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Barclays PLC Major Shareholding Notification 2021
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Major Shareholding Notification
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National Storage Mechanism | Additional information
FORM 8.3 - NORTONLIFELOCK INC.
FORM 8.3
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: | 16 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: | 1,643,359 | 0.28% | 562,241 | 0.10% | |
| (2) | Cash-settled derivatives: | ||||
| 88,801 | 0.02% | 1,279,498 | 0.22% | ||
| (3) | Stock-settled derivatives (including options) | ||||
| and agreements to purchase/sell: | 261,900 | 0.05% | 13,500 | 0.00% | |
| (4) | |||||
| TOTAL: | 1,994,060 | 0.34% | 1,855,239 | 0.32% | |
| 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% | |
| (4) | |||||
| 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 | ||
| USD 0.01 common | Purchase | 28 | 25.9700 USD |
| USD 0.01 common | Purchase | 43 | 26.0300 USD |
| USD 0.01 common | Purchase | 53 | 25.9884 USD |
| USD 0.01 common | Purchase | 66 | 25.8300 USD |
| USD 0.01 common | Purchase | 100 | 25.9550 USD |
| USD 0.01 common | Purchase | 100 | 25.9650 USD |
| USD 0.01 common | Purchase | 100 | 25.8950 USD |
| USD 0.01 common | Purchase | 100 | 25.9300 USD |
| USD 0.01 common | Purchase | 132 | 25.9500 USD |
| USD 0.01 common | Purchase | 200 | 25.9175 USD |
| USD 0.01 common | Purchase | 200 | 25.9375 USD |
| USD 0.01 common | Purchase | 206 | 25.9163 USD |
| USD 0.01 common | Purchase | 225 | 25.8393 USD |
| USD 0.01 common | Purchase | 259 | 25.8769 USD |
| USD 0.01 common | Purchase | 275 | 25.9232 USD |
| USD 0.01 common | Purchase | 300 | 25.9450 USD |
| USD 0.01 common | Purchase | 657 | 25.8789 USD |
| USD 0.01 common | Purchase | 701 | 26.2300 USD |
| USD 0.01 common | Purchase | 731 | 25.9100 USD |
| USD 0.01 common | Purchase | 745 | 26.0396 USD |
| USD 0.01 common | Purchase | 1,000 | 25.8700 USD |
| USD 0.01 common | Purchase | 1,200 | 25.8554 USD |
| USD 0.01 common | Purchase | 1,487 | 25.8550 USD |
| USD 0.01 common | Purchase | 1,548 | 25.9464 USD |
| USD 0.01 common | Purchase | 1,737 | 25.9250 USD |
| USD 0.01 common | Purchase | 1,933 | 25.9073 USD |
| USD 0.01 common | Purchase | 2,243 | 26.0125 USD |
| USD 0.01 common | Purchase | 3,603 | 25.9389 USD |
| USD 0.01 common | Purchase | 3,660 | 25.9343 USD |
| USD 0.01 common | Purchase | 3,948 | 25.9288 USD |
| USD 0.01 common | Purchase | 5,103 | 25.9413 USD |
| USD 0.01 common | Purchase | 5,191 | 25.9742 USD |
| USD 0.01 common | Purchase | 6,129 | 25.9010 USD |
| USD 0.01 common | Purchase | 6,183 | 26.0500 USD |
| USD 0.01 common | Purchase | 6,274 | 25.9346 USD |
| USD 0.01 common | Purchase | 7,000 | 25.8500 USD |
| USD 0.01 common | Purchase | 7,633 | 25.9602 USD |
| USD 0.01 common | Purchase | 8,073 | 25.9703 USD |
| USD 0.01 common | Purchase | 8,131 | 26.0425 USD |
| USD 0.01 common | Purchase | 8,630 | 25.9354 USD |
| USD 0.01 common | Purchase | 9,200 | 25.8669 USD |
| USD 0.01 common | Purchase | 10,646 | 25.9497 USD |
| USD 0.01 common | Purchase | 10,953 | 25.9189 USD |
| USD 0.01 common | Purchase | 12,164 | 25.9531 USD |
| USD 0.01 common | Purchase | 12,253 | 25.9408 USD |
