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 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:	08 November 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:	1,793,336	0.31%	990,015	0.17%
(2)	Cash-settled derivatives:
		645,961	0.11%	2,615,348	0.45%
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:	500	0.00%	2,100	0.00%
	TOTAL:	2,439,797	0.42%	3,607,463	0.62%
Class of relevant security:		Convertible Bond US668771AA66
		Interests		Short Positions
		Number	(%)	Number	(%)
(1)	Relevant securities owned
	and/or controlled:	376,000	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%
	TOTAL:	376,000	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	1	25.7000 USD
USD 0.01 common	Purchase	200	25.7800 USD
USD 0.01 common	Purchase	200	25.3825 USD
USD 0.01 common	Purchase	300	25.7933 USD
USD 0.01 common	Purchase	310	25.8096 USD
USD 0.01 common	Purchase	352	25.1800 USD
USD 0.01 common	Purchase	352	25.3641 USD
USD 0.01 common	Purchase	400	25.7325 USD
USD 0.01 common	Purchase	400	25.7212 USD
USD 0.01 common	Purchase	500	25.6500 USD
USD 0.01 common	Purchase	504	25.3571 USD
USD 0.01 common	Purchase	599	25.7837 USD
USD 0.01 common	Purchase	621	25.7426 USD
USD 0.01 common	Purchase	637	25.7788 USD
USD 0.01 common	Purchase	647	25.7472 USD
USD 0.01 common	Purchase	695	25.6933 USD
USD 0.01 common	Purchase	700	25.6392 USD
USD 0.01 common	Purchase	786	25.6799 USD
USD 0.01 common	Purchase	844	25.7874 USD
USD 0.01 common	Purchase	907	25.8158 USD
USD 0.01 common	Purchase	929	25.7345 USD
USD 0.01 common	Purchase	1,142	25.5710 USD
USD 0.01 common	Purchase	2,143	25.4508 USD
USD 0.01 common	Purchase	2,771	25.6509 USD
USD 0.01 common	Purchase	3,082	25.6806 USD
USD 0.01 common	Purchase	3,137	25.5633 USD
USD 0.01 common	Purchase	3,528	25.6325 USD
USD 0.01 common	Purchase	3,642	25.5049 USD
USD 0.01 common	Purchase	3,794	25.7865 USD
USD 0.01 common	Purchase	4,112	25.5143 USD
USD 0.01 common	Purchase	4,262	25.5978 USD
USD 0.01 common	Purchase	4,323	25.5042 USD
USD 0.01 common	Purchase	4,475	25.5753 USD
USD 0.01 common	Purchase	4,857	25.6044 USD
USD 0.01 common	Purchase	5,851	25.5484 USD
USD 0.01 common	Purchase	7,411	25.7450 USD
USD 0.01 common	Purchase	7,550	25.6234 USD
USD 0.01 common	Purchase	12,559	25.4170 USD
USD 0.01 common	Purchase	14,496	25.8800 USD
USD 0.01 common	Purchase	16,610	25.5288 USD
USD 0.01 common	Purchase	24,273	25.6901 USD
USD 0.01 common	Purchase	24,336	25.7349 USD
USD 0.01 common	Purchase	25,519	25.4614 USD
USD 0.01 common	Purchase	30,774	25.5530 USD
USD 0.01 common	Purchase	32,334	25.4163 USD
USD 0.01 common	Purchase	48,676	25.8590 USD
USD 0.01 common	Purchase	53,180	25.5892 USD
USD 0.01 common	Purchase	170,153	25.6052 USD
USD 0.01 common	Sale	20	25.7700 USD
USD 0.01 common	Sale	20	25.7800 USD
USD 0.01 common	Sale	40	25.7750 USD
USD 0.01 common	Sale	48	25.7650 USD
USD 0.01 common	Sale	100	25.6300 USD
USD 0.01 common	Sale	100	25.3600 USD
USD 0.01 common	Sale	100	25.5350 USD
USD 0.01 common	Sale	100	25.6350 USD
USD 0.01 common	Sale	100	25.3500 USD
USD 0.01 common	Sale	111	25.7361 USD
USD 0.01 common	Sale	153	25.7300 USD
USD 0.01 common	Sale	200	25.6375 USD
USD 0.01 common	Sale	200	25.3250 USD
USD 0.01 common	Sale	300	25.6500 USD
USD 0.01 common	Sale	300	25.6233 USD
USD 0.01 common	Sale	352	25.3641 USD
USD 0.01 common	Sale	352	25.1800 USD
USD 0.01 common	Sale	363	25.6217 USD
USD 0.01 common	Sale	423	25.3925 USD
USD 0.01 common	Sale	451	25.7520 USD
USD 0.01 common	Sale	537	25.1309 USD
USD 0.01 common	Sale	900	25.3683 USD
USD 0.01 common	Sale	1,502	25.4475 USD
USD 0.01 common	Sale	1,511	25.6047 USD
USD 0.01 common	Sale	1,943	25.4405 USD
USD 0.01 common	Sale	2,845	25.5941 USD
USD 0.01 common	Sale	3,335	25.6768 USD
USD 0.01 common	Sale	3,601	25.6778 USD
USD 0.01 common	Sale	4,246	25.6056 USD
USD 0.01 common	Sale	4,576	25.6288 USD
USD 0.01 common	Sale	5,130	25.8464 USD
USD 0.01 common	Sale	5,190	25.7829 USD
USD 0.01 common	Sale	7,524	25.4774 USD
USD 0.01 common	Sale	12,413	25.3706 USD
USD 0.01 common	Sale	12,560	25.8800 USD
USD 0.01 common	Sale	13,383	25.6454 USD
USD 0.01 common	Sale	14,659	25.6145 USD
USD 0.01 common	Sale	15,115	25.7247 USD
USD 0.01 common	Sale	21,060	25.3729 USD
USD 0.01 common	Sale	21,501	25.4783 USD
USD 0.01 common	Sale	27,089	25.7181 USD
USD 0.01 common	Sale	42,516	25.8781 USD
USD 0.01 common	Sale	46,581	25.5816 USD
USD 0.01 common	Sale	100,229	25.5959 USD
USD 0.01 common	Sale	136,746	25.5972 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:	9 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

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.