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	22 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:	1,659,274	0.29%	996,514	0.17%
(2)	Cash-settled derivatives:
		903,072	0.16%	1,310,292	0.23%
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:	0	0.00%	2,100	0.00%
(4)
	TOTAL:	2,562,346	0.44%	2,308,906	0.40%
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%
(4)
	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	24.9900 USD
USD 0.01 common	Purchase	1	24.7250 USD
USD 0.01 common	Purchase	1	24.8900 USD
USD 0.01 common	Purchase	1	24.9000 USD
USD 0.01 common	Purchase	2	24.8800 USD
USD 0.01 common	Purchase	2	24.9300 USD
USD 0.01 common	Purchase	4	24.9275 USD
USD 0.01 common	Purchase	6	24.8966 USD
USD 0.01 common	Purchase	19	24.9605 USD
USD 0.01 common	Purchase	71	24.7467 USD
USD 0.01 common	Purchase	100	24.8750 USD
USD 0.01 common	Purchase	246	24.7404 USD
USD 0.01 common	Purchase	287	21.8747 EUR
USD 0.01 common	Purchase	291	24.8595 USD
USD 0.01 common	Purchase	300	24.8300 USD
USD 0.01 common	Purchase	391	24.8363 USD
USD 0.01 common	Purchase	457	24.8716 USD
USD 0.01 common	Purchase	500	24.9640 USD
USD 0.01 common	Purchase	596	22.0791 EUR
USD 0.01 common	Purchase	604	24.8616 USD
USD 0.01 common	Purchase	740	24.8480 USD
USD 0.01 common	Purchase	806	24.8245 USD
USD 0.01 common	Purchase	817	24.8579 USD
USD 0.01 common	Purchase	924	24.9407 USD
USD 0.01 common	Purchase	1,060	24.9005 USD
USD 0.01 common	Purchase	1,466	24.9492 USD
USD 0.01 common	Purchase	3,144	24.9262 USD
USD 0.01 common	Purchase	3,231	24.8990 USD
USD 0.01 common	Purchase	5,300	24.7400 USD
USD 0.01 common	Purchase	9,002	25.0000 USD
USD 0.01 common	Purchase	10,336	24.8842 USD
USD 0.01 common	Purchase	13,665	24.8724 USD
USD 0.01 common	Purchase	19,700	24.8504 USD
USD 0.01 common	Purchase	28,750	24.7520 USD
USD 0.01 common	Purchase	49,545	24.8661 USD
USD 0.01 common	Purchase	141,258	24.7867 USD
USD 0.01 common	Purchase	191,912	24.7413 USD
USD 0.01 common	Sale	4	24.7100 USD
USD 0.01 common	Sale	8	24.8700 USD
USD 0.01 common	Sale	46	24.8400 USD
USD 0.01 common	Sale	57	24.8650 USD
USD 0.01 common	Sale	68	24.8900 USD
USD 0.01 common	Sale	91	24.7472 USD
USD 0.01 common	Sale	100	24.7550 USD
USD 0.01 common	Sale	100	24.8800 USD
USD 0.01 common	Sale	100	24.8550 USD
USD 0.01 common	Sale	103	24.8467 USD
USD 0.01 common	Sale	107	24.8108 USD
USD 0.01 common	Sale	170	24.8718 USD
USD 0.01 common	Sale	208	24.7726 USD
USD 0.01 common	Sale	223	24.7974 USD
USD 0.01 common	Sale	252	24.7432 USD
USD 0.01 common	Sale	287	21.8747 EUR
USD 0.01 common	Sale	292	24.8194 USD
USD 0.01 common	Sale	296	24.8156 USD
USD 0.01 common	Sale	300	24.8750 USD
USD 0.01 common	Sale	309	24.8780 USD
USD 0.01 common	Sale	388	24.8476 USD
USD 0.01 common	Sale	526	24.8345 USD
USD 0.01 common	Sale	540	24.8462 USD
USD 0.01 common	Sale	596	22.0791 EUR
USD 0.01 common	Sale	700	24.8185 USD
USD 0.01 common	Sale	700	24.7500 USD
USD 0.01 common	Sale	1,330	24.8207 USD
USD 0.01 common	Sale	1,449	24.8992 USD
USD 0.01 common	Sale	1,528	24.9578 USD
USD 0.01 common	Sale	1,910	25.0000 USD
USD 0.01 common	Sale	2,731	24.9410 USD
USD 0.01 common	Sale	3,743	24.8543 USD
USD 0.01 common	Sale	7,422	24.8291 USD
USD 0.01 common	Sale	9,389	24.7400 USD
USD 0.01 common	Sale	13,925	24.7832 USD
USD 0.01 common	Sale	20,513	24.8494 USD
USD 0.01 common	Sale	28,292	24.7479 USD
USD 0.01 common	Sale	66,220	24.8903 USD
USD 0.01 common	Sale	127,352	24.7819 USD
USD 0.01 common	Sale	189,703	24.7402 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:	23 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	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.