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: |
12 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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1,413,107 |
0.25% |
1,458,415 |
0.26% |
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(2) |
Cash-settled derivatives: |
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and/or controlled: |
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1,908,173 |
0.33% |
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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3,338,380 |
0.58% |
5,461,549 |
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 |
|
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|
USD 0.01 common |
Purchase |
4 |
22.9200 USD |
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|
USD 0.01 common |
Purchase |
6 |
22.9450 USD |
||||
|
USD 0.01 common |
Purchase |
7 |
22.7650 USD |
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|
USD 0.01 common |
Purchase |
7 |
22.7757 USD |
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|
USD 0.01 common |
Purchase |
8 |
23.0000 USD |
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|
USD 0.01 common |
Purchase |
11 |
22.8918 USD |
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|
USD 0.01 common |
Purchase |
12 |
23.0675 USD |
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|
USD 0.01 common |
Purchase |
16 |
22.8650 USD |
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|
USD 0.01 common |
Purchase |
20 |
22.9350 USD |
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|
USD 0.01 common |
Purchase |
23 |
22.9517 USD |
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|
USD 0.01 common |
Purchase |
24 |
22.9550 USD |
||||
|
USD 0.01 common |
Purchase |
31 |
22.7000 USD |
||||
|
USD 0.01 common |
Purchase |
31 |
22.7050 USD |
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|
USD 0.01 common |
Purchase |
34 |
22.9464 USD |
||||
|
USD 0.01 common |
Purchase |
36 |
22.9694 USD |
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|
USD 0.01 common |
Purchase |
58 |
22.7232 USD |
||||
|
USD 0.01 common |
Purchase |
62 |
22.6950 USD |
||||
|
USD 0.01 common |
Purchase |
100 |
22.7750 USD |
||||
|
USD 0.01 common |
Purchase |
100 |
22.7600 USD |
||||
|
USD 0.01 common |
Purchase |
100 |
22.7200 USD |
||||
|
USD 0.01 common |
Purchase |
100 |
22.8400 USD |
||||
|
USD 0.01 common |
Purchase |
140 |
22.9372 USD |
||||
|
USD 0.01 common |
Purchase |
142 |
22.9342 USD |
||||
|
USD 0.01 common |
Purchase |
200 |
22.6800 USD |
||||
|
USD 0.01 common |
Purchase |
300 |
22.7250 USD |
||||
|
USD 0.01 common |
Purchase |
360 |
22.7522 USD |
||||
|
USD 0.01 common |
Purchase |
413 |
22.8458 USD |
||||
|
USD 0.01 common |
Purchase |
534 |
22.9309 USD |
||||
|
USD 0.01 common |
Purchase |
606 |
22.9436 USD |
||||
|
USD 0.01 common |
Purchase |
746 |
22.8350 USD |
||||
|
USD 0.01 common |
Purchase |
773 |
22.9957 USD |
||||
|
USD 0.01 common |
Purchase |
810 |
22.9416 USD |
||||
|
USD 0.01 common |
Purchase |
900 |
22.9611 USD |
||||
|
USD 0.01 common |
Purchase |
1,010 |
22.7964 USD |
||||
|
USD 0.01 common |
Purchase |
1,395 |
22.8096 USD |
||||
|
USD 0.01 common |
Purchase |
1,435 |
22.9223 USD |
||||
|
USD 0.01 common |
Purchase |
1,565 |
22.8389 USD |
||||
|
USD 0.01 common |
Purchase |
1,690 |
22.8709 USD |
||||
|
USD 0.01 common |
Purchase |
