Form 8.3 - NortonLifeLock Inc. Amendment
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FORM 8.3 |
Amendment to Sale |
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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: |
04 August 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: |
1,295,667 |
0.23% |
1,314,700 |
0.23% |
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(2) |
Cash-settled derivatives: |
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1,993,443 |
0.35% |
3,757,122 |
0.66% |
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(3) |
Stock-settled derivatives (including options) |
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and agreements to purchase/sell: |
73,200 |
0.01% |
150,000 |
0.03% |
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TOTAL: |
3,362,310 |
0.59% |
5,221,822 |
0.91% |
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Class of relevant security: |
Convertible Bond US668771AB40 |
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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: |
2,458,000 |
0.43% |
0 |
0.00% |
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(2) |
Cash-settled derivatives: |
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0 |
0.00% |
0 |
0.00% |
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(3) |
Stock-settled derivatives (including options) |
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and agreements to purchase/sell: |
0 |
0.00% |
0 |
0.00% |
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TOTAL: |
2,458,000 |
0.43% |
0 |
0.00% |
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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 PERSON MAKING THE DISCLOSURE |
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(a) |
Purchases and sales |
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Class of relevant |
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Purchase/sale |
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Number of |
Price per unit |
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security |
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securities |
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USD 0.01 common |
Purchase |
6 |
26.6200 USD |
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USD 0.01 common |
Purchase |
16 |
26.1500 EUR |
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USD 0.01 common |
Purchase |
20 |
26.1600 EUR |
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USD 0.01 common |
Purchase |
81 |
26.5355 USD |
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USD 0.01 common |
Purchase |
100 |
26.4900 USD |
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USD 0.01 common |
Purchase |
100 |
26.4800 USD |
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USD 0.01 common |
Purchase |
100 |
26.5300 USD |
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USD 0.01 common |
Purchase |
100 |
26.5800 USD |
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USD 0.01 common |
Purchase |
100 |
26.6110 USD |
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USD 0.01 common |
Purchase |
100 |
26.5100 USD |
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USD 0.01 common |
Purchase |
149 |
26.6166 USD |
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USD 0.01 common |
Purchase |
200 |
26.5250 USD |
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USD 0.01 common |
Purchase |
249 |
26.5658 USD |
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USD 0.01 common |
Purchase |
400 |
26.5500 USD |
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USD 0.01 common |
Purchase |
420 |
26.5323 USD |
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USD 0.01 common |
Purchase |
500 |
26.5760 USD |
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USD 0.01 common |
Purchase |
800 |
26.5260 USD |
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USD 0.01 common |
Purchase |
985 |
26.4837 USD |
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USD 0.01 common |
Purchase |
1,043 |
26.5050 USD |
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USD 0.01 common |
Purchase |
1,594 |
26.4991 USD |
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USD 0.01 common |
Purchase |
1,752 |
26.5829 USD |
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USD 0.01 common |
Purchase |
1,778 |
26.5302 USD |
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USD 0.01 common |
Purchase |
1,817 |
26.5214 USD |
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USD 0.01 common |
Purchase |
1,835 |
26.5610 USD |
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USD 0.01 common |
Purchase |
1,985 |
26.5704 USD |
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USD 0.01 common |
Purchase |
2,147 |
26.5636 USD |
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USD 0.01 common |
Purchase |
2,403 |
26.5668 USD |
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USD 0.01 common |
Purchase |
2,654 |
26.5159 USD |
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USD 0.01 common |
Purchase |
2,770 |
26.5044 USD |
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USD 0.01 common |
Purchase |
3,097 |
26.5817 USD |
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USD 0.01 common |
Purchase |
3,400 |
26.5200 USD |
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USD 0.01 common |
Purchase |
3,698 |
26.5660 USD |
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USD 0.01 common |
Purchase |
4,212 |
26.5484 USD |
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USD 0.01 common |
Purchase |
4,243 |
26.5913 USD |
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USD 0.01 common |
Purchase |
4,772 |
26.5523 USD |
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USD 0.01 common |
Purchase |
4,810 |
26.5749 USD |
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USD 0.01 common |
Purchase |
5,222 |
26.5781 USD |
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USD 0.01 common |
Purchase |
6,123 |
26.5652 USD |
