Northern Trust Corporation Form 8.3 - NLOK (1404Z)
September 12 2022 - 6:50AM
UK Regulatory
TIDMAVST TIDMNLOK
RNS Number : 1404Z
Northern Trust Corporation
12 September 2022
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: Northern Trust Corporation
(b) Owner or controller of interests and short positions disclosed, if different from
1(a):
The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s),
settlor and beneficiaries must be named.
---------------------------
(c) Name of offeror/offeree in relation to whose relevant securities this form relates: NORTONLIFELOCK INC
Use a separate form for each offeror/offeree
---------------------------
(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: 9th September 2022
For an opening position disclosure, state the latest practicable date prior to the
disclosure
---------------------------
(f) In addition to the company in 1(c) above, is the discloser making disclosures in NO
respect
of any other party to the offer?
If it is a cash offer or possible cash offer, state "N/A"
---------------------------
2. POSITIONS OF THE PERSON MAKING THE DISCLOSU7RE
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)
Short Positions
Class of relevant security:
Number (%) Number (%)
========= ==== ============= ======= === ====
(1) Relevant securities 7,801,619.00 1.34%
owned and/or controlled
============================== ======================
(2) Cash-settled Derivatives
(other than options)
============================== ======================
(3) Stock-settled derivatives
(including options) and
agreements to purchase/sell
============================== ======================
Total 7,801,619.00 1.34%
============================== ======================
Note: The difference in holdings from yesterday and today not
explained by transactions, can be explained by stock transfers of
4152 securities out of relevant accounts..
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 security Purchase/sale Number Of relevant securities Price per unit ($)
Common Stock BUY 696 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 450 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 24 22.73
--------------- ------------------------------ -------------------
Common Stock BUY 1888 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 425 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 573 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 197 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 198 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 2012 22.8999
--------------- ------------------------------ -------------------
Common Stock BUY 1377 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 6280 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 177 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 546 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 22 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 405 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 185 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 14553 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 342 22.726
--------------- ------------------------------ -------------------
Common Stock SELL 14 22.73
--------------- ------------------------------ -------------------
Common Stock BUY 5080 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 2850 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 272 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 60 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 324 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 3188 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 4612 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 481 22.73
--------------- ------------------------------ -------------------
Common Stock BUY 813 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 1935 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 395 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 3844 22.73
--------------- ------------------------------ -------------------
Common Stock BUY 693 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 48318 22.726
--------------- ------------------------------ -------------------
Common Stock SELL 227 23.36
--------------- ------------------------------ -------------------
Common Stock BUY 389 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 15 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 1402 22.8999
--------------- ------------------------------ -------------------
Common Stock BUY 1570 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 127 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 30 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 286 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 1594 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 7437 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 576 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 1724 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 206 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 1803 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 233 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 1175 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 1610 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 37 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 4737 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 128 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 129 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 1423 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 51 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 2969 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 4853 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 819 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 229 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 958 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 208 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 1402 22.9
--------------- ------------------------------ -------------------
Common Stock BUY 3844 22.73
--------------- ------------------------------ -------------------
Common Stock SELL 14 22.73
--------------- ------------------------------ -------------------
Common Stock BUY 24 22.73
--------------- ------------------------------ -------------------
Common Stock BUY 481 22.73
--------------- ------------------------------ -------------------
Common Stock BUY 2012 22.9
--------------- ------------------------------ -------------------
Common Stock BUY 60 22.726
--------------- ------------------------------ -------------------
Common Stock BUY 197 22.726
--------------- ------------------------------ -------------------
(b) Cash-settled derivative transactions
Class of relevant Product description Nature of dealing Number of reference Price per unit
security e.g. CFD e.g. opening/closing a securities
long/short position,
increasing/reducing a
long/short position
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class of Product Writing, Number of Exercise Type Expiry date Option money
relevant description purchasing, securities price per e.g. paid/
security e.g. call selling, to which unit American, received per
option varying etc. option European unit
relates etc.
(ii) Exercise
Class of relevant Product description Exercising/ exercised Number of securities Exercise price per
security e.g. call option against unit
(d) Other dealings (including subscribing for new securities)
Class of relevant security Nature of dealing Details Price per unit (if applicable)
e.g. subscription, conversion
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? NO
Date of disclosure: 12th September 2022
Contact name: London Compliance Team
-------------------------------
Telephone number*: 0207 982 2158 or 0207 982 3697
-------------------------------
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 .
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END
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