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: |
02 Sep 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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1,322,324 |
0.23% |
1,480,001 |
0.26% |
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(2) |
Cash-settled derivatives: |
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and/or controlled: |
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2,068,873 |
0.36% |
3,954,724 |
0.69% |
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(3) |
Stock-settled derivatives (including options) |
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and agreements to purchase/sell: |
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17,100 |
0.00% |
48,410 |
0.01% |
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TOTAL: |
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3,408,297 |
0.60% |
5,483,135 |
0.96% |
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(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 |
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security |
|
securities |
|
||||
|
USD 0.01 common |
Purchase |
2 |
22.7000 USD |
||||
|
USD 0.01 common |
Purchase |
4 |
22.7750 USD |
||||
|
USD 0.01 common |
Purchase |
4 |
22.7500 USD |
||||
|
USD 0.01 common |
Purchase |
6 |
22.7700 USD |
||||
|
USD 0.01 common |
Purchase |
6 |
22.7233 USD |
||||
|
USD 0.01 common |
Purchase |
8 |
22.7350 USD |
||||
|
USD 0.01 common |
Purchase |
13 |
22.9900 USD |
||||
|
USD 0.01 common |
Purchase |
21 |
22.8300 USD |
||||
|
USD 0.01 common |
Purchase |
21 |
22.7800 USD |
||||
|
USD 0.01 common |
Purchase |
23 |
22.8891 USD |
||||
|
USD 0.01 common |
Purchase |
26 |
22.7688 USD |
||||
|
USD 0.01 common |
Purchase |
27 |
22.7425 USD |
||||
|
USD 0.01 common |
Purchase |
27 |
22.8750 USD |
||||
|
USD 0.01 common |
Purchase |
36 |
22.9039 USD |
||||
|
USD 0.01 common |
Purchase |
36 |
22.9051 USD |
||||
|
USD 0.01 common |
Purchase |
43 |
22.8247 USD |
||||
|
USD 0.01 common |
Purchase |
50 |
22.8696 USD |
||||
|
USD 0.01 common |
Purchase |
58 |
22.9037 USD |
||||
|
USD 0.01 common |
Purchase |
77 |
23.0409 USD |
||||
|
USD 0.01 common |
Purchase |
100 |
22.7400 USD |
||||
|
USD 0.01 common |
Purchase |
100 |
22.8900 USD |
||||
|
USD 0.01 common |
Purchase |
112 |
22.9075 USD |
||||
|
USD 0.01 common |
Purchase |
123 |
22.8612 USD |
||||
|
USD 0.01 common |
Purchase |
131 |
22.9301 USD |
||||
|
USD 0.01 common |
Purchase |
133 |
22.8957 USD |
||||
|
USD 0.01 common |
Purchase |
134 |
22.7770 USD |
||||
|
USD 0.01 common |
Purchase |
147 |
22.9028 USD |
||||
|
USD 0.01 common |
Purchase |
154 |
22.7650 USD |
||||
|
USD 0.01 common |
Purchase |
163 |
22.9548 USD |
||||
|
USD 0.01 common |
Purchase |
181 |
22.9575 USD |
||||
|
USD 0.01 common |
Purchase |
184 |
22.9165 USD |
||||
|
USD 0.01 common |
Purchase |
203 |
22.9413 USD |
||||
|
USD 0.01 common |
Purchase |
257 |
22.9789 USD |
||||
|
USD 0.01 common |
Purchase |
300 |
22.7100 USD |
||||
|
USD 0.01 common |
Purchase |
391 |
22.7722 USD |
||||
|
USD 0.01 common |
Purchase |
488 |
22.9493 USD |
||||
|
USD 0.01 common |
Purchase |
488 |
22.7614 USD |
||||
|
USD 0.01 common |
Purchase |
502 |
22.8553 USD |
||||
|
USD 0.01 common |
Purchase |
548 |
22.9106 USD |
||||
|
USD 0.01 common |
Purchase |
554 |
22.8508 USD |
||||
|
USD 0.01 common |
Purchase |
557 |
22.7691 USD |
||||
|
USD 0.01 common |
Purchase |
670 |
22.8971 USD |
||||
|
USD 0.01 common |
Purchase |
784 |
22.8852 USD |
||||
|
USD 0.01 common |
Purchase |
828 |
22.8466 USD |
||||
|
USD 0.01 common |
Purchase |
886 |
22.9167 USD |
||||
|
USD 0.01 common |
Purchase |
960 |
22.8839 USD |
||||
|
USD 0.01 common |
Purchase |
982 |
22.9438 USD |
||||
|
USD 0.01 common |
Purchase |
1,094 |
22.7373 USD |
||||
|
USD 0.01 common |
Purchase |
1,238 |
22.8573 USD |
||||
|
USD 0.01 common |
Purchase |
1,367 |
22.9032 USD |
||||
|
USD 0.01 common |
Purchase |
1,584 |
22.9173 USD |
||||
|
USD 0.01 common |
Purchase |
1,710 |
22.9185 USD |
||||
|
USD 0.01 common |
Purchase |
1,808 |
22.8302 USD |
||||
|
USD 0.01 common |
Purchase |
3,129 |
22.7975 USD |
||||
|
USD 0.01 common |
Purchase |
3,939 |
22.9376 USD |
||||
|
USD 0.01 common |
Purchase |
5,257 |
22.7914 USD |
||||
|
USD 0.01 common |
Purchase |
9,321 |
22.8400 USD |
||||
|
