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: |
09 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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1,403,067 |
0.25% |
1,537,923 |
0.27% |
|
(2) |
Cash-settled derivatives: |
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|
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|
|
and/or controlled: |
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|
1,666,873 |
0.29% |
3,954,724 |
0.69% |
|
(3) |
Stock-settled derivatives (including options) |
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|
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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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|
|
|
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TOTAL: |
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|
3,087,040 |
0.54% |
5,541,057 |
0.97% |
|
(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 |
8 |
23.1850 USD |
||||
|
USD 0.01 common |
Purchase |
11 |
23.4200 USD |
||||
|
USD 0.01 common |
Purchase |
11 |
23.3100 USD |
||||
|
USD 0.01 common |
Purchase |
11 |
23.3600 USD |
||||
|
USD 0.01 common |
Purchase |
20 |
22.8300 USD |
||||
|
USD 0.01 common |
Purchase |
20 |
23.2280 USD |
||||
|
USD 0.01 common |
Purchase |
20 |
22.7900 USD |
||||
|
USD 0.01 common |
Purchase |
26 |
23.3746 USD |
||||
|
USD 0.01 common |
Purchase |
28 |
23.2471 USD |
||||
|
USD 0.01 common |
Purchase |
32 |
23.3950 USD |
||||
|
USD 0.01 common |
Purchase |
34 |
23.2385 USD |
||||
|
USD 0.01 common |
Purchase |
38 |
22.8923 USD |
||||
|
USD 0.01 common |
Purchase |
52 |
23.2261 USD |
||||
|
USD 0.01 common |
Purchase |
56 |
23.1992 USD |
||||
|
USD 0.01 common |
Purchase |
64 |
23.0650 USD |
||||
|
USD 0.01 common |
Purchase |
76 |
23.1831 USD |
||||
|
USD 0.01 common |
Purchase |
82 |
23.3136 USD |
||||
|
USD 0.01 common |
Purchase |
88 |
23.1781 USD |
||||
|
USD 0.01 common |
Purchase |
100 |
23.1920 USD |
||||
|
USD 0.01 common |
Purchase |
100 |
23.2400 USD |
||||
|
USD 0.01 common |
Purchase |
100 |
23.2900 USD |
||||
|
USD 0.01 common |
Purchase |
100 |
23.4350 USD |
||||
|
USD 0.01 common |
Purchase |
102 |
22.9076 USD |
||||
|
USD 0.01 common |
Purchase |
116 |
23.2127 USD |
||||
|
USD 0.01 common |
Purchase |
198 |
23.2105 USD |
||||
|
USD 0.01 common |
Purchase |
204 |
23.1056 USD |
||||
|
USD 0.01 common |
Purchase |
208 |
23.0398 USD |
||||
|
USD 0.01 common |
Purchase |
248 |
23.2374 USD |
||||
|
USD 0.01 common |
Purchase |
379 |
23.1518 USD |
||||
|
USD 0.01 common |
Purchase |
416 |
23.0982 USD |
||||
|
USD 0.01 common |
Purchase |
444 |
23.2529 USD |
||||
|
USD 0.01 common |
Purchase |
504 |
23.2067 USD |
||||
|
USD 0.01 common |
Purchase |
595 |
22.7514 USD |
||||
|
USD 0.01 common |
Purchase |
675 |
23.4407 USD |
||||
|
USD 0.01 common |
Purchase |
757 |
23.2653 USD |
||||
|
USD 0.01 common |
Purchase |
799 |
23.1692 USD |
||||
|
USD 0.01 common |
Purchase |
880 |
23.2139 USD |
||||
|
USD 0.01 common |
Purchase |
900 |
23.3638 USD |
||||
|
USD 0.01 common |
Purchase |
908 |
23.2151 USD |
||||
|
USD 0.01 common |
Purchase |
1,026 |
23.4364 USD |
||||
|
USD 0.01 common |
Purchase |
1,052 |
23.1656 USD |
||||
|
USD 0.01 common |
Purchase |
1,379 |
22.9581 USD |
||||
|
USD 0.01 common |
Purchase |
1,416 |
22.8500 USD |
||||
|
USD 0.01 common |
Purchase |
1,700 |
22.9252 USD |
||||
|
USD 0.01 common |
Purchase |
1,792 |
23.0293 USD |
||||
|
USD 0.01 common |
Purchase |
1,915 |
22.9828 USD |
||||
|
USD 0.01 common |
Purchase |
1,976 |
