|
USD 0.01 common |
Purchase |
98,644 |
26.6903 USD |
||||
|
USD 0.01 common |
Purchase |
181,416 |
26.3349 USD |
||||
|
USD 0.01 common |
Purchase |
219,906 |
26.1614 USD |
||||
|
USD 0.01 common |
Purchase |
251,193 |
26.4851 USD |
||||
|
USD 0.01 common |
Purchase |
260,523 |
26.4449 USD |
||||
|
USD 0.01 common |
Purchase |
345,234 |
26.3759 USD |
||||
|
USD 0.01 common |
Purchase |
408,000 |
26.3754 USD |
||||
|
USD 0.01 common |
Sale |
1 |
26.4700 USD |
||||
|
USD 0.01 common |
Sale |
31 |
26.1158 USD |
||||
|
USD 0.01 common |
Sale |
100 |
26.0100 USD |
||||
|
USD 0.01 common |
Sale |
100 |
26.7350 USD |
||||
|
USD 0.01 common |
Sale |
100 |
26.6100 USD |
||||
|
USD 0.01 common |
Sale |
101 |
26.5936 USD |
||||
|
USD 0.01 common |
Sale |
109 |
26.6021 USD |
||||
|
USD 0.01 common |
Sale |
130 |
26.7300 USD |
||||
|
USD 0.01 common |
Sale |
200 |
26.5800 USD |
||||
|
USD 0.01 common |
Sale |
200 |
26.4375 USD |
||||
|
USD 0.01 common |
Sale |
200 |
26.7800 USD |
||||
|
USD 0.01 common |
Sale |
200 |
26.7200 USD |
||||
|
USD 0.01 common |
Sale |
201 |
26.5837 USD |
||||
|
USD 0.01 common |
Sale |
205 |
26.7414 USD |
||||
|
USD 0.01 common |
Sale |
218 |
26.3345 USD |
||||
|
USD 0.01 common |
Sale |
219 |
25.6932 EUR |
||||
|
USD 0.01 common |
Sale |
300 |
26.3800 USD |
||||
|
USD 0.01 common |
Sale |
356 |
26.1000 USD |
||||
|
USD 0.01 common |
Sale |
400 |
26.6825 USD |
||||
|
USD 0.01 common |
Sale |
400 |
26.3312 USD |
||||
|
USD 0.01 common |
Sale |
400 |
26.7850 USD |
||||
|
USD 0.01 common |
Sale |
421 |
25.7241 EUR |
||||
|
USD 0.01 common |
Sale |
425 |
26.3441 USD |
||||
|
USD 0.01 common |
Sale |
433 |
26.6679 USD |
||||
|
USD 0.01 common |
Sale |
455 |
26.3232 USD |
||||
|
USD 0.01 common |
Sale |
474 |
26.6788 USD |
||||
|
USD 0.01 common |
Sale |
500 |
26.3460 USD |
||||
|
USD 0.01 common |
Sale |
500 |
26.6430 USD |
||||
|
USD 0.01 common |
Sale |
516 |
26.7070 USD |
||||
|
USD 0.01 common |
Sale |
525 |
26.5823 USD |
||||
|
USD 0.01 common |
Sale |
525 |
26.7377 USD |
||||
|
USD 0.01 common |
Sale |
638 |
26.3434 USD |
||||
|
USD 0.01 common |
Sale |
1,061 |
26.4348 USD |
||||
|
USD 0.01 common |
Sale |
1,062 |
26.3306 USD |
||||
|
USD 0.01 common |
Sale |
1,402 |
26.3375 USD |
||||
|
USD 0.01 common |
Sale |
1,816 |
26.0022 USD |
||||
|
USD 0.01 common |
Sale |
2,343 |
26.3319 USD |
||||
|
USD 0.01 common |
Sale |
2,480 |
26.5836 USD |
||||
|
USD 0.01 common |
Sale |
2,574 |
26.4342 USD |
||||
|
USD 0.01 common |
Sale |
2,660 |
26.6543 USD |
||||
|
USD 0.01 common |
Sale |
3,597 |
26.7211 USD |
||||
|
USD 0.01 common |
Sale |
3,625 |
26.5173 USD |
||||
|
USD 0.01 common |
Sale |
3,812 |
26.3300 USD |
||||
|
USD 0.01 common |
Sale |
3,979 |
26.4136 USD |
||||
|
USD 0.01 common |
Sale |
4,600 |
26.6726 USD |
||||
|
USD 0.01 common |
Sale |
4,775 |
26.5341 USD |
||||
|
USD 0.01 common |
Sale |
5,560 |
26.6682 USD |
||||
|
USD 0.01 common |
Sale |
5,712 |
26.4441 USD |
||||
|
USD 0.01 common |
Sale |
7,289 |
26.4323 USD |
||||
|
USD 0.01 common |
Sale |
7,300 |
26.5455 USD |
||||
|
USD 0.01 common |
Sale |
7,559 |
26.3451 USD |
||||
|
USD 0.01 common |
Sale |
8,236 |
26.4184 USD |
||||
|
USD 0.01 common |
Sale |
8,329 |
26.4023 USD |
||||
|
USD 0.01 common |
Sale |
9,144 |
26.5576 USD |
||||
|
USD 0.01 common |
Sale |
9,349 |
26.3025 USD |
||||
|
USD 0.01 common |
Sale |
10,000 |
26.6897 USD |
||||
|
USD 0.01 common |
Sale |
10,089 |
26.1473 USD |
||||
|
USD 0.01 common |
Sale |
10,712 |
26.6066 USD |
