Form 8.3 - NORTONLIFELOCK INC - AMENDMENT

Form 8.3 - NORTONLIFELOCK INC - AMENDMENT

BARCLAYS PLC

FORM 8.3 - Amendment to Purchase and 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	18 August 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:	1,589,768	0.27%	579,408	0.10%
(2)	Cash-settled derivatives:
		105,094	0.02%	1,279,498	0.22%
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:	261,900	0.05%	13,500	0.00%
(4)
	TOTAL:	1,956,762	0.34%	1,872,406	0.32%
Class of relevant security:		Convertible Bond US668771AA66
		Interests		Short Positions
		Number	(%)	Number	(%)
(1)	Relevant securities owned
	and/or controlled:	136,000	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%
(4)
	TOTAL:	136,000	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	1	25.7200 USD
USD 0.01 common	Purchase	1	25.7300 USD
USD 0.01 common	Purchase	3	25.7666 USD
USD 0.01 common	Purchase	12	25.8600 USD
USD 0.01 common	Purchase	23	25.7882 USD
USD 0.01 common	Purchase	30	25.7400 USD
USD 0.01 common	Purchase	30	25.7050 USD
USD 0.01 common	Purchase	40	25.7800 USD
USD 0.01 common	Purchase	50	22.0750 EUR
USD 0.01 common	Purchase	60	25.7500 USD
USD 0.01 common	Purchase	69	25.7922 USD
USD 0.01 common	Purchase	90	25.7333 USD
USD 0.01 common	Purchase	100	25.8700 USD
USD 0.01 common	Purchase	126	25.7404 USD
USD 0.01 common	Purchase	130	25.7842 USD
USD 0.01 common	Purchase	180	25.7739 USD
USD 0.01 common	Purchase	211	25.8016 USD
USD 0.01 common	Purchase	226	25.8179 USD
USD 0.01 common	Purchase	285	25.7463 USD
USD 0.01 common	Purchase	286	25.7650 USD
USD 0.01 common	Purchase	291	25.7245 USD
USD 0.01 common	Purchase	294	25.7954 USD
USD 0.01 common	Purchase	343	25.8032 USD
USD 0.01 common	Purchase	400	25.6600 USD
USD 0.01 common	Purchase	541	25.7892 USD
USD 0.01 common	Purchase	805	25.8263 USD
USD 0.01 common	Purchase	1,305	25.7893 USD
USD 0.01 common	Purchase	1,465	25.7968 USD
USD 0.01 common	Purchase	1,500	25.8216 USD
USD 0.01 common	Purchase	1,560	25.8139 USD
USD 0.01 common	Purchase	5,000	25.7700 USD
USD 0.01 common	Purchase	9,008	25.7417 USD
USD 0.01 common	Purchase	14,295	25.7100 USD
USD 0.01 common	Purchase	18,704	25.7217 USD
USD 0.01 common	Purchase	21,895	25.7721 USD
USD 0.01 common	Purchase	22,290	25.7350 USD
USD 0.01 common	Purchase	25,853	25.7789 USD
USD 0.01 common	Purchase	30,834	25.7367 USD
USD 0.01 common	Purchase	37,918	25.7298 USD
USD 0.01 common	Purchase	52,327	25.7151 USD
USD 0.01 common	Purchase	87,791	25.7469 USD
USD 0.01 common	Sale	5	25.7150 USD
USD 0.01 common	Sale	15	25.7283 USD
USD 0.01 common	Sale	15	25.7200 USD
USD 0.01 common	Sale	15	25.7233 USD
USD 0.01 common	Sale	21	25.8300 USD
USD 0.01 common	Sale	25	25.7320 USD
USD 0.01 common	Sale	45	25.7333 USD
USD 0.01 common	Sale	50	22.0750 EUR
USD 0.01 common	Sale	100	25.7850 USD
USD 0.01 common	Sale	100	25.7900 USD
USD 0.01 common	Sale	100	25.8200 USD
USD 0.01 common	Sale	105	25.7195 USD
USD 0.01 common	Sale	106	25.7800 USD
USD 0.01 common	Sale	187	25.8077 USD
USD 0.01 common	Sale	300	25.7366 USD
USD 0.01 common	Sale	300	25.7116 USD
USD 0.01 common	Sale	300	25.8266 USD
USD 0.01 common	Sale	300	25.7266 USD
USD 0.01 common	Sale	320	25.7500 USD
USD 0.01 common	Sale	330	25.7789 USD
USD 0.01 common	Sale	400	25.7300 USD
USD 0.01 common	Sale	530	25.7029 USD
USD 0.01 common	Sale	635	25.7611 USD
USD 0.01 common	Sale	700	25.7771 USD
USD 0.01 common	Sale	800	25.7650 USD
USD 0.01 common	Sale	900	25.7933 USD
USD 0.01 common	Sale	993	25.7607 USD
USD 0.01 common	Sale	1,140	25.7750 USD
USD 0.01 common	Sale	1,271	25.8047 USD
USD 0.01 common	Sale	1,500	25.8216 USD
USD 0.01 common	Sale	1,725	25.7885 USD
USD 0.01 common	Sale	2,065	25.7675 USD
USD 0.01 common	Sale	2,200	25.7936 USD
USD 0.01 common	Sale	2,608	25.7171 USD
USD 0.01 common	Sale	2,989	25.8000 USD
USD 0.01 common	Sale	3,619	25.7947 USD
USD 0.01 common	Sale	3,777	25.7744 USD
USD 0.01 common	Sale	5,140	25.7700 USD
USD 0.01 common	Sale	6,489	25.7323 USD
USD 0.01 common	Sale	8,047	25.7729 USD
USD 0.01 common	Sale	8,246	25.7872 USD
USD 0.01 common	Sale	12,475	25.7475 USD
USD 0.01 common	Sale	15,174	25.7145 USD
USD 0.01 common	Sale	17,955	25.7303 USD
USD 0.01 common	Sale	21,895	25.7721 USD
USD 0.01 common	Sale	26,512	25.7701 USD
USD 0.01 common	Sale	29,230	25.7377 USD
USD 0.01 common	Sale	41,137	25.7349 USD
USD 0.01 common	Sale	51,694	25.7353 USD
USD 0.01 common	Sale	62,455	25.7100 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:	20 August 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	Call Options	Purchased	500	27.0000	American	21 Jan 2022
USD 0.01 common	Call Options	Purchased	11,400	26.0000	American	20 Aug 2021
USD 0.01 common	Call Options	Purchased	50,000	25.0000	American	20 Aug 2021
USD 0.01 common	Call Options	Purchased	200,000	24.0000	American	20 Aug 2021
USD 0.01 common	Put Options	Purchased	-11,400	26.0000	American	20 Aug 2021
USD 0.01 common	Put Options	Purchased	-2,100	30.0000	American	0 Jan 1900

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.

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