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	17 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:	1,448,149	0.25%	617,823	0.11%
(2)	Cash-settled derivatives:
		386,198	0.07%	1,513,170	0.26%
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:	0	0.00%	2,100	0.00%
(4)
	TOTAL:	1,834,347	0.32%	2,133,093	0.37%
Class of relevant security:		Convertible Bond US668771AA66
		Interests		Short Positions
		Number	(%)	Number	(%)
(1)	Relevant securities owned
	and/or controlled:	389,000	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:	389,000	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.

Class of relevant	Purchase/sale	Number of	Price per unit
security		securities
USD 0.01 common	Purchase	1	25.7700 USD
USD 0.01 common	Purchase	1	25.8500 USD
USD 0.01 common	Purchase	1	25.7800 USD
USD 0.01 common	Purchase	3	25.7966 USD
USD 0.01 common	Purchase	4	25.8200 USD
USD 0.01 common	Purchase	4	25.7900 USD
USD 0.01 common	Purchase	7	25.7885 USD
USD 0.01 common	Purchase	8	25.7512 USD
USD 0.01 common	Purchase	100	25.5800 USD
USD 0.01 common	Purchase	126	25.7350 USD
USD 0.01 common	Purchase	200	25.7150 USD
USD 0.01 common	Purchase	243	25.8100 USD
USD 0.01 common	Purchase	300	25.6433 USD
USD 0.01 common	Purchase	300	25.5000 USD
USD 0.01 common	Purchase	302	22.2417 EUR
USD 0.01 common	Purchase	331	25.7187 USD
USD 0.01 common	Purchase	400	25.8025 USD
USD 0.01 common	Purchase	400	25.7562 USD
USD 0.01 common	Purchase	401	25.8000 USD
USD 0.01 common	Purchase	500	25.4820 USD
USD 0.01 common	Purchase	600	25.7300 USD
USD 0.01 common	Purchase	640	25.7234 USD
USD 0.01 common	Purchase	700	25.5928 USD
USD 0.01 common	Purchase	920	25.7250 USD
USD 0.01 common	Purchase	923	25.7462 USD
USD 0.01 common	Purchase	1,000	25.5625 USD
USD 0.01 common	Purchase	1,000	25.8020 USD
USD 0.01 common	Purchase	1,613	25.1162 USD
USD 0.01 common	Purchase	2,377	25.7960 USD
USD 0.01 common	Purchase	5,230	25.7283 USD
USD 0.01 common	Purchase	7,315	25.6597 USD
USD 0.01 common	Purchase	8,720	25.7315 USD
USD 0.01 common	Purchase	10,990	25.7619 USD
USD 0.01 common	Purchase	24,918	25.5365 USD
USD 0.01 common	Purchase	29,273	25.7201 USD
USD 0.01 common	Purchase	37,176	25.6225 USD
USD 0.01 common	Purchase	39,078	25.6093 USD
USD 0.01 common	Purchase	53,255	25.7176 USD
USD 0.01 common	Purchase	378,558	25.7073 USD
USD 0.01 common	Purchase	1,213,828	25.7200 USD
USD 0.01 common	Sale	1	25.6700 USD
USD 0.01 common	Sale	5	25.2800 USD
USD 0.01 common	Sale	7	25.6300 USD
USD 0.01 common	Sale	10	25.6010 USD
USD 0.01 common	Sale	17	25.5667 USD
USD 0.01 common	Sale	28	25.8000 USD
USD 0.01 common	Sale	28	25.7300 USD
USD 0.01 common	Sale	28	25.7900 USD
USD 0.01 common	Sale	39	25.6402 USD
USD 0.01 common	Sale	56	25.7350 USD
USD 0.01 common	Sale	56	25.7400 USD
USD 0.01 common	Sale	67	25.7186 USD
USD 0.01 common	Sale	83	25.7553 USD
USD 0.01 common	Sale	101	25.7003 USD
USD 0.01 common	Sale	113	25.6935 USD
USD 0.01 common	Sale	125	25.6869 USD
USD 0.01 common	Sale	140	25.7380 USD
USD 0.01 common	Sale	140	25.7520 USD
USD 0.01 common	Sale	140	25.7660 USD
USD 0.01 common	Sale	143	25.6795 USD
USD 0.01 common	Sale	164	25.7120 USD
USD 0.01 common	Sale	185	25.8420 USD
USD 0.01 common	Sale	186	25.6987 USD
USD 0.01 common	Sale	200	25.3650 USD
USD 0.01 common	Sale	205	25.6996 USD
USD 0.01 common	Sale	220	25.7250 USD
USD 0.01 common	Sale	220	25.6907 USD
USD 0.01 common	Sale	222	25.7766 USD
USD 0.01 common	Sale	300	25.7771 USD
USD 0.01 common	Sale	300	25.3633 USD
USD 0.01 common	Sale	302	22.2417 EUR
USD 0.01 common	Sale	320	25.7234 USD
USD 0.01 common	Sale	338	25.7100 USD
USD 0.01 common	Sale	346	25.7830 USD
USD 0.01 common	Sale	348	25.7623 USD
USD 0.01 common	Sale	350	25.7189 USD
USD 0.01 common	Sale	370	25.7530 USD
USD 0.01 common	Sale	372	25.8036 USD
USD 0.01 common	Sale	386	25.7908 USD
USD 0.01 common	Sale	410	25.6919 USD
USD 0.01 common	Sale	437	25.7500 USD
USD 0.01 common	Sale	444	25.7825 USD
USD 0.01 common	Sale	467	25.7775 USD
USD 0.01 common	Sale	498	25.8269 USD
USD 0.01 common	Sale	824	25.7370 USD
USD 0.01 common	Sale	1,100	25.7877 USD
USD 0.01 common	Sale	1,201	25.4154 USD
USD 0.01 common	Sale	1,400	25.7371 USD
USD 0.01 common	Sale	1,470	25.6432 USD
USD 0.01 common	Sale	1,489	25.5675 USD
USD 0.01 common	Sale	2,253	25.3735 USD
USD 0.01 common	Sale	2,906	25.5683 USD
USD 0.01 common	Sale	4,086	25.8027 USD
USD 0.01 common	Sale	6,672	25.7385 USD
USD 0.01 common	Sale	6,958	25.7678 USD
USD 0.01 common	Sale	7,424	25.7274 USD
USD 0.01 common	Sale	10,742	25.3800 USD
USD 0.01 common	Sale	12,068	25.7198 USD
USD 0.01 common	Sale	22,919	25.7387 USD
USD 0.01 common	Sale	23,127	25.5243 USD
USD 0.01 common	Sale	29,304	25.7201 USD
USD 0.01 common	Sale	34,673	25.6503 USD
USD 0.01 common	Sale	36,808	25.7376 USD
USD 0.01 common	Sale	38,961	25.6089 USD
USD 0.01 common	Sale	68,911	25.7209 USD
USD 0.01 common	Sale	224,099	25.7210 USD
USD 0.01 common	Sale	315,376	25.7050 USD
USD 0.01 common	Sale	971,871	25.7200 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	2,043	25.8027 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:	21 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.