23.4183 USD |
||||
|
USD 0.01 common |
Purchase |
2,315 |
22.9651 USD |
||||
|
USD 0.01 common |
Purchase |
2,500 |
22.9212 USD |
||||
|
USD 0.01 common |
Purchase |
2,668 |
23.2683 USD |
||||
|
USD 0.01 common |
Purchase |
3,016 |
23.3912 USD |
||||
|
USD 0.01 common |
Purchase |
3,182 |
23.0243 USD |
||||
|
USD 0.01 common |
Purchase |
3,517 |
23.3587 USD |
||||
|
USD 0.01 common |
Purchase |
4,251 |
23.3239 USD |
||||
|
USD 0.01 common |
Purchase |
4,977 |
23.2604 USD |
||||
|
USD 0.01 common |
Purchase |
6,000 |
22.8941 USD |
||||
|
USD 0.01 common |
Purchase |
8,054 |
23.0793 USD |
||||
|
USD 0.01 common |
Purchase |
9,910 |
22.7759 USD |
||||
|
USD 0.01 common |
Purchase |
13,447 |
23.3173 USD |
||||
|
USD 0.01 common |
Purchase |
13,595 |
23.0544 USD |
||||
|
USD 0.01 common |
Purchase |
16,059 |
22.7302 USD |
||||
|
USD 0.01 common |
Purchase |
16,561 |
23.3988 USD |
||||
|
USD 0.01 common |
Purchase |
21,900 |
23.4109 USD |
||||
|
USD 0.01 common |
Purchase |
24,625 |
22.8998 USD |
||||
|
USD 0.01 common |
Purchase |
26,167 |
23.0286 USD |
||||
|
USD 0.01 common |
Purchase |
27,994 |
23.2329 USD |
||||
|
USD 0.01 common |
Purchase |
30,400 |
23.2282 USD |
||||
|
USD 0.01 common |
Purchase |
36,013 |
23.1601 USD |
||||
|
USD 0.01 common |
Purchase |
36,648 |
23.1621 USD |
||||
|
USD 0.01 common |
Purchase |
49,700 |
23.0212 USD |
||||
|
USD 0.01 common |
Purchase |
53,552 |
22.7541 USD |
||||
|
USD 0.01 common |
Purchase |
96,489 |
23.3385 USD |
||||
|
USD 0.01 common |
Purchase |
115,813 |
22.7556 USD |
||||
|
USD 0.01 common |
Purchase |
180,000 |
22.8645 USD |
||||
|
USD 0.01 common |
Purchase |
301,066 |
22.9840 USD |
||||
|
USD 0.01 common |
Purchase |
560,951 |
22.8164 USD |
||||
|
USD 0.01 common |
Purchase |
2,245,036 |
22.7300 USD |
||||
|
USD 0.01 common |
Sale |
1 |
22.7800 USD |
||||
|
USD 0.01 common |
Sale |
14 |
23.2800 USD |
||||
|
USD 0.01 common |
Sale |
15 |
23.2400 USD |
||||
|
USD 0.01 common |
Sale |
32 |
23.3000 USD |
||||
|
USD 0.01 common |
Sale |
50 |
23.2700 USD |
||||
|
USD 0.01 common |
Sale |
51 |
23.2713 USD |
||||
|
USD 0.01 common |
Sale |
52 |
23.0836 USD |
||||
|
USD 0.01 common |
Sale |
82 |
23.3635 USD |
||||
|
USD 0.01 common |
Sale |
100 |
23.2200 USD |
||||
|
USD 0.01 common |
Sale |
100 |
22.7500 USD |
||||
|
USD 0.01 common |
Sale |
101 |
22.7551 USD |
||||
|
USD 0.01 common |
Sale |
102 |
22.9076 USD |
||||
|
USD 0.01 common |
Sale |
164 |
22.9576 USD |
||||
|
USD 0.01 common |
Sale |
200 |
23.2150 USD |
||||
|
USD 0.01 common |
Sale |
211 |
23.2266 USD |
||||
|
USD 0.01 common |
Sale |
218 |
23.0296 USD |
||||
|
USD 0.01 common |
Sale |
294 |
22.8355 USD |
||||
|
USD 0.01 common |
Sale |
300 |
23.2450 USD |
||||
|
USD 0.01 common |
Sale |
300 |
23.4700 USD |
||||
|
USD 0.01 common |
Sale |
350 |
22.8164 USD |
||||
|
USD 0.01 common |
Sale |
400 |
23.3700 USD |
||||
|
USD 0.01 common |
Sale |
400 |
23.1862 USD |
||||
|
USD 0.01 common |
Sale |
702 |
22.8939 USD |
||||
|
USD 0.01 common |
Sale |
744 |
22.8925 USD |
||||
|
USD 0.01 common |
Sale |
875 |
22.8277 USD |
||||
|
USD 0.01 common |
Sale |
910 |
22.7608 USD |
||||
|
USD 0.01 common |
Sale |
1,112 |
23.2520 USD |
||||
|
USD 0.01 common |
Sale |
1,300 |
23.2073 USD |
||||
|
USD 0.01 common |
Sale |
1,400 |
22.8500 USD |
||||
|
USD 0.01 common |
Sale |
1,599 |
23.3187 USD |
||||
|
USD 0.01 common |
Sale |
1,600 |
23.1506 USD |
||||
|
USD 0.01 common |
Sale |
1,736 |
22.9394 USD |
||||
|
USD 0.01 common |
Sale |
1,800 |
23.4483 USD |
||||
|
USD 0.01 common |
Sale |
2,100 |
23.1200 USD |
