Form 8.3 - NORTONLIFELOCK INC

LONDON--(BUSINESS WIRE)-- 

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 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: Use a separate form for each offeror/offeree	NORTONLIFELOCK INC
(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: For an opening position disclosure, state the latest practicable date prior to the disclosure	2 Nov 2021
(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer? If it is a cash offer or possible cash offer, state “N/A”	YES : 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:	1,720,806	0.30%	1,036,638	0.18%
(2)	Cash-settled derivatives:
		645,961	0.11%	1,028,322	0.18%
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:	500	0.00%	2,100	0.00%
(4)
	TOTAL:	2,367,267	0.41%	2,067,060	0.36%
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%
(4)
	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	58	25.2681 USD
USD 0.01 common	Purchase	65	25.2871 USD
USD 0.01 common	Purchase	70	25.2205 USD
USD 0.01 common	Purchase	71	25.2734 USD
USD 0.01 common	Purchase	87	25.2972 USD
USD 0.01 common	Purchase	100	25.2175 USD
USD 0.01 common	Purchase	100	25.1850 USD
USD 0.01 common	Purchase	100	25.2150 USD
USD 0.01 common	Purchase	100	25.1900 USD
USD 0.01 common	Purchase	101	25.3644 USD
USD 0.01 common	Purchase	109	25.2374 USD
USD 0.01 common	Purchase	116	25.2610 USD
USD 0.01 common	Purchase	129	25.2129 USD
USD 0.01 common	Purchase	164	25.2401 USD
USD 0.01 common	Purchase	187	25.2519 USD
USD 0.01 common	Purchase	244	25.5395 USD
USD 0.01 common	Purchase	244	25.2022 USD
USD 0.01 common	Purchase	245	25.2297 USD
USD 0.01 common	Purchase	283	25.2100 USD
USD 0.01 common	Purchase	300	25.2400 USD
USD 0.01 common	Purchase	300	25.2516 USD
USD 0.01 common	Purchase	300	25.1933 USD
USD 0.01 common	Purchase	300	25.2350 USD
USD 0.01 common	Purchase	448	25.1927 USD
USD 0.01 common	Purchase	568	25.2367 USD
USD 0.01 common	Purchase	600	25.2200 USD
USD 0.01 common	Purchase	709	25.2655 USD
USD 0.01 common	Purchase	963	25.2215 USD
USD 0.01 common	Purchase	1,500	25.3246 USD
USD 0.01 common	Purchase	1,800	25.3136 USD
USD 0.01 common	Purchase	2,000	25.2382 USD
USD 0.01 common	Purchase	2,074	25.2045 USD
USD 0.01 common	Purchase	3,314	25.3440 USD
USD 0.01 common	Purchase	3,612	25.2683 USD
USD 0.01 common	Purchase	3,756	25.2230 USD
USD 0.01 common	Purchase	4,489	25.3283 USD
USD 0.01 common	Purchase	4,879	25.2265 USD
USD 0.01 common	Purchase	6,840	25.2320 USD
USD 0.01 common	Purchase	9,060	25.3500 USD
USD 0.01 common	Purchase	15,107	25.4932 USD
USD 0.01 common	Purchase	22,847	25.2774 USD
USD 0.01 common	Purchase	26,104	25.2292 USD
USD 0.01 common	Purchase	28,324	25.2325 USD
USD 0.01 common	Purchase	70,778	25.2323 USD
USD 0.01 common	Purchase	102,778	25.2300 USD
USD 0.01 common	Sale	1	25.1600 USD
USD 0.01 common	Sale	2	25.6800 USD
USD 0.01 common	Sale	51	25.6186 USD
USD 0.01 common	Sale	300	25.3583 USD
USD 0.01 common	Sale	1,077	25.4315 USD
USD 0.01 common	Sale	1,166	25.3700 USD
USD 0.01 common	Sale	1,178	25.5783 USD
USD 0.01 common	Sale	1,190	25.2977 USD
USD 0.01 common	Sale	1,352	25.4506 USD
USD 0.01 common	Sale	1,500	25.3246 USD
USD 0.01 common	Sale	2,666	25.2497 USD
USD 0.01 common	Sale	2,700	25.2857 USD
USD 0.01 common	Sale	3,137	25.2756 USD
USD 0.01 common	Sale	3,292	25.3395 USD
USD 0.01 common	Sale	4,215	25.5408 USD
USD 0.01 common	Sale	7,021	25.2571 USD
USD 0.01 common	Sale	7,983	25.2341 USD
USD 0.01 common	Sale	8,720	25.4764 USD
USD 0.01 common	Sale	13,786	25.2298 USD
USD 0.01 common	Sale	17,387	25.2265 USD
USD 0.01 common	Sale	18,120	25.3500 USD
USD 0.01 common	Sale	27,941	25.2271 USD
USD 0.01 common	Sale	31,859	25.2251 USD
USD 0.01 common	Sale	95,053	25.2300 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:	3 Nov 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

Full name of person making disclosure:	Barclays PLC.
Name of offeror/offeree in relation to whose relevant securities the disclosure relates:	NORTONLIFELOCK INC

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