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	20 Jan 2022
(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:	1,274,940	0.22%	579,576	0.10%
(2)	Cash-settled derivatives:
		335,807	0.06%	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:	1,610,747	0.28%	2,094,846	0.36%
Class of relevant security:		Convertible Bond US668771AA66
		Interests		Short Positions
		Number	(%)	Number	(%)
(1)	Relevant securities owned
	and/or controlled:	390,000	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:	390,000	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	4	26.5550 USD
USD 0.01 common	Purchase	15	26.4300 USD
USD 0.01 common	Purchase	24	26.3000 USD
USD 0.01 common	Purchase	24	26.3200 USD
USD 0.01 common	Purchase	24	26.3800 USD
USD 0.01 common	Purchase	34	26.3311 USD
USD 0.01 common	Purchase	41	26.5600 USD
USD 0.01 common	Purchase	89	26.3439 USD
USD 0.01 common	Purchase	96	26.3325 USD
USD 0.01 common	Purchase	98	26.6700 USD
USD 0.01 common	Purchase	99	26.3157 USD
USD 0.01 common	Purchase	100	26.2650 USD
USD 0.01 common	Purchase	100	26.7000 USD
USD 0.01 common	Purchase	103	26.5095 USD
USD 0.01 common	Purchase	201	26.6500 USD
USD 0.01 common	Purchase	267	26.4658 USD
USD 0.01 common	Purchase	272	26.5686 USD
USD 0.01 common	Purchase	291	26.4424 USD
USD 0.01 common	Purchase	324	26.5901 USD
USD 0.01 common	Purchase	391	26.2850 USD
USD 0.01 common	Purchase	400	26.6100 USD
USD 0.01 common	Purchase	404	26.5273 USD
USD 0.01 common	Purchase	404	26.4288 USD
USD 0.01 common	Purchase	404	26.5452 USD
USD 0.01 common	Purchase	408	26.5890 USD
USD 0.01 common	Purchase	419	26.5907 USD
USD 0.01 common	Purchase	524	26.5111 USD
USD 0.01 common	Purchase	550	26.5022 USD
USD 0.01 common	Purchase	604	26.3721 USD
USD 0.01 common	Purchase	700	26.4800 USD
USD 0.01 common	Purchase	900	26.3700 USD
USD 0.01 common	Purchase	961	26.3240 USD
USD 0.01 common	Purchase	975	26.5541 USD
USD 0.01 common	Purchase	1,250	26.3371 USD
USD 0.01 common	Purchase	2,220	26.3219 USD
USD 0.01 common	Purchase	3,681	26.4590 USD
USD 0.01 common	Purchase	5,161	26.3188 USD
USD 0.01 common	Purchase	5,869	26.5023 USD
USD 0.01 common	Purchase	9,668	26.4825 USD
USD 0.01 common	Purchase	10,168	26.4303 USD
USD 0.01 common	Purchase	13,448	26.3797 USD
USD 0.01 common	Purchase	17,072	26.2800 USD
USD 0.01 common	Purchase	40,205	26.4105 USD
USD 0.01 common	Sale	1	26.6500 USD
USD 0.01 common	Sale	4	26.3000 USD
USD 0.01 common	Sale	4	26.5400 USD
USD 0.01 common	Sale	6	26.2900 USD
USD 0.01 common	Sale	6	26.3550 USD
USD 0.01 common	Sale	7	26.3800 USD
USD 0.01 common	Sale	9	26.3300 USD
USD 0.01 common	Sale	14	26.3671 USD
USD 0.01 common	Sale	15	26.3713 USD
USD 0.01 common	Sale	16	26.3534 USD
USD 0.01 common	Sale	19	26.4250 USD
USD 0.01 common	Sale	22	26.4336 USD
USD 0.01 common	Sale	98	26.6700 USD
USD 0.01 common	Sale	106	26.5067 USD
USD 0.01 common	Sale	151	26.4165 USD
USD 0.01 common	Sale	300	26.3100 USD
USD 0.01 common	Sale	682	26.3521 USD
USD 0.01 common	Sale	684	26.2934 USD
USD 0.01 common	Sale	806	26.5809 USD
USD 0.01 common	Sale	900	26.3700 USD
USD 0.01 common	Sale	1,247	26.4303 USD
USD 0.01 common	Sale	1,250	26.3371 USD
USD 0.01 common	Sale	1,308	26.3265 USD
USD 0.01 common	Sale	2,426	26.5425 USD
USD 0.01 common	Sale	3,066	26.5354 USD
USD 0.01 common	Sale	3,302	26.5025 USD
USD 0.01 common	Sale	4,864	26.4813 USD
USD 0.01 common	Sale	4,972	26.3787 USD
USD 0.01 common	Sale	5,150	26.4144 USD
USD 0.01 common	Sale	5,521	26.5026 USD
USD 0.01 common	Sale	6,018	26.4309 USD
USD 0.01 common	Sale	10,345	26.4635 USD
USD 0.01 common	Sale	17,013	26.3624 USD
USD 0.01 common	Sale	20,909	26.2800 USD
USD 0.01 common	Sale	24,974	26.4323 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 Jan 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.

Category Code: RET

Sequence Number: 755403

Time of Receipt (offset from UTC): 20220121T122543+0000