1,783 |
22.9808 USD |
||||
|
USD 0.01 common |
Purchase |
1,822 |
22.8356 USD |
||||
|
USD 0.01 common |
Purchase |
1,922 |
22.9320 USD |
||||
|
USD 0.01 common |
Purchase |
1,971 |
22.8173 USD |
||||
|
USD 0.01 common |
Purchase |
2,294 |
22.8497 USD |
||||
|
USD 0.01 common |
Purchase |
2,600 |
22.8246 USD |
||||
|
USD 0.01 common |
Purchase |
2,966 |
22.8309 USD |
||||
|
USD 0.01 common |
Purchase |
3,017 |
22.8702 USD |
||||
|
USD 0.01 common |
Purchase |
3,338 |
22.7883 USD |
||||
|
USD 0.01 common |
Purchase |
3,562 |
22.8035 USD |
||||
|
USD 0.01 common |
Purchase |
4,119 |
22.8889 USD |
||||
|
USD 0.01 common |
Purchase |
4,182 |
22.7663 USD |
||||
|
USD 0.01 common |
Purchase |
4,235 |
22.8521 USD |
||||
|
USD 0.01 common |
Purchase |
4,282 |
22.8423 USD |
||||
|
USD 0.01 common |
Purchase |
4,415 |
22.8775 USD |
||||
|
USD 0.01 common |
Purchase |
4,482 |
22.8422 USD |
||||
|
USD 0.01 common |
Purchase |
5,452 |
22.7949 USD |
||||
|
USD 0.01 common |
Purchase |
6,669 |
22.9599 USD |
||||
|
USD 0.01 common |
Purchase |
6,939 |
22.8444 USD |
||||
|
USD 0.01 common |
Purchase |
7,294 |
22.8892 USD |
||||
|
USD 0.01 common |
Purchase |
7,858 |
22.7484 USD |
||||
|
USD 0.01 common |
Purchase |
10,112 |
22.7857 USD |
||||
|
USD 0.01 common |
Purchase |
16,548 |
22.8311 USD |
||||
|
USD 0.01 common |
Purchase |
19,749 |
22.8543 USD |
||||
|
USD 0.01 common |
Purchase |
31,050 |
22.8102 USD |
||||
|
USD 0.01 common |
Purchase |
34,219 |
22.7500 USD |
||||
|
USD 0.01 common |
Purchase |
71,354 |
22.8345 USD |
||||
|
USD 0.01 common |
Purchase |
101,264 |
22.8347 USD |
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|
USD 0.01 common |
Sale |
1 |
22.8700 USD |
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|
USD 0.01 common |
Sale |
2 |
22.8150 USD |
||||
|
USD 0.01 common |
Sale |
4 |
23.0800 USD |
||||
|
USD 0.01 common |
Sale |
5 |
22.8230 USD |
||||
|
USD 0.01 common |
Sale |
5 |
22.8960 USD |
||||
|
USD 0.01 common |
Sale |
6 |
22.8900 USD |
||||
|
USD 0.01 common |
Sale |
7 |
22.7757 USD |
||||
|
USD 0.01 common |
Sale |
8 |
22.8587 USD |
||||
|
USD 0.01 common |
Sale |
10 |
22.9120 USD |
||||
|
USD 0.01 common |
Sale |
12 |
22.7758 USD |
||||
|
USD 0.01 common |
Sale |
33 |
22.6760 USD |
||||
|
USD 0.01 common |
Sale |
39 |
22.8307 USD |
||||
|
USD 0.01 common |
Sale |
42 |
22.8626 USD |
||||
|
USD 0.01 common |
Sale |
73 |
22.9119 USD |
||||
|
USD 0.01 common |
Sale |
100 |
22.8200 USD |
||||
|
USD 0.01 common |
Sale |
100 |
22.8400 USD |
||||
|
USD 0.01 common |
Sale |
100 |
22.9000 USD |
||||
|
USD 0.01 common |
Sale |
100 |
22.7200 USD |
||||
|
USD 0.01 common |
Sale |
101 |
22.9379 USD |
||||
|
USD 0.01 common |
Sale |
101 |
22.7099 USD |
||||
|
USD 0.01 common |
Sale |
101 |
22.8515 USD |
||||
|
USD 0.01 common |
Sale |
103 |
22.6908 USD |
||||
|
USD 0.01 common |
Sale |
106 |
22.6836 USD |
||||
|
USD 0.01 common |
Sale |
181 |
22.9827 USD |
||||
|
USD 0.01 common |
Sale |
182 |
22.7065 USD |
||||
|
USD 0.01 common |
Sale |
200 |
22.6800 USD |
||||
|
USD 0.01 common |
Sale |
201 |
22.8245 USD |
||||
|
USD 0.01 common |
Sale |
300 |
22.6983 USD |
||||
|
USD 0.01 common |
Sale |
300 |
22.8466 USD |
||||
|
USD 0.01 common |
Sale |
300 |
22.8250 USD |
||||
|
USD 0.01 common |
Sale |
334 |
22.8314 USD |
||||
|
USD 0.01 common |
Sale |
400 |
22.7525 USD |
||||
|
USD 0.01 common |
