Form 8.3 - NORTONLIFELOCK INC - Amendment

Form 8.3 - NORTONLIFELOCK INC - Amendment

BARCLAYS PLC

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	15 Oct 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:		1,576,501	0.27%	886,125	0.15%
(2)	Cash-settled derivatives:
			641,167	0.11%	1,028,322	0.18%
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:		500	0.00%	2,100	0.00%
(4)
	TOTAL:		2,218,168	0.38%	1,916,547	0.33%
Class of relevant security:			Convertible Bond US668771AA66
			Interests		Short Positions
			Number	(%)	Number	(%)
(1)	Relevant securities owned
	and/or controlled:		146,000	0.03%	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:		146,000	0.03%	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		2		25.3250 USD
USD 0.01 common		Purchase		4		25.4150 USD
USD 0.01 common		Purchase		7		25.2500 USD
USD 0.01 common		Purchase		7		25.2950 USD
USD 0.01 common		Purchase		14		25.2875 USD
USD 0.01 common		Purchase		14		25.2200 USD
USD 0.01 common		Purchase		14		25.2671 USD
USD 0.01 common		Purchase		14		25.2925 USD
USD 0.01 common		Purchase		21		25.2266 USD
USD 0.01 common		Purchase		21		25.2516 USD
USD 0.01 common		Purchase		26		25.2630 USD
USD 0.01 common		Purchase		28		25.2575 USD
USD 0.01 common		Purchase		35		25.2750 USD
USD 0.01 common		Purchase		41		25.3047 USD
USD 0.01 common		Purchase		45		25.4031 USD
USD 0.01 common		Purchase		53		25.4200 USD
USD 0.01 common		Purchase		71		25.3301 USD
USD 0.01 common		Purchase		76		25.3394 USD
USD 0.01 common		Purchase		76		25.3018 USD
USD 0.01 common		Purchase		85		25.2369 USD
USD 0.01 common		Purchase		100		25.2150 USD
USD 0.01 common		Purchase		100		25.3196 USD
USD 0.01 common		Purchase		112		25.3114 USD
USD 0.01 common		Purchase		116		25.3129 USD
USD 0.01 common		Purchase		124		25.3535 USD
USD 0.01 common		Purchase		140		25.3172 USD
USD 0.01 common		Purchase		144		25.3327 USD
USD 0.01 common		Purchase		148		25.3448 USD
USD 0.01 common		Purchase		160		25.3385 USD
USD 0.01 common		Purchase		230		25.2563 USD
USD 0.01 common		Purchase		234		21.8447 EUR
USD 0.01 common		Purchase		249		25.2650 USD
USD 0.01 common		Purchase		669		25.3733 USD
USD 0.01 common		Purchase		900		25.2400 USD
USD 0.01 common		Purchase		979		25.2840 USD
USD 0.01 common		Purchase		1,126		25.3555 USD
USD 0.01 common		Purchase		1,200		25.3950 USD
USD 0.01 common		Purchase		1,316		25.2732 USD
USD 0.01 common		Purchase		1,427		25.2999 USD
USD 0.01 common		Purchase		1,805		25.3900 USD
USD 0.01 common		Purchase		2,200		25.2877 USD
USD 0.01 common		Purchase		2,528		25.3211 USD
USD 0.01 common		Purchase		2,684		25.3748 USD
USD 0.01 common		Purchase		2,691		25.3061 USD
USD 0.01 common		Purchase		2,718		25.2762 USD
USD 0.01 common		Purchase		3,748		25.2960 USD
USD 0.01 common		Purchase		4,918		25.3346 USD
USD 0.01 common		Purchase		6,112		25.4051 USD
USD 0.01 common		Purchase		10,059		25.3739 USD
USD 0.01 common		Purchase		13,970		25.3471 USD
USD 0.01 common		Purchase		16,096		25.3317 USD
USD 0.01 common		Purchase		28,050		25.3017 USD
USD 0.01 common		Purchase		37,389		25.3880 USD
USD 0.01 common		Purchase		44,129		25.3119 USD
USD 0.01 common		Purchase		64,139		25.3000 USD
USD 0.01 common		Sale		1		25.2550 USD
USD 0.01 common		Sale		1		25.3400 USD
USD 0.01 common		Sale		24		25.3470 USD
USD 0.01 common		Sale		25		25.4772 USD
USD 0.01 common		Sale		34		25.2857 USD
USD 0.01 common		Sale		34		25.2755 USD
USD 0.01 common		Sale		35		25.3008 USD
USD 0.01 common		Sale		44		25.3756 USD
USD 0.01 common		Sale		53		25.4200 USD
USD 0.01 common		Sale		55		25.3600 USD
USD 0.01 common		Sale		59		25.3918 USD
USD 0.01 common		Sale		73		25.3261 USD
USD 0.01 common		Sale		85		25.2369 USD
USD 0.01 common		Sale		100		25.2700 USD
USD 0.01 common		Sale		100		25.2400 USD
USD 0.01 common		Sale		107		25.2200 USD
USD 0.01 common		Sale		200		25.2800 USD
USD 0.01 common		Sale		234		21.8447 EUR
USD 0.01 common		Sale		236		25.3760 USD
USD 0.01 common		Sale		301		25.2697 USD
USD 0.01 common		Sale		364		25.2842 USD
USD 0.01 common		Sale		400		25.3087 USD
USD 0.01 common		Sale		578		25.3900 USD
USD 0.01 common		Sale		616		25.3476 USD
USD 0.01 common		Sale		651		25.3495 USD
USD 0.01 common		Sale		950		25.3724 USD
USD 0.01 common		Sale		1,015		25.3913 USD
USD 0.01 common		Sale		2,468		25.3808 USD
USD 0.01 common		Sale		2,564		25.3211 USD
USD 0.01 common		Sale		3,052		25.4074 USD
USD 0.01 common		Sale		3,999		25.3133 USD
USD 0.01 common		Sale		7,174		25.3571 USD
USD 0.01 common		Sale		10,060		25.3691 USD
USD 0.01 common		Sale		11,003		25.3016 USD
USD 0.01 common		Sale		16,187		25.3230 USD
USD 0.01 common		Sale		17,286		25.3398 USD
USD 0.01 common		Sale		25,207		25.3000 USD
USD 0.01 common		Sale		27,463		25.3017 USD
USD 0.01 common		Sale		37,523		25.3876 USD
USD 0.01 common		Sale		40,030		25.3113 USD
USD 0.01 common		Sale		40,788		25.3005 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 Oct 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		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.

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