Form 8.3 - NORTONLIFELOCK INC - Amendment

LONDON--(BUSINESS WIRE)-- 

FORM 8.3 Amendment to Purchase

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	7 DEC 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:	1,623,884	0.28%	685,848	0.12%
(2)	Cash-settled derivatives:
		386,198	0.07%	1,513,168	0.26%
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:	0	0.00%	2,100	0.00%
(4)
	TOTAL:	2,010,082	0.35%	2,201,116	0.38%
Class of relevant security:		Convertible Bond US668771AA66
		Interests		Short Positions
		Number	(%)	Number	(%)
(1)	Relevant securities owned
	and/or controlled:	386,000	0.07%	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:	386,000	0.07%	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	24.7950 USD
USD 0.01 common	Purchase	43	24.7350 USD
USD 0.01 common	Purchase	57	24.5500 USD
USD 0.01 common	Purchase	78	24.8800 USD
USD 0.01 common	Purchase	99	24.5404 USD
USD 0.01 common	Purchase	100	24.5400 USD
USD 0.01 common	Purchase	113	21.8950 EUR
USD 0.01 common	Purchase	292	24.5057 USD
USD 0.01 common	Purchase	323	24.5690 USD
USD 0.01 common	Purchase	400	24.5700 USD
USD 0.01 common	Purchase	434	24.6042 USD
USD 0.01 common	Purchase	518	24.5959 USD
USD 0.01 common	Purchase	725	24.6608 USD
USD 0.01 common	Purchase	1,372	24.6189 USD
USD 0.01 common	Purchase	1,700	24.6721 USD
USD 0.01 common	Purchase	1,776	24.6400 USD
USD 0.01 common	Purchase	1,996	24.6395 USD
USD 0.01 common	Purchase	2,203	24.5707 USD
USD 0.01 common	Purchase	2,453	24.6013 USD
USD 0.01 common	Purchase	3,439	24.5997 USD
USD 0.01 common	Purchase	3,703	24.5982 USD
USD 0.01 common	Purchase	3,775	24.6300 USD
USD 0.01 common	Purchase	3,967	24.6141 USD
USD 0.01 common	Purchase	4,264	24.5965 USD
USD 0.01 common	Purchase	4,519	24.5905 USD
USD 0.01 common	Purchase	4,559	24.6027 USD
USD 0.01 common	Purchase	4,766	24.7627 USD
USD 0.01 common	Purchase	4,940	24.6355 USD
USD 0.01 common	Purchase	5,062	24.6216 USD
USD 0.01 common	Purchase	5,121	24.6220 USD
USD 0.01 common	Purchase	5,258	24.6011 USD
USD 0.01 common	Purchase	5,462	24.6538 USD
USD 0.01 common	Purchase	5,643	24.6219 USD
USD 0.01 common	Purchase	5,896	24.7126 USD
USD 0.01 common	Purchase	6,096	24.6462 USD
USD 0.01 common	Purchase	6,470	24.6109 USD
USD 0.01 common	Purchase	6,554	24.6289 USD
USD 0.01 common	Purchase	6,754	24.6205 USD
USD 0.01 common	Purchase	7,530	24.6281 USD
USD 0.01 common	Purchase	7,630	24.6475 USD
USD 0.01 common	Purchase	9,709	24.5658 USD
USD 0.01 common	Purchase	13,433	24.6531 USD
USD 0.01 common	Purchase	14,158	24.6576 USD
USD 0.01 common	Purchase	16,853	24.7340 USD
USD 0.01 common	Purchase	19,139	24.6415 USD
USD 0.01 common	Purchase	20,204	24.5785 USD
USD 0.01 common	Purchase	41,482	24.7400 USD
USD 0.01 common	Purchase	45,873	24.6391 USD
USD 0.01 common	Purchase	56,592	24.7080 USD
USD 0.01 common	Purchase	72,381	24.6147 USD
USD 0.01 common	Purchase	80,984	24.7378 USD
USD 0.01 common	Purchase	126,000	24.7298 USD
USD 0.01 common	Purchase	249,045	24.7228 USD
USD 0.01 common	Purchase	455,274	24.6864 USD
USD 0.01 common	Sale	1	24.6300 USD
USD 0.01 common	Sale	11	24.5400 USD
USD 0.01 common	Sale	22	24.6150 USD
USD 0.01 common	Sale	33	24.5766 USD
USD 0.01 common	Sale	33	24.5500 USD
USD 0.01 common	Sale	33	24.5600 USD
USD 0.01 common	Sale	54	24.6993 USD
USD 0.01 common	Sale	55	24.5560 USD
USD 0.01 common	Sale	66	24.5550 USD
USD 0.01 common	Sale	100	24.5900 USD
USD 0.01 common	Sale	113	21.8950 EUR
USD 0.01 common	Sale	283	24.7153 USD
USD 0.01 common	Sale	292	24.5057 USD
USD 0.01 common	Sale	300	24.5966 USD
USD 0.01 common	Sale	300	24.7866 USD
USD 0.01 common	Sale	300	24.5800 USD
USD 0.01 common	Sale	400	24.5700 USD
USD 0.01 common	Sale	600	24.6441 USD
USD 0.01 common	Sale	600	24.7683 USD
USD 0.01 common	Sale	609	24.6195 USD
USD 0.01 common	Sale	700	24.5992 USD
USD 0.01 common	Sale	700	24.7071 USD
USD 0.01 common	Sale	900	24.5661 USD
USD 0.01 common	Sale	1,000	24.6844 USD
USD 0.01 common	Sale	1,003	24.7049 USD
USD 0.01 common	Sale	1,011	24.6434 USD
USD 0.01 common	Sale	1,100	24.6868 USD
USD 0.01 common	Sale	1,391	24.5253 USD
USD 0.01 common	Sale	1,489	24.6724 USD
USD 0.01 common	Sale	1,529	24.7507 USD
USD 0.01 common	Sale	1,640	24.5885 USD
USD 0.01 common	Sale	1,776	24.6400 USD
USD 0.01 common	Sale	2,103	24.6573 USD
USD 0.01 common	Sale	2,584	24.7744 USD
USD 0.01 common	Sale	3,242	24.6994 USD
USD 0.01 common	Sale	3,359	24.6516 USD
USD 0.01 common	Sale	4,666	24.7641 USD
USD 0.01 common	Sale	6,150	24.7093 USD
USD 0.01 common	Sale	7,247	24.7342 USD
USD 0.01 common	Sale	8,451	24.6652 USD
USD 0.01 common	Sale	9,354	24.6368 USD
USD 0.01 common	Sale	10,544	24.7400 USD
USD 0.01 common	Sale	12,676	24.7275 USD
USD 0.01 common	Sale	17,009	24.7322 USD
USD 0.01 common	Sale	101,289	24.7371 USD
USD 0.01 common	Sale	105,422	24.6027 USD
USD 0.01 common	Sale	155,000	24.6436 USD
USD 0.01 common	Sale	187,200	24.7521 USD
USD 0.01 common	Sale	230,837	24.6871 USD
USD 0.01 common	Sale	682,911	24.6864 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	Sale	227,637	24.6864 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:	10 DEC 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.