Form 8.3 - NORTONLIFELOCK INC - Amendment

LONDON--(BUSINESS WIRE)-- 

FORM 8.3 - Amendment to Sale

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:	28 September 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:	1,438,251	0.25%	459,141	0.08%
(2)	Cash-settled derivatives:
		159,730	0.03%	1,028,322	0.18%
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:	500	0.00%	2,100	0.00%
	TOTAL:	1,598,481	0.27%	1,489,563	0.26%
Class of relevant security:		Convertible Bond US668771AA66
		Interests		Short Positions
		Number	(%)	Number	(%)
(1)	Relevant securities owned
	and/or controlled:	146,000	0.03%	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:	146,000	0.03%	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	12	21.7145 EUR
USD 0.01 common	Purchase	24	25.7200 USD
USD 0.01 common	Purchase	47	25.8100 USD
USD 0.01 common	Purchase	93	25.7887 USD
USD 0.01 common	Purchase	93	25.7100 USD
USD 0.01 common	Purchase	200	25.7700 USD
USD 0.01 common	Purchase	200	25.7300 USD
USD 0.01 common	Purchase	223	25.7400 USD
USD 0.01 common	Purchase	300	25.6900 USD
USD 0.01 common	Purchase	300	25.8167 USD
USD 0.01 common	Purchase	499	25.6300 USD
USD 0.01 common	Purchase	500	25.7170 USD
USD 0.01 common	Purchase	1,000	25.7390 USD
USD 0.01 common	Purchase	1,112	25.7398 USD
USD 0.01 common	Purchase	1,359	25.6960 USD
USD 0.01 common	Purchase	1,521	25.6922 USD
USD 0.01 common	Purchase	1,909	25.6671 USD
USD 0.01 common	Purchase	2,916	25.6821 USD
USD 0.01 common	Purchase	6,068	25.7205 USD
USD 0.01 common	Purchase	7,422	25.7317 USD
USD 0.01 common	Purchase	8,074	25.6417 USD
USD 0.01 common	Purchase	11,569	25.7342 USD
USD 0.01 common	Purchase	13,387	25.6479 USD
USD 0.01 common	Purchase	15,100	25.7265 USD
USD 0.01 common	Purchase	21,944	25.6406 USD
USD 0.01 common	Purchase	32,474	25.6400 USD
USD 0.01 common	Purchase	35,298	25.7500 USD
USD 0.01 common	Purchase	71,467	25.7298 USD
USD 0.01 common	Sale	3	25.7100 USD
USD 0.01 common	Sale	12	21.7145 EUR
USD 0.01 common	Sale	23	25.7400 USD
USD 0.01 common	Sale	44	25.7650 USD
USD 0.01 common	Sale	47	25.7517 USD
USD 0.01 common	Sale	100	25.6500 USD
USD 0.01 common	Sale	182	25.6435 USD
USD 0.01 common	Sale	200	25.6275 USD
USD 0.01 common	Sale	200	25.8150 USD
USD 0.01 common	Sale	200	25.7200 USD
USD 0.01 common	Sale	200	25.7050 USD
USD 0.01 common	Sale	200	25.6650 USD
USD 0.01 common	Sale	200	25.6425 USD
USD 0.01 common	Sale	200	25.8250 USD
USD 0.01 common	Sale	224	25.6489 USD
USD 0.01 common	Sale	273	25.6563 USD
USD 0.01 common	Sale	300	25.6900 USD
USD 0.01 common	Sale	300	25.6866 USD
USD 0.01 common	Sale	400	25.6250 USD
USD 0.01 common	Sale	477	25.6545 USD
USD 0.01 common	Sale	496	25.6420 USD
USD 0.01 common	Sale	524	25.6514 USD
USD 0.01 common	Sale	547	25.6546 USD
USD 0.01 common	Sale	600	25.7108 USD
USD 0.01 common	Sale	757	25.7252 USD
USD 0.01 common	Sale	800	25.6315 USD
USD 0.01 common	Sale	866	25.6328 USD
USD 0.01 common	Sale	885	25.7040 USD
USD 0.01 common	Sale	895	25.6403 USD
USD 0.01 common	Sale	1,132	25.6764 USD
USD 0.01 common	Sale	1,293	25.7805 USD
USD 0.01 common	Sale	1,300	25.6688 USD
USD 0.01 common	Sale	1,356	25.6597 USD
USD 0.01 common	Sale	1,593	25.6773 USD
USD 0.01 common	Sale	1,909	25.6671 USD
USD 0.01 common	Sale	2,000	25.7250 USD
USD 0.01 common	Sale	2,199	25.7149 USD
USD 0.01 common	Sale	2,269	25.7030 USD
USD 0.01 common	Sale	3,608	25.6952 USD
USD 0.01 common	Sale	3,996	25.7538 USD
USD 0.01 common	Sale	5,098	25.7500 USD
USD 0.01 common	Sale	6,852	25.6398 USD
USD 0.01 common	Sale	7,107	25.7350 USD
USD 0.01 common	Sale	8,284	25.6444 USD
USD 0.01 common	Sale	9,840	25.7219 USD
USD 0.01 common	Sale	10,630	25.7364 USD
USD 0.01 common	Sale	13,283	25.7296 USD
USD 0.01 common	Sale	13,538	25.6478 USD
USD 0.01 common	Sale	18,306	25.6415 USD
USD 0.01 common	Sale	36,352	25.6400 USD
USD 0.01 common	Sale	55,822	25.7352 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	15,100	25.7500 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:	30 Sep 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 [phone].

*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 [phone].

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