Sale |
461 |
22.7969 USD |
||||
|
USD 0.01 common |
Sale |
558 |
22.8457 USD |
||||
|
USD 0.01 common |
Sale |
694 |
22.8313 USD |
||||
|
USD 0.01 common |
Sale |
700 |
22.7600 USD |
||||
|
USD 0.01 common |
Sale |
740 |
23.0100 USD |
||||
|
USD 0.01 common |
Sale |
828 |
22.7962 USD |
||||
|
USD 0.01 common |
Sale |
960 |
22.7440 USD |
||||
|
USD 0.01 common |
Sale |
973 |
22.7726 USD |
||||
|
USD 0.01 common |
Sale |
1,006 |
22.7559 USD |
||||
|
USD 0.01 common |
Sale |
1,146 |
22.8350 USD |
||||
|
USD 0.01 common |
Sale |
1,203 |
22.7610 USD |
||||
|
USD 0.01 common |
Sale |
1,375 |
22.8733 USD |
||||
|
USD 0.01 common |
Sale |
1,569 |
22.9968 USD |
||||
|
USD 0.01 common |
Sale |
1,600 |
22.9512 USD |
||||
|
USD 0.01 common |
Sale |
2,497 |
22.8310 USD |
||||
|
USD 0.01 common |
Sale |
3,000 |
22.8399 USD |
||||
|
USD 0.01 common |
Sale |
3,794 |
22.8255 USD |
||||
|
USD 0.01 common |
Sale |
4,100 |
22.9470 USD |
||||
|
USD 0.01 common |
Sale |
4,119 |
22.8889 USD |
||||
|
USD 0.01 common |
Sale |
4,290 |
22.8427 USD |
||||
|
USD 0.01 common |
Sale |
4,875 |
22.9057 USD |
||||
|
USD 0.01 common |
Sale |
5,163 |
22.7698 USD |
||||
|
USD 0.01 common |
Sale |
6,747 |
22.8505 USD |
||||
|
USD 0.01 common |
Sale |
11,190 |
22.8551 USD |
||||
|
USD 0.01 common |
Sale |
11,713 |
22.8336 USD |
||||
|
USD 0.01 common |
Sale |
11,927 |
22.8610 USD |
||||
|
USD 0.01 common |
Sale |
20,406 |
22.7784 USD |
||||
|
USD 0.01 common |
Sale |
24,521 |
22.7500 USD |
||||
|
USD 0.01 common |
Sale |
30,000 |
22.8666 USD |
||||
|
USD 0.01 common |
Sale |
46,087 |
22.8090 USD |
||||
|
USD 0.01 common |
Sale |
52,491 |
22.8343 USD |
||||
|
USD 0.01 common |
Sale |
102,107 |
22.8377 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 |
|||
|
security |
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|
securities |
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USD 0.01 common |
SWAP |
Long |
1 |
42543645.0000 USD |
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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 |
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of |
description |
purchasing, |
of |
price |
|
date |
money |
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relevant |
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selling, |
securities |
per unit |
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paid/ |
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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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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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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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||||
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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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||||
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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: |
13 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 |
|||||||
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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. |
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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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