Barclays PLC — Director's Dealing 2021

Nov 3, 2021

National Storage Mechanism | Additional information

Form 8.3 - NORTONLIFELOCK INC - AMENDMENT

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	1 Nov 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:		1,670,187	0.29%	1,054,306	0.18%
(2)	Cash-settled derivatives:
			665,053	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:		2,335,740	0.40%	2,084,728	0.36%
Class of relevant security:			Convertible Bond US668771AA66
			Interests		Short Positions
			Number	(%)	Number	(%)
(1)	Relevant securities owned
	and/or controlled:		361,000	0.06%	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:		361,000	0.06%	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		48		25.5600 USD
USD 0.01 common		Purchase		68		25.2900 USD
USD 0.01 common		Purchase		68		25.6500 USD
USD 0.01 common		Purchase		70		25.3050 USD
USD 0.01 common		Purchase		120		25.3100 USD
USD 0.01 common		Purchase		124		25.3746 USD
USD 0.01 common		Purchase		140		25.3000 USD
USD 0.01 common		Purchase		163		25.4566 USD
USD 0.01 common		Purchase		200		25.3200 USD
USD 0.01 common		Purchase		253		25.3783 USD
USD 0.01 common		Purchase		300		25.3400 USD
USD 0.01 common		Purchase		422		25.4200 USD
USD 0.01 common		Purchase		475		25.3989 USD
USD 0.01 common		Purchase		540		25.3911 USD
USD 0.01 common		Purchase		541		25.4900 USD
USD 0.01 common		Purchase		578		25.4199 USD
USD 0.01 common		Purchase		685		25.3823 USD
USD 0.01 common		Purchase		1,045		25.2896 USD
USD 0.01 common		Purchase		1,097		25.3389 USD
USD 0.01 common		Purchase		1,400		25.3964 USD
USD 0.01 common		Purchase		2,187		25.4382 USD
USD 0.01 common		Purchase		2,502		25.4114 USD
USD 0.01 common		Purchase		2,926		25.3815 USD
USD 0.01 common		Purchase		3,616		25.3818 USD
USD 0.01 common		Purchase		4,401		25.3898 USD
USD 0.01 common		Purchase		5,381		25.3913 USD
USD 0.01 common		Purchase		5,907		25.3759 USD
USD 0.01 common		Purchase		6,417		25.4157 USD
USD 0.01 common		Purchase		10,520		25.3848 USD
USD 0.01 common		Purchase		10,520		25.3847 USD
USD 0.01 common		Purchase		15,707		25.3674 USD
USD 0.01 common		Purchase		26,442		25.3819 USD
USD 0.01 common		Purchase		39,770		25.3655 USD
USD 0.01 common		Purchase		77,957		25.3500 USD
USD 0.01 common		Sale		2		25.3250 USD
USD 0.01 common		Sale		7		25.5771 USD
USD 0.01 common		Sale		12		25.3150 USD
USD 0.01 common		Sale		68		25.2900 USD
USD 0.01 common		Sale		94		25.6150 USD
USD 0.01 common		Sale		100		25.6000 USD
USD 0.01 common		Sale		100		25.5650 USD
USD 0.01 common		Sale		100		25.5200 USD
USD 0.01 common		Sale		100		25.3600 USD
USD 0.01 common		Sale		113		25.3241 USD
USD 0.01 common		Sale		200		25.2800 USD
USD 0.01 common		Sale		200		25.3000 USD
USD 0.01 common		Sale		200		25.4400 USD
USD 0.01 common		Sale		200		25.4250 USD
USD 0.01 common		Sale		200		25.3525 USD
USD 0.01 common		Sale		300		25.3183 USD
USD 0.01 common		Sale		400		25.3125 USD
USD 0.01 common		Sale		414		25.4620 USD
USD 0.01 common		Sale		431		25.3383 USD
USD 0.01 common		Sale		500		25.3160 USD
USD 0.01 common		Sale		512		25.4525 USD
USD 0.01 common		Sale		631		25.5255 USD
USD 0.01 common		Sale		641		25.4603 USD
USD 0.01 common		Sale		701		25.3157 USD
USD 0.01 common		Sale		786		25.3159 USD
USD 0.01 common		Sale		1,285		25.4140 USD
USD 0.01 common		Sale		1,900		25.4664 USD
USD 0.01 common		Sale		2,187		25.4382 USD
USD 0.01 common		Sale		2,699		25.3135 USD
USD 0.01 common		Sale		3,379		25.3487 USD
USD 0.01 common		Sale		3,597		25.3517 USD
USD 0.01 common		Sale		3,975		25.4089 USD
USD 0.01 common		Sale		4,587		25.3852 USD
USD 0.01 common		Sale		4,976		25.4592 USD
USD 0.01 common		Sale		8,419		25.4150 USD
USD 0.01 common		Sale		10,520		25.3847 USD
USD 0.01 common		Sale		14,322		25.3571 USD
USD 0.01 common		Sale		31,733		25.3811 USD
USD 0.01 common		Sale		43,642		25.3643 USD
USD 0.01 common		Sale		78,079		25.3500 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:	3 Nov 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 +44 (0)20 7638 0129.

*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 +44 (0)20 7638 0129.

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/20211103005853/en/

BARCLAYS PLC