| USD 0.01 common | Purchase | 12,585 | 25.9435 USD |
| USD 0.01 common | Purchase | 15,297 | 25.8800 USD |
| USD 0.01 common | Purchase | 19,078 | 25.9480 USD |
| USD 0.01 common | Purchase | 19,767 | 25.9629 USD |
| USD 0.01 common | Purchase | 40,053 | 25.9445 USD |
| USD 0.01 common | Purchase | 113,937 | 25.9274 USD |
| USD 0.01 common | Purchase | 149,623 | 25.9779 USD |
| USD 0.01 common | Purchase | 149,623 | 26.0000 USD |
| USD 0.01 common | Purchase | 289,992 | 25.9447 USD |
| USD 0.01 common | Sale | 22 | 25.8850 USD |
| USD 0.01 common | Sale | 33 | 25.9116 USD |
| USD 0.01 common | Sale | 33 | 25.8600 USD |
| USD 0.01 common | Sale | 33 | 25.8683 USD |
| USD 0.01 common | Sale | 44 | 25.8575 USD |
| USD 0.01 common | Sale | 44 | 25.8675 USD |
| USD 0.01 common | Sale | 66 | 25.8300 USD |
| USD 0.01 common | Sale | 90 | 25.8810 USD |
| USD 0.01 common | Sale | 100 | 25.9750 USD |
| USD 0.01 common | Sale | 100 | 26.1000 USD |
| USD 0.01 common | Sale | 132 | 25.9500 USD |
| USD 0.01 common | Sale | 182 | 25.8860 USD |
| USD 0.01 common | Sale | 200 | 26.0250 USD |
| USD 0.01 common | Sale | 200 | 25.9525 USD |
| USD 0.01 common | Sale | 200 | 25.9000 USD |
| USD 0.01 common | Sale | 203 | 25.9520 USD |
| USD 0.01 common | Sale | 208 | 25.9024 USD |
| USD 0.01 common | Sale | 222 | 25.8825 USD |
| USD 0.01 common | Sale | 225 | 25.8393 USD |
| USD 0.01 common | Sale | 236 | 26.0135 USD |
| USD 0.01 common | Sale | 243 | 26.0300 USD |
| USD 0.01 common | Sale | 300 | 25.9450 USD |
| USD 0.01 common | Sale | 300 | 25.9516 USD |
| USD 0.01 common | Sale | 373 | 26.0123 USD |
| USD 0.01 common | Sale | 400 | 25.9175 USD |
| USD 0.01 common | Sale | 462 | 25.9583 USD |
| USD 0.01 common | Sale | 620 | 26.0200 USD |
| USD 0.01 common | Sale | 700 | 25.8835 USD |
| USD 0.01 common | Sale | 701 | 25.9772 USD |
| USD 0.01 common | Sale | 789 | 26.1927 USD |
| USD 0.01 common | Sale | 800 | 25.9050 USD |
| USD 0.01 common | Sale | 900 | 25.9544 USD |
| USD 0.01 common | Sale | 1,000 | 25.9700 USD |
| USD 0.01 common | Sale | 1,000 | 25.9250 USD |
| USD 0.01 common | Sale | 1,487 | 25.8550 USD |
| USD 0.01 common | Sale | 1,546 | 26.2300 USD |
| USD 0.01 common | Sale | 3,392 | 25.9112 USD |
| USD 0.01 common | Sale | 4,019 | 25.9434 USD |
| USD 0.01 common | Sale | 4,251 | 25.9900 USD |
| USD 0.01 common | Sale | 4,444 | 25.8822 USD |
| USD 0.01 common | Sale | 4,505 | 25.9060 USD |
| USD 0.01 common | Sale | 5,883 | 26.0500 USD |
| USD 0.01 common | Sale | 6,972 | 25.9696 USD |
| USD 0.01 common | Sale | 7,022 | 25.8500 USD |
| USD 0.01 common | Sale | 7,377 | 25.9792 USD |
| USD 0.01 common | Sale | 7,715 | 25.9297 USD |
| USD 0.01 common | Sale | 10,319 | 25.9730 USD |
| USD 0.01 common | Sale | 11,400 | 25.8660 USD |
| USD 0.01 common | Sale | 13,125 | 25.9517 USD |
| USD 0.01 common | Sale | 17,143 | 25.8800 USD |
| USD 0.01 common | Sale | 147,051 | 25.9291 USD |
| USD 0.01 common | Sale | 149,623 | 26.0000 USD |
| USD 0.01 common | Sale | 149,623 | 25.9779 USD |
| USD 0.01 common | Sale | 253,500 | 25.9173 USD |
| USD 0.01 common | Sale | 297,800 | 25.9870 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: | 17 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/20210817005468/en/
BARCLAYS PLC