USD 0.01 common |
Purchase |
16,650 |
22.8178 USD |
||||
|
USD 0.01 common |
Purchase |
17,251 |
22.8726 USD |
||||
|
USD 0.01 common |
Purchase |
21,421 |
22.8861 USD |
||||
|
USD 0.01 common |
Purchase |
51,784 |
22.8471 USD |
||||
|
USD 0.01 common |
Purchase |
57,133 |
22.8708 USD |
||||
|
USD 0.01 common |
Purchase |
124,228 |
22.8199 USD |
||||
|
USD 0.01 common |
Purchase |
226,613 |
22.8627 USD |
||||
|
USD 0.01 common |
Sale |
1 |
22.7400 USD |
||||
|
USD 0.01 common |
Sale |
1 |
22.7800 USD |
||||
|
USD 0.01 common |
Sale |
10 |
23.0670 USD |
||||
|
USD 0.01 common |
Sale |
11 |
22.9009 USD |
||||
|
USD 0.01 common |
Sale |
17 |
22.7500 USD |
||||
|
USD 0.01 common |
Sale |
18 |
22.7472 USD |
||||
|
USD 0.01 common |
Sale |
20 |
22.9025 USD |
||||
|
USD 0.01 common |
Sale |
20 |
22.9530 USD |
||||
|
USD 0.01 common |
Sale |
24 |
23.0633 USD |
||||
|
USD 0.01 common |
Sale |
25 |
22.8800 USD |
||||
|
USD 0.01 common |
Sale |
27 |
22.9000 USD |
||||
|
USD 0.01 common |
Sale |
29 |
22.8806 USD |
||||
|
USD 0.01 common |
Sale |
33 |
22.9918 USD |
||||
|
USD 0.01 common |
Sale |
34 |
23.0200 USD |
||||
|
USD 0.01 common |
Sale |
34 |
22.7488 USD |
||||
|
USD 0.01 common |
Sale |
34 |
22.9223 USD |
||||
|
USD 0.01 common |
Sale |
35 |
23.0314 USD |
||||
|
USD 0.01 common |
Sale |
56 |
22.8594 USD |
||||
|
USD 0.01 common |
Sale |
60 |
22.7650 USD |
||||
|
USD 0.01 common |
Sale |
62 |
23.0204 USD |
||||
|
USD 0.01 common |
Sale |
70 |
23.0460 USD |
||||
|
USD 0.01 common |
Sale |
76 |
22.9313 USD |
||||
|
USD 0.01 common |
Sale |
85 |
22.7717 USD |
||||
|
USD 0.01 common |
Sale |
100 |
22.9700 USD |
||||
|
USD 0.01 common |
Sale |
100 |
22.7000 USD |
||||
|
USD 0.01 common |
Sale |
100 |
22.7100 USD |
||||
|
USD 0.01 common |
Sale |
100 |
22.9200 USD |
||||
|
USD 0.01 common |
Sale |
101 |
22.6605 USD |
||||
|
USD 0.01 common |
Sale |
104 |
22.6950 USD |
||||
|
USD 0.01 common |
Sale |
107 |
22.7460 USD |
||||
|
USD 0.01 common |
Sale |
112 |
22.7885 USD |
||||
|
USD 0.01 common |
Sale |
183 |
22.7672 USD |
||||
|
USD 0.01 common |
Sale |
217 |
22.7489 USD |
||||
|
USD 0.01 common |
Sale |
227 |
22.7296 USD |
||||
|
USD 0.01 common |
Sale |
237 |
22.7519 USD |
||||
|
USD 0.01 common |
Sale |
301 |
22.6750 USD |
||||
|
USD 0.01 common |
Sale |
302 |
22.6946 USD |
||||
|
USD 0.01 common |
Sale |
375 |
22.7381 USD |
||||
|
USD 0.01 common |
Sale |
384 |
22.6880 USD |
||||
|
USD 0.01 common |
Sale |
435 |
22.6839 USD |
||||
|
USD 0.01 common |
Sale |
474 |
22.6878 USD |
||||
|
USD 0.01 common |
Sale |
540 |
22.7401 USD |
||||
|
USD 0.01 common |
Sale |
561 |
22.7576 USD |
||||
|
USD 0.01 common |
Sale |
635 |
22.8208 USD |
||||
|
USD 0.01 common |
Sale |
949 |
22.8211 USD |
||||
|
USD 0.01 common |
Sale |
1,195 |
22.8546 USD |
||||
|
USD 0.01 common |
Sale |
1,808 |
22.9234 USD |
||||
|
USD 0.01 common |
Sale |
2,532 |
22.8223 USD |
||||
|
USD 0.01 common |
Sale |
2,543 |
22.8229 USD |
||||
|
USD 0.01 common |
Sale |
2,977 |
22.7942 USD |
||||
|
USD 0.01 common |
Sale |
3,426 |
22.8128 USD |
||||
|
USD 0.01 common |
Sale |
6,198 |
22.7910 USD |
||||
|
USD 0.01 common |
Sale |
7,529 |
22.8268 USD |
||||
|
USD 0.01 common |
Sale |
10,517 |
22.8400 USD |
||||
|
USD 0.01 common |
Sale |
10,608 |
22.8727 USD |
||||
|
USD 0.01 common |
Sale |
10,918 |
22.9046 USD |
||||
|
USD 0.01 common |
Sale |
13,217 |
22.8366 USD |
||||
|
USD 0.01 common |
Sale |
14,076 |
22.8764 USD |
||||
|
USD 0.01 common |
Sale |
19,391 |
22.8629 USD |
||||
|
USD 0.01 common |
Sale |
26,922 |
22.9265 USD |
||||
|
USD 0.01 common |
Sale |
28,083 |
22.8777 USD |
||||
|
USD 0.01 common |
Sale |
36,937 |
22.8866 USD |
||||
|
USD 0.01 common |
Sale |
49,845 |
22.8589 USD |
||||
|
USD 0.01 common |
Sale |
51,916 |
22.8347 USD |
||||
|
USD 0.01 common |
Sale |
63,242 |
22.8133 USD |
||||
|
USD 0.01 common |
Sale |
183,402 |
22.8479 USD |
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(b) |
Cash-settled derivative transactions |
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|
Class of |
Product |
Nature of dealing |
Number of |
Price per |
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relevant |
description |
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reference |
unit |
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security |
