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Barclays PLC M&A Activity 2021

Aug 16, 2021

5250_rns_2021-08-16_68bf536c-fd75-46d8-bf6a-ce5b164c80b9.html

M&A Activity

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National Storage Mechanism | Additional information

Form 8.3 - NORTONLIFELOCK INC AMENDMENT

FORM 8.3 Amendment to Sales

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: 11 August 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: 1,829,796 0.31% 401,722 0.07%
(2) Cash-settled derivatives:
86,098 0.01% 1,279,498 0.22%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 261,900 0.05% 13,500 0.00%
TOTAL: 2,177,794 0.37% 1,694,720 0.29%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 136,000 0.02% 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: 136,000 0.02% 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
Convertible Bond Purchase 16,000 130.1250 USD
Convertible Bond Sale 8,000 130.1250 USD
USD 0.01 common Purchase 26 26.2550 USD
USD 0.01 common Purchase 36 26.2650 USD
USD 0.01 common Purchase 52 26.0475 USD
USD 0.01 common Purchase 100 25.9950 USD
USD 0.01 common Purchase 100 25.9800 USD
USD 0.01 common Purchase 100 25.3300 USD
USD 0.01 common Purchase 109 26.2549 USD
USD 0.01 common Purchase 144 26.2600 USD
USD 0.01 common Purchase 150 26.2815 USD
USD 0.01 common Purchase 167 26.2687 USD
USD 0.01 common Purchase 175 26.2155 USD
USD 0.01 common Purchase 190 26.1681 USD
USD 0.01 common Purchase 200 25.9650 USD
USD 0.01 common Purchase 200 26.4300 USD
USD 0.01 common Purchase 215 26.0932 USD
USD 0.01 common Purchase 300 26.0600 USD
USD 0.01 common Purchase 349 26.2245 USD
USD 0.01 common Purchase 392 26.3400 USD
USD 0.01 common Purchase 430 26.0676 USD
USD 0.01 common Purchase 480 26.0959 USD
USD 0.01 common Purchase 508 21.0993 EUR
USD 0.01 common Purchase 600 25.3350 USD
USD 0.01 common Purchase 620 26.2200 USD
USD 0.01 common Purchase 656 26.1264 USD
USD 0.01 common Purchase 695 26.0168 USD
USD 0.01 common Purchase 760 26.2065 USD
USD 0.01 common Purchase 800 25.9312 USD
USD 0.01 common Purchase 1,000 25.9250 USD
USD 0.01 common Purchase 1,200 25.8974 USD
USD 0.01 common Purchase 1,331 25.5000 USD
USD 0.01 common Purchase 1,440 26.2923 USD
USD 0.01 common Purchase 1,537 26.4087 USD
USD 0.01 common Purchase 1,900 26.4123 USD
USD 0.01 common Purchase 1,944 25.9370 USD
USD 0.01 common Purchase 2,532 26.3780 USD
USD 0.01 common Purchase 2,540 25.9959 USD
USD 0.01 common Purchase 3,092 25.9484 USD
USD 0.01 common Purchase 3,445 26.1634 USD
USD 0.01 common Purchase 3,741 25.7727 USD
USD 0.01 common Purchase 4,100 26.1756 USD
USD 0.01 common Purchase 4,145 25.0997 USD
USD 0.01 common Purchase 4,300 25.1000 USD
USD 0.01 common Purchase 4,500 25.9405 USD
USD 0.01 common Purchase 5,000 26.3300 USD
USD 0.01 common Purchase 5,051 26.4473 USD
USD 0.01 common Purchase 5,263 26.2276 USD
USD 0.01 common Purchase 5,609 25.9486 USD
USD 0.01 common Purchase 6,720 25.9616 USD
USD 0.01 common Purchase 7,127 26.1312 USD
USD 0.01 common Purchase 7,199 25.3607 USD
USD 0.01 common Purchase 8,500 26.1860 USD
USD 0.01 common Purchase 8,806 25.6260 USD
USD 0.01 common Purchase 9,685 26.1382 USD
USD 0.01 common Purchase 9,798 26.1965 USD
USD 0.01 common Purchase 9,808 25.2325 USD
USD 0.01 common Purchase 10,118 25.9590 USD
USD 0.01 common Purchase 12,389 25.5678 USD
USD 0.01 common Purchase 12,682 26.1840 USD
USD 0.01 common Purchase 14,392 25.5498 USD
USD 0.01 common Purchase 15,000 26.0912 USD
USD 0.01 common Purchase 15,196 25.4526 USD
USD 0.01 common Purchase 16,927 25.0834 USD
USD 0.01 common Purchase 17,000 26.1859 USD
USD 0.01 common Purchase 17,341 26.0000 USD
USD 0.01 common Purchase 18,307 25.8924 USD