||||
|
USD 0.01 common |
Sale |
12,912 |
26.4254 USD |
||||
|
USD 0.01 common |
Sale |
13,455 |
26.4860 USD |
||||
|
USD 0.01 common |
Sale |
14,590 |
26.4016 USD |
||||
|
USD 0.01 common |
Sale |
14,942 |
26.3994 USD |
||||
|
USD 0.01 common |
Sale |
23,950 |
26.3785 USD |
||||
|
USD 0.01 common |
Sale |
25,295 |
26.3700 USD |
||||
|
USD 0.01 common |
Sale |
26,203 |
26.0000 USD |
||||
|
USD 0.01 common |
Sale |
36,347 |
26.3602 USD |
||||
|
USD 0.01 common |
Sale |
38,379 |
26.2710 USD |
||||
|
USD 0.01 common |
Sale |
42,166 |
26.4496 USD |
||||
|
USD 0.01 common |
Sale |
44,656 |
26.4226 USD |
||||
|
USD 0.01 common |
Sale |
67,061 |
26.5249 USD |
||||
|
USD 0.01 common |
Sale |
70,000 |
26.2500 USD |
||||
|
USD 0.01 common |
Sale |
75,075 |
26.4785 USD |
||||
|
USD 0.01 common |
Sale |
83,536 |
26.7400 USD |
||||
|
USD 0.01 common |
Sale |
91,988 |
26.4935 USD |
||||
|
USD 0.01 common |
Sale |
97,265 |
26.4706 USD |
||||
|
USD 0.01 common |
Sale |
144,200 |
26.5500 USD |
||||
|
USD 0.01 common |
Sale |
320,000 |
26.2012 USD |
||||
|
USD 0.01 common |
Sale |
320,714 |
26.4170 USD |
||||
|
USD 0.01 common |
Sale |
408,000 |
26.3755 USD |
||||
|
USD 0.01 common |
Sale |
408,000 |
26.3754 USD |
||||
|
|
|
|
|
|
|
|
|
|
(b) |
Cash-settled derivative transactions |
|
|||||
|
Class of |
Product |
Nature of dealing |
Number of |
Price per |
|||
|
relevant |
description |
|
reference |
unit |
|||
|
security |
|
|
securities |
|
|||
|
|
|
|
|
|
|||
|
|
|
|
|
|
|
|
|
|
(c) |
Stock-settled derivative transactions (including options) |
|
|||||
|
(i) |
Writing, selling, purchasing or varying |
|
|||||
|
Class |
Product |
Writing, |
Number |
Exercise |
Type |
Expiry |
Option |
|
of |
description |
purchasing, |
of |
price |
|
date |
money |
|
relevant |
|
selling, |
securities |
per unit |
|
|
paid/ |
|
security |
|
varying etc |
to which |
|
|
|
received |
|
|
|
|
option |
|
|
|
per unit |
|
|
|
|
relates |
|
|
|
|
|
USD 0.01 common |
Call Options |
Selling |
17,100 |
27.0000 USD |
American |
16 Sep 2022 |
1.0438 USD |
|
USD 0.01 common |
Put Options |
Selling |
17,100 |
25.0000 USD |
American |
16 Sep 2022 |
0.9105 USD |
|
|
|
|
|
|
|
|
|
|
(ii) |
Exercising |
|
|
|
|
|
|
|
Class of relevant |
Product description |
Exercising/ exercised against |
Number of |
Exercise price per |
|||
|
security |
|
|
securities |
unit |
|||
|
|
|
|
|
|
|||
|
|
|
|
|
|
|
|
|
|
(d) |
Other dealings (including subscribing for new securities) |
|
|||||
|
Class of relevant |
Nature of Dealings |
Details |
Price per unit (if |
||||
|
security |
|
|
applicable) |
||||
|
|
|
|
|
||||
|
4. |
OTHER INFORMATION |
||||||
|
(a) |
Indemnity and other dealings arrangements |
|
|||||
|
Details of any indemnity or option arrangement, or any agreement or understanding, |
|
|
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formal or informal, relating to relevant securities which may be an inducement to deal |
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or refrain from dealing entered into by the exempt principal trader making the disclosure and any party |
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to the offer or any person acting in concert with a party to the offer: |
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NONE |
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(b) |
Agreements, arrangements or understandings relating to options or derivatives |