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securities |
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(c) |
Stock-settled derivative transactions (including options) |
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(i) |
Writing, selling, purchasing or varying |
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|
Class |
Product |
Writing, |
Number |
Exercise |
Type |
Expiry |
Option |
|
of |
description |
purchasing, |
of |
price |
|
date |
money |
|
relevant |
|
selling, |
securities |
per unit |
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paid/ |
|
security |
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varying etc |
to which |
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received |
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option |
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per unit |
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relates |
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(ii) |
Exercising |
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Class of relevant |
Product description |
Exercising/ exercised against |
Number of |
Exercise price per |
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security |
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securities |
unit |
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(d) |
Other dealings (including subscribing for new securities) |
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Class of relevant |
Nature of Dealings |
Details |
Price per unit (if |
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security |
|
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applicable) |
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||||
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4. |
OTHER INFORMATION |
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(a) |
Indemnity and other dealings arrangements |
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Details of any indemnity or option arrangement, or any agreement or understanding, |
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|||||
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formal or informal, relating to relevant securities which may be an inducement to deal |
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|||||
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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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||||||
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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 |
|
|||||
|
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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|||||
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(i) the voting rights of any relevant securities under any option; or |
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||||
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(ii) the voting rights of future acquisition or disposal of any relevant securities to which |
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|||||
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any derivative is referenced: |
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|
NONE |
|||||||
|
(c) |
Attachments |
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|
|
|
|
|
Is a Supplemental Form 8 (Open Positions) attached? |
YES |
||||||
|
Date of disclosure: |
05 Sep 2022 |
||||||
|
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. |
|||||||
|
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: |
|||||||
|
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2. |
OPTIONS AND DERIVATIVES |
||||||
|
Class of relevant security |
Product description |
Writing, purchasing, selling, varying etc |
Number of securities to which option relates |
Exercise price per unit |
Type |
Expiry date |
|
|
USD 0.01 common |
Put Options |
Purchased |
-31,310 |
23.0000 |
American |
18 Nov 2022 |
|
|
USD 0.01 common |
Call Options |
Written |
-17,100 |
27.0000 |
American |
16 Sep 2022 |
|
|
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. |
||||||
|
Full details should be given so that the nature of the interest or position can be fully understood: |
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