USD 0.01 common Purchase 20,161 25.9608 USD
USD 0.01 common Purchase 28,890 26.2186 USD
USD 0.01 common Purchase 37,390 26.2112 USD
USD 0.01 common Purchase 39,381 26.1388 USD
USD 0.01 common Purchase 44,809 25.9831 USD
USD 0.01 common Purchase 46,472 25.7933 USD
USD 0.01 common Purchase 47,019 26.2031 USD
USD 0.01 common Purchase 50,000 25.9700 USD
USD 0.01 common Purchase 50,200 25.3500 USD
USD 0.01 common Purchase 60,900 26.0872 USD
USD 0.01 common Purchase 62,794 26.1707 USD
USD 0.01 common Purchase 65,125 26.1758 USD
USD 0.01 common Purchase 69,301 26.2500 USD
USD 0.01 common Purchase 101,695 26.2315 USD
USD 0.01 common Purchase 181,595 26.1861 USD
USD 0.01 common Purchase 197,803 25.8971 USD
USD 0.01 common Purchase 614,319 26.1650 USD
USD 0.01 common Sale 66 26.5100 USD
USD 0.01 common Sale 67 26.0400 USD
USD 0.01 common Sale 81 26.1261 USD
USD 0.01 common Sale 100 26.1700 USD
USD 0.01 common Sale 100 25.9500 USD
USD 0.01 common Sale 100 26.3400 USD
USD 0.01 common Sale 100 26.3000 USD
USD 0.01 common Sale 100 26.2900 USD
USD 0.01 common Sale 100 26.0500 USD
USD 0.01 common Sale 100 26.1800 USD
USD 0.01 common Sale 123 26.4769 USD
USD 0.01 common Sale 144 26.2284 USD
USD 0.01 common Sale 165 26.2124 USD
USD 0.01 common Sale 167 26.1600 USD
USD 0.01 common Sale 194 26.2162 USD
USD 0.01 common Sale 200 26.3050 USD
USD 0.01 common Sale 200 26.3900 USD
USD 0.01 common Sale 200 26.3600 USD
USD 0.01 common Sale 200 25.9650 USD
USD 0.01 common Sale 200 26.0300 USD
USD 0.01 common Sale 202 26.0454 USD
USD 0.01 common Sale 203 26.1786 USD
USD 0.01 common Sale 223 26.3348 USD
USD 0.01 common Sale 229 25.9956 USD
USD 0.01 common Sale 230 26.1389 USD
USD 0.01 common Sale 248 26.1764 USD
USD 0.01 common Sale 268 26.1425 USD
USD 0.01 common Sale 300 26.2600 USD
USD 0.01 common Sale 300 25.9166 USD
USD 0.01 common Sale 301 26.1667 USD
USD 0.01 common Sale 308 26.1650 USD
USD 0.01 common Sale 328 26.1621 USD
USD 0.01 common Sale 328 26.2125 USD
USD 0.01 common Sale 334 26.1384 USD
USD 0.01 common Sale 349 26.1659 USD
USD 0.01 common Sale 368 26.2019 USD
USD 0.01 common Sale 400 26.2100 USD
USD 0.01 common Sale 400 26.2400 USD
USD 0.01 common Sale 400 26.2300 USD
USD 0.01 common Sale 479 26.2800 USD
USD 0.01 common Sale 500 26.0480 USD
USD 0.01 common Sale 501 26.2150 USD
USD 0.01 common Sale 508 21.0993 EUR
USD 0.01 common Sale 509 26.0330 USD
USD 0.01 common Sale 511 26.1593 USD
USD 0.01 common Sale 600 25.9600 USD
USD 0.01 common Sale 603 26.0599 USD
USD 0.01 common Sale 694 26.2087 USD
USD 0.01 common Sale 700 26.1842 USD
USD 0.01 common Sale 700 26.2700 USD
USD 0.01 common Sale 780 26.1924 USD
USD 0.01 common Sale 781 26.2550 USD
USD 0.01 common Sale 785 26.0568 USD
USD 0.01 common Sale 791 26.2135 USD
USD 0.01 common Sale 800 26.4800 USD
USD 0.01 common Sale 853 26.2639 USD
USD 0.01 common Sale 884 26.0227 USD
USD 0.01 common Sale 900 26.1522 USD
USD 0.01 common Sale 904 26.2151 USD
USD 0.01 common Sale 1,000 26.1770 USD
USD 0.01 common Sale 1,081 26.2007 USD
USD 0.01 common Sale 1,149 26.1568 USD
USD 0.01 common Sale 1,200 25.8974 USD
USD 0.01 common Sale 1,341 26.2037 USD
USD 0.01 common Sale 1,368 26.1725 USD
USD 0.01 common Sale 1,400 25.9560 USD
USD 0.01 common Sale 1,409 25.9628 USD
USD 0.01 common Sale 1,499 26.2573 USD
USD 0.01 common Sale 1,576 25.9728 USD
USD 0.01 common Sale 1,598 26.1908 USD
USD 0.01 common Sale 1,600 25.9993 USD
USD 0.01 common Sale 1,667 26.2903 USD
USD 0.01 common Sale 1,690 25.9577 USD
USD 0.01 common Sale 1,839 25.7169 USD
USD 0.01 common Sale 1,897 26.1833 USD
USD 0.01 common Sale 1,917 25.9591 USD
USD 0.01 common Sale 2,052 25.9911 USD
USD 0.01 common Sale 2,078 26.2002 USD