||||
|
USD 0.01 common |
Sale |
2,197 |
23.2718 USD |
||||
|
USD 0.01 common |
Sale |
2,537 |
23.2561 USD |
||||
|
USD 0.01 common |
Sale |
2,687 |
23.2381 USD |
||||
|
USD 0.01 common |
Sale |
3,900 |
22.9238 USD |
||||
|
USD 0.01 common |
Sale |
4,127 |
22.8922 USD |
||||
|
USD 0.01 common |
Sale |
4,930 |
22.9436 USD |
||||
|
USD 0.01 common |
Sale |
5,109 |
22.8751 USD |
||||
|
USD 0.01 common |
Sale |
5,211 |
23.1716 USD |
||||
|
USD 0.01 common |
Sale |
5,627 |
22.9173 USD |
||||
|
USD 0.01 common |
Sale |
5,737 |
23.3273 USD |
||||
|
USD 0.01 common |
Sale |
6,471 |
22.9578 USD |
||||
|
USD 0.01 common |
Sale |
6,538 |
22.9062 USD |
||||
|
USD 0.01 common |
Sale |
6,955 |
22.7417 USD |
||||
|
USD 0.01 common |
Sale |
9,567 |
22.9453 USD |
||||
|
USD 0.01 common |
Sale |
9,601 |
22.9348 USD |
||||
|
USD 0.01 common |
Sale |
9,956 |
22.9637 USD |
||||
|
USD 0.01 common |
Sale |
15,126 |
23.0797 USD |
||||
|
USD 0.01 common |
Sale |
15,822 |
22.9675 USD |
||||
|
USD 0.01 common |
Sale |
16,118 |
22.7325 USD |
||||
|
USD 0.01 common |
Sale |
16,128 |
22.9872 USD |
||||
|
USD 0.01 common |
Sale |
19,667 |
23.2190 USD |
||||
|
USD 0.01 common |
Sale |
20,151 |
23.0653 USD |
||||
|
USD 0.01 common |
Sale |
23,142 |
23.2977 USD |
||||
|
USD 0.01 common |
Sale |
27,373 |
22.9894 USD |
||||
|
USD 0.01 common |
Sale |
29,547 |
22.8393 USD |
||||
|
USD 0.01 common |
Sale |
32,495 |
22.9101 USD |
||||
|
USD 0.01 common |
Sale |
34,847 |
22.9763 USD |
||||
|
USD 0.01 common |
Sale |
52,852 |
22.7545 USD |
||||
|
USD 0.01 common |
Sale |
93,500 |
22.8122 USD |
||||
|
USD 0.01 common |
Sale |
113,198 |
22.7435 USD |
||||
|
USD 0.01 common |
Sale |
124,360 |
23.3513 USD |
||||
|
USD 0.01 common |
Sale |
137,201 |
22.9858 USD |
||||
|
USD 0.01 common |
Sale |
262,162 |
23.0395 USD |
||||
|
USD 0.01 common |
Sale |
547,119 |
22.8412 USD |
||||
|
USD 0.01 common |
Sale |
2,319,316 |
22.7300 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 |
|
reference |
unit |
|||
|
security |
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|
securities |
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(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 |
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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 |
|
|
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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|||||
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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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||||||
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to the offer or any person acting in concert with a party to the offer: |
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||||
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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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|||||
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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 |
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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: |
12 Sep 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 |
|||||||
|
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 |
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|
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. |
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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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