Form 8.3 - NortonLifeLock Inc.

Form 8.3 - NortonLifeLock Inc.

BARCLAYS PLC

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:				15 September 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:		1,463,674	0.25%	529,818	0.09%
(2)	Cash-settled derivatives:
			226,930	0.04%	1,028,322	0.18%
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:		500	0.00%	2,100	0.00%
	TOTAL:		1,691,104	0.29%	1,560,240	0.27%
Class of relevant security:			Convertible Bond US668771AA66
			Interests		Short Positions
			Number	(%)	Number	(%)
(1)	Relevant securities owned
	and/or controlled:		141,000	0.02%	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:		141,000	0.02%	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		17		26.2600 USD
USD 0.01 common		Purchase		17		26.3250 USD
USD 0.01 common		Purchase		55		26.1771 USD
USD 0.01 common		Purchase		84		26.2650 USD
USD 0.01 common		Purchase		93		26.2700 USD
USD 0.01 common		Purchase		100		26.2450 USD
USD 0.01 common		Purchase		131		26.2389 USD
USD 0.01 common		Purchase		200		26.2400 USD
USD 0.01 common		Purchase		200		26.2356 USD
USD 0.01 common		Purchase		210		26.2469 USD
USD 0.01 common		Purchase		217		26.2377 USD
USD 0.01 common		Purchase		221		26.1931 USD
USD 0.01 common		Purchase		300		26.1700 USD
USD 0.01 common		Purchase		305		26.2434 USD
USD 0.01 common		Purchase		318		26.2960 USD
USD 0.01 common		Purchase		390		26.2441 USD
USD 0.01 common		Purchase		488		26.1773 USD
USD 0.01 common		Purchase		508		26.2588 USD
USD 0.01 common		Purchase		509		26.1469 USD
USD 0.01 common		Purchase		676		26.2465 USD
USD 0.01 common		Purchase		728		26.1797 USD
USD 0.01 common		Purchase		758		26.1536 USD
USD 0.01 common		Purchase		836		26.2009 USD
USD 0.01 common		Purchase		900		26.2411 USD
USD 0.01 common		Purchase		1,167		26.2181 USD
USD 0.01 common		Purchase		1,174		26.2412 USD
USD 0.01 common		Purchase		1,355		26.1905 USD
USD 0.01 common		Purchase		1,407		26.1612 USD
USD 0.01 common		Purchase		1,533		26.2068 USD
USD 0.01 common		Purchase		1,571		26.1473 USD
USD 0.01 common		Purchase		1,939		26.1566 USD
USD 0.01 common		Purchase		2,665		26.2567 USD
USD 0.01 common		Purchase		2,745		26.1542 USD
USD 0.01 common		Purchase		3,082		26.2270 USD
USD 0.01 common		Purchase		3,991		26.2209 USD
USD 0.01 common		Purchase		4,094		26.2544 USD
USD 0.01 common		Purchase		4,287		26.2007 USD
USD 0.01 common		Purchase		5,175		26.1287 USD
USD 0.01 common		Purchase		8,653		26.2569 USD
USD 0.01 common		Purchase		9,187		26.2029 USD
USD 0.01 common		Purchase		10,237		26.1812 USD
USD 0.01 common		Purchase		11,893		26.1987 USD
USD 0.01 common		Purchase		12,800		26.1593 USD
USD 0.01 common		Purchase		13,789		26.2237 USD
USD 0.01 common		Purchase		15,565		26.1650 USD
USD 0.01 common		Purchase		16,348		26.2299 USD
USD 0.01 common		Purchase		33,696		26.2500 USD
USD 0.01 common		Purchase		39,644		26.2479 USD
USD 0.01 common		Purchase		72,160		26.2213 USD
USD 0.01 common		Sale		1		26.1400 USD
USD 0.01 common		Sale		1		26.1500 USD
USD 0.01 common		Sale		1		26.1900 USD
USD 0.01 common		Sale		2		26.1750 USD
USD 0.01 common		Sale		2		26.1650 USD
USD 0.01 common		Sale		3		26.1566 USD
USD 0.01 common		Sale		3		26.1700 USD
USD 0.01 common		Sale		3		26.1733 USD
USD 0.01 common		Sale		3		26.1816 USD
USD 0.01 common		Sale		3		26.1666 USD
USD 0.01 common		Sale		4		26.2350 USD
USD 0.01 common		Sale		5		26.1800 USD
USD 0.01 common		Sale		5		26.2200 USD
USD 0.01 common		Sale		8		26.2375 USD
USD 0.01 common		Sale		8		26.2450 USD
USD 0.01 common		Sale		9		26.1755 USD
USD 0.01 common		Sale		12		26.2366 USD
USD 0.01 common		Sale		17		26.2400 USD
USD 0.01 common		Sale		20		26.2320 USD
USD 0.01 common		Sale		44		26.2359 USD
USD 0.01 common		Sale		46		26.2419 USD
USD 0.01 common		Sale		50		26.2030 USD
USD 0.01 common		Sale		51		26.2284 USD
USD 0.01 common		Sale		55		26.2454 USD
USD 0.01 common		Sale		65		26.2046 USD
USD 0.01 common		Sale		85		26.1991 USD
USD 0.01 common		Sale		90		26.1969 USD
USD 0.01 common		Sale		100		26.2900 USD
USD 0.01 common		Sale		150		26.1913 USD
USD 0.01 common		Sale		168		26.2295 USD
USD 0.01 common		Sale		170		26.2067 USD
USD 0.01 common		Sale		190		26.2060 USD
USD 0.01 common		Sale		200		26.1550 USD
USD 0.01 common		Sale		239		26.2100 USD
USD 0.01 common		Sale		435		26.2085 USD
USD 0.01 common		Sale		603		26.2480 USD
USD 0.01 common		Sale		1,384		26.2083 USD
USD 0.01 common		Sale		1,588		26.2215 USD
USD 0.01 common		Sale		1,729		26.1842 USD
USD 0.01 common		Sale		2,407		26.2269 USD
USD 0.01 common		Sale		2,428		26.1615 USD
USD 0.01 common		Sale		3,082		26.2435 USD
USD 0.01 common		Sale		3,423		26.2196 USD
USD 0.01 common		Sale		5,175		26.1287 USD
USD 0.01 common		Sale		7,881		26.2095 USD
USD 0.01 common		Sale		9,002		26.1782 USD
USD 0.01 common		Sale		11,749		26.1860 USD
USD 0.01 common		Sale		12,825		26.2322 USD
USD 0.01 common		Sale		18,089		26.2264 USD
USD 0.01 common		Sale		33,806		26.2500 USD
USD 0.01 common		Sale		38,303		26.2493 USD
USD 0.01 common		Sale		98,140		26.2250 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:				16 Sep 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.

View source version on businesswire.com: https://www.businesswire.com/news/home/20210916005460/en/