USD 0.01 common Sale 2,133 26.2285 USD
USD 0.01 common Sale 2,157 26.0917 USD
USD 0.01 common Sale 2,196 26.2646 USD
USD 0.01 common Sale 2,236 25.9631 USD
USD 0.01 common Sale 2,292 26.1478 USD
USD 0.01 common Sale 2,387 26.2200 USD
USD 0.01 common Sale 2,400 25.9902 USD
USD 0.01 common Sale 2,413 25.9804 USD
USD 0.01 common Sale 2,505 26.1032 USD
USD 0.01 common Sale 2,727 26.1476 USD
USD 0.01 common Sale 2,952 26.1566 USD
USD 0.01 common Sale 3,296 26.2438 USD
USD 0.01 common Sale 3,505 25.9674 USD
USD 0.01 common Sale 4,160 25.9848 USD
USD 0.01 common Sale 4,241 26.2072 USD
USD 0.01 common Sale 4,652 26.1787 USD
USD 0.01 common Sale 4,794 25.9988 USD
USD 0.01 common Sale 5,000 26.3300 USD
USD 0.01 common Sale 5,809 26.1127 USD
USD 0.01 common Sale 5,991 25.9400 USD
USD 0.01 common Sale 7,789 26.1412 USD
USD 0.01 common Sale 9,301 26.0910 USD
USD 0.01 common Sale 9,700 26.0373 USD
USD 0.01 common Sale 10,642 26.1052 USD
USD 0.01 common Sale 10,935 25.7856 USD
USD 0.01 common Sale 14,076 26.3083 USD
USD 0.01 common Sale 15,525 26.1821 USD
USD 0.01 common Sale 16,928 26.2829 USD
USD 0.01 common Sale 17,341 26.0000 USD
USD 0.01 common Sale 17,787 26.1845 USD
USD 0.01 common Sale 25,500 26.1859 USD
USD 0.01 common Sale 26,258 26.1438 USD
USD 0.01 common Sale 28,890 26.2186 USD
USD 0.01 common Sale 31,476 25.9715 USD
USD 0.01 common Sale 32,446 26.2142 USD
USD 0.01 common Sale 37,464 26.1289 USD
USD 0.01 common Sale 38,153 25.9900 USD
USD 0.01 common Sale 39,085 26.1781 USD
USD 0.01 common Sale 44,009 25.9740 USD
USD 0.01 common Sale 46,779 26.1728 USD
USD 0.01 common Sale 50,940 25.3618 USD
USD 0.01 common Sale 53,605 26.1704 USD
USD 0.01 common Sale 60,900 26.0872 USD
USD 0.01 common Sale 67,521 26.1846 USD
USD 0.01 common Sale 73,091 26.2500 USD
USD 0.01 common Sale 103,531 26.1803 USD
USD 0.01 common Sale 106,602 26.2301 USD
USD 0.01 common Sale 121,651 26.1335 USD
USD 0.01 common Sale 165,073 26.1643 USD
USD 0.01 common Sale 281,249 26.1747 USD
USD 0.01 common Sale 349,742 25.7940 USD
NB: The below transactions which were previously disclosed have been cancelled
Class of relevant Purchase/sale Number of Price per unit
security securities
USD 0.01 common Purchase 8,500 26.1859 USD
USD 0.01 common Purchase 37,390 26.2112 USD
USD 0.01 common Sale 200 26.2400 USD
USD 0.01 common Sale 223 26.3348 USD
USD 0.01 common Sale 500 26.1770 USD
USD 0.01 common Sale 549 26.2002 USD
USD 0.01 common Sale 781 26.2550 USD
USD 0.01 common Sale 1,766 26.2285 USD
USD 0.01 common Sale 2,505 26.1032 USD
USD 0.01 common Sale 3,296 26.2438 USD
USD 0.01 common Sale 4,652 26.1787 USD
USD 0.01 common Sale 8,500 26.1859 USD
USD 0.01 common Sale 10,642 26.1052 USD
USD 0.01 common Sale 16,928 26.2829 USD
USD 0.01 common Sale 28,890 26.2186 USD

(b) Cash-settled derivative transactions

Class of Product Nature of dealing Number of Price per
relevant description reference unit
security securities
USD 0.01 common SWAP Long 2,763 25.9700 USD

(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 received
option per unit
relates
USD 0.01 common Call Options Purchasing 11,400 26 USD American 20 Aug 2021 0.4881 USD
USD 0.01 common Put Options Purchasing 11,400 26 USD American 20 Aug 2021 0.7039 USD

(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: 16 Aug 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 Call Options Purchased 11,400 26.0000 American 20 Aug 2021
USD 0.01 common Call Options Purchased 50,000 25.0000 American 20 Aug 2021
USD 0.01 common Call Options Purchased 200,000 24.0000 American 20 Aug 2021
USD 0.01 common Put Options Purchased -11,400 26.0000 American 20 Aug 2021
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/20210816005469/en/

BARCLAYS PLC