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Details of any agreement, arrangement or understanding, formal or informal, between |
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the person making the disclosure and any other person relating to: |
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(i) the voting rights of any relevant securities under any option; or |
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(ii) the voting rights of future acquisition or disposal of any relevant securities to which |
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any derivative is referenced: |
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NONE |
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(c) |
Attachments |
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Is a Supplemental Form 8 (Open Positions) attached? |
YES |
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Date of disclosure: |
04 Aug 2022 |
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Contact name: |
Large Holdings Regulatory Operations |
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Telephone number: |
020 3134 7213 |
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DETAILS OF OPEN OPTION AND DERIVATIVE POSITIONS, AGREEMENTS TO |
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PURCHASE OR SELL ETC. |
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Note 5(i) on Rule 8 of the Takeover Code (the "Code") |
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1. |
KEY INFORMATION |
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Identity of the person whose positions/dealings |
Barclays PLC. |
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are being disclosed: |
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Name of offeror/offeree in relation to whose |
NORTONLIFELOCK INC |
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relevant securities this from relates: |
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2. |
OPTIONS AND DERIVATIVES |
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|
Class |
Product |
Writing, |
Number |
Exercise |
Type |
Expiry |
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|
of |
description |
purchasing, |
of |
price |
|
date |
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|
relevant |
|
selling, |
securities |
per unit |
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security |
|
varying etc |
to which |
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option |
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relates |
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USD 0.01 common |
Call Options |
Purchased |
56,100 |
25.0000 |
American |
19 Aug 2022 |
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USD 0.01 common |
Call Options |
Written |
-112,200 |
28.0000 |
American |
19 Aug 2022 |
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USD 0.01 common |
Call Options |
Written |
-20,700 |
27.0000 |
American |
19 Aug 2022 |
|
|
USD 0.01 common |
Call Options |
Written |
-17,100 |
27.0000 |
American |
16 Sep 2022 |
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USD 0.01 common |
Put Options |
Written |
17,100 |
25.0000 |
American |
16 Sep 2022 |
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3. |
AGREEMENTS TO PURCHASE OR SELL ETC. |
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Full details should be given so that the nature of the interest or position can be fully understood: |
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