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USD 0.01 common |
Purchase |
8,267 |
26.5986 USD |
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USD 0.01 common |
Purchase |
9,792 |
26.5614 USD |
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USD 0.01 common |
Purchase |
13,408 |
26.6530 USD |
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USD 0.01 common |
Purchase |
14,841 |
26.5587 USD |
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USD 0.01 common |
Purchase |
15,632 |
26.5677 USD |
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USD 0.01 common |
Purchase |
20,777 |
26.5513 USD |
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USD 0.01 common |
Purchase |
33,978 |
26.5411 USD |
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USD 0.01 common |
Purchase |
36,356 |
26.5795 USD |
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USD 0.01 common |
Purchase |
40,973 |
26.5784 USD |
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USD 0.01 common |
Purchase |
41,600 |
26.5814 USD |
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USD 0.01 common |
Purchase |
47,020 |
26.5395 USD |
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USD 0.01 common |
Purchase |
47,531 |
26.5203 USD |
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USD 0.01 common |
Purchase |
50,000 |
26.5120 USD |
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USD 0.01 common |
Purchase |
66,432 |
26.6000 USD |
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USD 0.01 common |
Purchase |
119,689 |
26.5363 USD |
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USD 0.01 common |
Purchase |
156,043 |
26.5998 USD |
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USD 0.01 common |
Purchase |
177,954 |
26.5839 USD |
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USD 0.01 common |
Purchase |
478,371 |
26.5599 USD |
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USD 0.01 common |
Purchase |
489,174 |
26.5600 USD |
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USD 0.01 common |
Purchase |
775,799 |
26.5643 USD |
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USD 0.01 common |
Sale |
16 |
26.1500 EUR |
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USD 0.01 common |
Sale |
20 |
26.1600 EUR |
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USD 0.01 common |
Sale |
20 |
26.6150 USD |
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USD 0.01 common |
Sale |
22 |
26.5600 USD |
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USD 0.01 common |
Sale |
80 |
26.6100 USD |
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USD 0.01 common |
Sale |
85 |
26.5300 USD |
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USD 0.01 common |
Sale |
174 |
26.5748 USD |
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USD 0.01 common |
Sale |
229 |
26.5913 USD |
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USD 0.01 common |
Sale |
270 |
26.6350 USD |
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USD 0.01 common |
Sale |
300 |
26.4666 USD |
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USD 0.01 common |
Sale |
344 |
26.5341 USD |
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USD 0.01 common |
Sale |
420 |
26.5645 USD |
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USD 0.01 common |
Sale |
431 |
26.5411 USD |
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USD 0.01 common |
Sale |
449 |
26.5257 USD |
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USD 0.01 common |
Sale |
450 |
26.5696 USD |
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USD 0.01 common |
Sale |
463 |
26.5658 USD |
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USD 0.01 common |
Sale |
555 |
26.5245 USD |
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USD 0.01 common |
Sale |
615 |
26.5519 USD |
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USD 0.01 common |
Sale |
700 |
26.5900 USD |
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USD 0.01 common |
Sale |
757 |
26.5446 USD |
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USD 0.01 common |
Sale |
780 |
26.5515 USD |
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USD 0.01 common |
Sale |
977 |
26.5544 USD |
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USD 0.01 common |
Sale |
1,031 |
26.5781 USD |
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USD 0.01 common |
Sale |
1,205 |
26.5400 USD |
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USD 0.01 common |
Sale |
1,308 |
26.5908 USD |
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USD 0.01 common |
Sale |
1,347 |
26.5903 USD |
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USD 0.01 common |
Sale |
1,397 |
26.5734 USD |
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USD 0.01 common |
Sale |
1,443 |
26.5799 USD |
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USD 0.01 common |
Sale |
1,493 |
26.6189 USD |
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USD 0.01 common |
Sale |
1,523 |
26.5344 USD |
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USD 0.01 common |
Sale |
1,633 |
26.5906 USD |
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USD 0.01 common |
Sale |
1,825 |
26.5642 USD |
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USD 0.01 common |
Sale |
2,000 |
26.5670 USD |
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USD 0.01 common |
Sale |
2,000 |
26.5869 USD |
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USD 0.01 common |
Sale |
2,164 |
26.5330 USD |
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USD 0.01 common |
Sale |
2,211 |
26.5878 USD |
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USD 0.01 common |
Sale |
2,300 |
26.6478 USD |
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USD 0.01 common |
Sale |
2,351 |
26.5623 USD |
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USD 0.01 common |
Sale |
2,354 |
26.5718 USD |
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USD 0.01 common |
Sale |
2,399 |
26.5249 USD |
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USD 0.01 common |
