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Form 8.3 - NortonLifeLock Inc. - Amendment

·7-min read

LONDON, October 26, 2021--(BUSINESS WIRE)--

FORM 8.3 - Amendment to Purchase

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY

A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE

Rule 8.3 of the Takeover Code (the "Code")

1. KEY INFORMATION

(a)

Full name of discloser:

Barclays PLC.

(b)

Owner or controller of interest and short

positions disclosed, if different from 1(a):

(c)

Name of offeror/offeree in relation to whose

NORTONLIFELOCK INC

relevant securities this form relates:

(d)

If an exempt fund manager connected with an

offeror/offeree, state this and specify identity of

offeror/offeree:

(e)

Date position held/dealing undertaken:

22 October 2021

(f)

In addition to the company in 1(c) above, is the discloser making

YES:

disclosures in respect of any other party to the offer?

AVAST PLC

2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE

If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.

(a) Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing (if any)

Class of relevant security:

USD 0.01 common

Interests

Short Positions

Number

(%)

Number

(%)

(1)

Relevant securities owned

and/or controlled:

1,581,594

0.27%

988,834

0.17%

(2)

Cash-settled derivatives:

556,267

0.10%

1,028,322

0.18%

(3)

Stock-settled derivatives (including options)

and agreements to purchase/sell:

500

0.00%

2,100

0.00%

TOTAL:

2,138,361

0.37%

2,019,256

0.35%

Class of relevant security:

Convertible Bond US668771AA66

Interests

Short Positions

Number

(%)

Number

(%)

(1)

Relevant securities owned

and/or controlled:

361,000

0.06%

0

0.00%

(2)

Cash-settled derivatives:

0

0.00%

0

0.00%

(3)

Stock-settled derivatives (including options)

and agreements to purchase/sell:

0

0.00%

0

0.00%

TOTAL:

361,000

0.06%

0

0.00%

All interests and all short positions should be disclosed.

Details of any open stock-settled derivative positions (including traded options), or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).

(b) Rights to subscribe for new securities (including directors’ and other employee options)

Class of relevant security in relation to which subscription right exists:

Details, including nature of the rights concerned and relevant percentages:

3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE

Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.

The currency of all prices and other monetary amounts should be stated.

