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 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	1 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:	1,670,187	0.29%	1,054,306	0.18%
(2)	Cash-settled derivatives:
		665,053	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:	2,335,740	0.40%	2,084,728	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	48	25.5600 USD
USD 0.01 common	Purchase	68	25.2900 USD
USD 0.01 common	Purchase	68	25.6500 USD
USD 0.01 common	Purchase	70	25.3050 USD
USD 0.01 common	Purchase	120	25.3100 USD
USD 0.01 common	Purchase	124	25.3746 USD
USD 0.01 common	Purchase	140	25.3000 USD
USD 0.01 common	Purchase	163	25.4566 USD
USD 0.01 common	Purchase	200	25.3200 USD
USD 0.01 common	Purchase	253	25.3783 USD
USD 0.01 common	Purchase	300	25.3400 USD
USD 0.01 common	Purchase	422	25.4200 USD
USD 0.01 common	Purchase	475	25.3989 USD
USD 0.01 common	Purchase	540	25.3911 USD
USD 0.01 common	Purchase	541	25.4900 USD
USD 0.01 common	Purchase	578	25.4199 USD
USD 0.01 common	Purchase	685	25.3823 USD
USD 0.01 common	Purchase	1,045	25.2896 USD
USD 0.01 common	Purchase	1,097	25.3389 USD
USD 0.01 common	Purchase	1,400	25.3964 USD
USD 0.01 common	Purchase	2,187	25.4382 USD
USD 0.01 common	Purchase	2,502	25.4114 USD
USD 0.01 common	Purchase	2,926	25.3815 USD
USD 0.01 common	Purchase	3,616	25.3818 USD
USD 0.01 common	Purchase	4,401	25.3898 USD
USD 0.01 common	Purchase	5,381	25.3913 USD
USD 0.01 common	Purchase	5,907	25.3759 USD
USD 0.01 common	Purchase	6,417	25.4157 USD
USD 0.01 common	Purchase	10,520	25.3848 USD
USD 0.01 common	Purchase	10,520	25.3847 USD
USD 0.01 common	Purchase	15,707	25.3674 USD
USD 0.01 common	Purchase	26,442	25.3819 USD
USD 0.01 common	Purchase	39,770	25.3655 USD
USD 0.01 common	Purchase	77,957	25.3500 USD
USD 0.01 common	Sale	2	25.3250 USD
USD 0.01 common	Sale	7	25.5771 USD
USD 0.01 common	Sale	12	25.3150 USD
USD 0.01 common	Sale	68	25.2900 USD
USD 0.01 common	Sale	94	25.6150 USD
USD 0.01 common	Sale	100	25.6000 USD
USD 0.01 common	Sale	100	25.5650 USD
USD 0.01 common	Sale	100	25.5200 USD
USD 0.01 common	Sale	100	25.3600 USD
USD 0.01 common	Sale	113	25.3241 USD
USD 0.01 common	Sale	200	25.2800 USD
USD 0.01 common	Sale	200	25.3000 USD
USD 0.01 common	Sale	200	25.4400 USD
USD 0.01 common	Sale	200	25.4250 USD
USD 0.01 common	Sale	200	25.3525 USD
USD 0.01 common	Sale	300	25.3183 USD
USD 0.01 common	Sale	400	25.3125 USD
USD 0.01 common	Sale	414	25.4620 USD
USD 0.01 common	Sale	431	25.3383 USD
USD 0.01 common	Sale	500	25.3160 USD
USD 0.01 common	Sale	512	25.4525 USD
USD 0.01 common	Sale	631	25.5255 USD
USD 0.01 common	Sale	641	25.4603 USD
USD 0.01 common	Sale	701	25.3157 USD
USD 0.01 common	Sale	786	25.3159 USD
USD 0.01 common	Sale	1,285	25.4140 USD
USD 0.01 common	Sale	1,900	25.4664 USD
USD 0.01 common	Sale	2,187	25.4382 USD
USD 0.01 common	Sale	2,699	25.3135 USD
USD 0.01 common	Sale	3,379	25.3487 USD
USD 0.01 common	Sale	3,597	25.3517 USD
USD 0.01 common	Sale	3,975	25.4089 USD
USD 0.01 common	Sale	4,587	25.3852 USD
USD 0.01 common	Sale	4,976	25.4592 USD
USD 0.01 common	Sale	8,419	25.4150 USD
USD 0.01 common	Sale	10,520	25.3847 USD
USD 0.01 common	Sale	14,322	25.3571 USD
USD 0.01 common	Sale	31,733	25.3811 USD
USD 0.01 common	Sale	43,642	25.3643 USD
USD 0.01 common	Sale	78,079	25.3500 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