Sale |
2,423 |
26.5805 USD |
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USD 0.01 common |
Sale |
2,457 |
26.5860 USD |
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USD 0.01 common |
Sale |
2,612 |
26.5777 USD |
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USD 0.01 common |
Sale |
2,661 |
26.5930 USD |
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USD 0.01 common |
Sale |
2,732 |
26.5747 USD |
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USD 0.01 common |
Sale |
2,760 |
26.5081 USD |
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USD 0.01 common |
Sale |
2,811 |
26.6062 USD |
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USD 0.01 common |
Sale |
2,826 |
26.5652 USD |
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USD 0.01 common |
Sale |
2,874 |
26.5583 USD |
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USD 0.01 common |
Sale |
2,893 |
26.5220 USD |
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USD 0.01 common |
Sale |
3,053 |
26.5115 USD |
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USD 0.01 common |
Sale |
3,093 |
26.5819 USD |
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USD 0.01 common |
Sale |
3,211 |
26.5012 USD |
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USD 0.01 common |
Sale |
3,400 |
26.4698 USD |
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USD 0.01 common |
Sale |
3,400 |
26.5200 USD |
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USD 0.01 common |
Sale |
3,430 |
26.4974 USD |
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USD 0.01 common |
Sale |
3,521 |
26.5181 USD |
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USD 0.01 common |
Sale |
3,552 |
26.5212 USD |
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USD 0.01 common |
Sale |
3,629 |
26.5239 USD |
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USD 0.01 common |
Sale |
4,212 |
26.5484 USD |
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USD 0.01 common |
Sale |
4,288 |
26.6260 USD |
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USD 0.01 common |
Sale |
4,665 |
26.5041 USD |
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USD 0.01 common |
Sale |
5,179 |
26.5026 USD |
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USD 0.01 common |
Sale |
6,434 |
26.6537 USD |
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USD 0.01 common |
Sale |
6,440 |
26.5728 USD |
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USD 0.01 common |
Sale |
6,704 |
26.6530 USD |
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USD 0.01 common |
Sale |
7,940 |
26.5880 USD |
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USD 0.01 common |
Sale |
10,562 |
26.5653 USD |
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USD 0.01 common |
Sale |
10,703 |
26.5694 USD |
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USD 0.01 common |
Sale |
10,704 |
26.5156 USD |
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USD 0.01 common |
Sale |
14,385 |
26.5917 USD |
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USD 0.01 common |
Sale |
15,545 |
26.5374 USD |
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USD 0.01 common |
Sale |
34,594 |
26.5471 USD |
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USD 0.01 common |
Sale |
35,831 |
26.5617 USD |
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USD 0.01 common |
Sale |
41,922 |
26.5847 USD |
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USD 0.01 common |
Sale |
49,256 |
26.5419 USD |
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USD 0.01 common |
Sale |
55,100 |
26.5221 USD |
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USD 0.01 common |
Sale |
67,425 |
26.6000 USD |
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USD 0.01 common |
Sale |
71,131 |
26.5686 USD |
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USD 0.01 common |
Sale |
108,610 |
26.5907 USD |
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USD 0.01 common |
Sale |
489,704 |
26.5599 USD |
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USD 0.01 common |
Sale |
1,551,598 |
26.5643 USD |
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(b) |
Cash-settled derivative transactions |
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Class of relevant |
Product |
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Nature of dealing |
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Number of |
Price per unit |
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security |
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description |
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reference |
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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 |
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of |
description |
purchasing, |
of |
price |
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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 |
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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 person 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: |
8 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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SUPPLEMENTAL FORM 8 (OPEN POSITIONS) |
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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 |
|
|
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 |
56,100 |
25.0000 |
American |
19 Aug 2022 |
||
|
USD 0.01 common |
Call Options |
Written |
-112,200 |
28.0000 |
American |
19 Aug 2022 |
||
|
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 |
||
|
USD 0.01 common |
Put Options |
Written |
17,100 |
25.0000 |
American |
16 Sep 2022 |
||
|
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 |
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|
understood: |
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|
|
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|
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