(a) Purchases and sales

Class of relevant

Purchase/sale

Number of

Price per unit

security

securities

USD 0.01 common

Purchase

2

26.4150 USD

USD 0.01 common

Purchase

4

26.4025 USD

USD 0.01 common

Purchase

6

26.4000 USD

USD 0.01 common

Purchase

92

22.5100 EUR

USD 0.01 common

Purchase

100

26.6400 USD

USD 0.01 common

Purchase

200

26.3800 USD

USD 0.01 common

Purchase

200

26.5350 USD

USD 0.01 common

Purchase

200

26.6450 USD

USD 0.01 common

Purchase

298

26.5232 USD

USD 0.01 common

Purchase

402

26.4050 USD

USD 0.01 common

Purchase

500

26.6600 USD

USD 0.01 common

Purchase

800

26.3875 USD

USD 0.01 common

Purchase

1,290

26.2900 USD

USD 0.01 common

Purchase

1,633

26.5609 USD

USD 0.01 common

Purchase

2,300

26.5578 USD

USD 0.01 common

Purchase

2,834

26.5431 USD

USD 0.01 common

Purchase

3,000

26.5196 USD

USD 0.01 common

Purchase

3,377

26.5429 USD

USD 0.01 common

Purchase

3,668

26.6557 USD

USD 0.01 common

Purchase

4,773

26.6245 USD

USD 0.01 common

Purchase

5,120

26.5459 USD

USD 0.01 common

Purchase

5,425

26.6635 USD

USD 0.01 common

Purchase

10,834

26.5222 USD

USD 0.01 common

Purchase

19,201

26.6700 USD

USD 0.01 common

Purchase

29,361

26.5124 USD

USD 0.01 common

Purchase

34,373

26.6699 USD

USD 0.01 common

Purchase

57,209

26.5508 USD

USD 0.01 common

Sale

2

26.2300 USD

USD 0.01 common

Sale

8

26.5337 USD

USD 0.01 common

Sale

27

26.4251 USD

USD 0.01 common

Sale

92

22.5100 EUR

USD 0.01 common

Sale

100

26.4500 USD

USD 0.01 common

Sale

147

26.5615 USD

USD 0.01 common

Sale

200

26.6250 USD

USD 0.01 common

Sale

308

26.5179 USD

USD 0.01 common

Sale

317

26.5552 USD

USD 0.01 common

Sale

333

26.5523 USD

USD 0.01 common

Sale

353

26.5765 USD

USD 0.01 common

Sale

500

26.5560 USD

USD 0.01 common

Sale

500

26.4600 USD

USD 0.01 common

Sale

608

26.4736 USD

USD 0.01 common

Sale

610

26.4168 USD

USD 0.01 common

Sale

800

26.5575 USD

USD 0.01 common

Sale

1,290

26.2900 USD

USD 0.01 common

Sale

1,300

26.5230 USD

USD 0.01 common

Sale

1,800

26.5546 USD

USD 0.01 common

Sale

2,001

26.4324 USD

USD 0.01 common

Sale

2,127

26.4442 USD

USD 0.01 common

Sale

3,173

26.5403 USD

USD 0.01 common

Sale

3,779

26.5156 USD

USD 0.01 common

Sale

3,860

26.6454 USD

USD 0.01 common

Sale

4,749

26.6242 USD

USD 0.01 common

Sale

5,525

26.6612 USD

USD 0.01 common

Sale

5,733

26.5510 USD

USD 0.01 common

Sale

6,833

26.3100 USD

USD 0.01 common

Sale

13,634

26.5332 USD

USD 0.01 common

Sale

31,860

26.5129 USD

USD 0.01 common

Sale

47,572

26.5621 USD

USD 0.01 common

Sale

53,594

26.6700 USD

(b) Cash-settled derivative transactions

Class of relevant security

Product description

e.g. CFD

Nature of dealing

e.g. opening/closing a long/short position, increasing/reducing a long/short position

Number of reference securities

Price per unit

(c) Stock-settled derivative transactions (including options)

(i) Writing, selling, purchasing or varying

Class of relevant security

Product description e.g. call option

Writing, purchasing, selling, varying etc.

Number of securities to which option relates

Exercise price per unit

Type

e.g. American, European etc.

Expiry date

Option money paid/ received per unit

(ii) Exercise

Class of relevant security

Product description

e.g. call option

Exercising/ exercised against

Number of securities

Exercise price per unit

(d) Other dealings (including subscribing for new securities)

Class of relevant security

Nature of dealing

e.g. subscription, conversion

Details

Price per unit (if applicable)

4. OTHER INFORMATION

(a) Indemnity and other dealing arrangements

Details of any indemnity or option arrangement, or any agreement or understanding, formal or informal, relating to relevant securities which may be an inducement to deal or refrain from dealing entered into by the person making the disclosure and any party to the offer or any person acting in concert with a party to the offer:

Irrevocable commitments and letters of intent should not be included. If there are no such agreements, arrangements or understandings, state "none"

None

(b) Agreements, arrangements or understandings relating to options or derivatives

Details of any agreement, arrangement or understanding, formal or informal, between the person making the disclosure and any other person relating to:

(i) the voting rights of any relevant securities under any option; or

(ii) the voting rights or future acquisition or disposal of any relevant securities to which any derivative is referenced:

If there are no such agreements, arrangements or understandings, state "none"

None

(c) Attachments

Is a Supplemental Form 8 (Open Positions) attached?

YES

Date of disclosure:

26 Oct 2021

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service.

The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s disclosure requirements on +44 (0)20 7638 0129.

*If the discloser is a natural person, a telephone number does not need to be included, provided contact information has been provided to the Panel’s Market Surveillance Unit.

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.

SUPPLEMENTAL FORM 8 (OPEN POSITIONS)

DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING OPTION) 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:

2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

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

500

27.0000

American

21 Jan 2022

USD 0.01 common

Put Options

Purchased

-2,100

30.0000

American

21 Jan 2022

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:

It is not necessary to provide details on a Supplemental Form (Open Positions) with regard to cash-settled derivatives.

The currency of all prices and other monetary amounts should be stated.

The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s disclosure requirements on +44 (0)20 7638 0129.

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.

View source version on businesswire.com: https://www.businesswire.com/news/home/20211026005912/en/

Contacts

BARCLAYS PLC

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