Barclays PLC — M&A Activity 2021

Sep 30, 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 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:				28 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:		1,438,251	0.25%	459,141	0.08%
(2)	Cash-settled derivatives:
			159,730	0.03%	1,028,322	0.18%
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:		500	0.00%	2,100	0.00%
	TOTAL:		1,598,481	0.27%	1,489,563	0.26%
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%
	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		12		21.7145 EUR
USD 0.01 common		Purchase		24		25.7200 USD
USD 0.01 common		Purchase		47		25.8100 USD
USD 0.01 common		Purchase		93		25.7887 USD
USD 0.01 common		Purchase		93		25.7100 USD
USD 0.01 common		Purchase		200		25.7700 USD
USD 0.01 common		Purchase		200		25.7300 USD
USD 0.01 common		Purchase		223		25.7400 USD
USD 0.01 common		Purchase		300		25.6900 USD
USD 0.01 common		Purchase		300		25.8167 USD
USD 0.01 common		Purchase		499		25.6300 USD
USD 0.01 common		Purchase		500		25.7170 USD
USD 0.01 common		Purchase		1,000		25.7390 USD
USD 0.01 common		Purchase		1,112		25.7398 USD
USD 0.01 common		Purchase		1,359		25.6960 USD
USD 0.01 common		Purchase		1,521		25.6922 USD
USD 0.01 common		Purchase		1,909		25.6671 USD
USD 0.01 common		Purchase		2,916		25.6821 USD
USD 0.01 common		Purchase		6,068		25.7205 USD
USD 0.01 common		Purchase		7,422		25.7317 USD
USD 0.01 common		Purchase		8,074		25.6417 USD
USD 0.01 common		Purchase		11,569		25.7342 USD
USD 0.01 common		Purchase		13,387		25.6479 USD
USD 0.01 common		Purchase		15,100		25.7265 USD
USD 0.01 common		Purchase		21,944		25.6406 USD
USD 0.01 common		Purchase		32,474		25.6400 USD
USD 0.01 common		Purchase		35,298		25.7500 USD
USD 0.01 common		Purchase		71,467		25.7298 USD
USD 0.01 common		Sale		3		25.7100 USD
USD 0.01 common		Sale		12		21.7145 EUR
USD 0.01 common		Sale		23		25.7400 USD
USD 0.01 common		Sale		44		25.7650 USD
USD 0.01 common		Sale		47		25.7517 USD
USD 0.01 common		Sale		100		25.6500 USD
USD 0.01 common		Sale		182		25.6435 USD
USD 0.01 common		Sale		200		25.6275 USD
USD 0.01 common		Sale		200		25.8150 USD
USD 0.01 common		Sale		200		25.7200 USD
USD 0.01 common		Sale		200		25.7050 USD
USD 0.01 common		Sale		200		25.6650 USD
USD 0.01 common		Sale		200		25.6425 USD
USD 0.01 common		Sale		200		25.8250 USD
USD 0.01 common		Sale		224		25.6489 USD
USD 0.01 common		Sale		273		25.6563 USD
USD 0.01 common		Sale		300		25.6900 USD
USD 0.01 common		Sale		300		25.6866 USD
USD 0.01 common		Sale		400		25.6250 USD
USD 0.01 common		Sale		477		25.6545 USD
USD 0.01 common		Sale		496		25.6420 USD
USD 0.01 common		Sale		524		25.6514 USD
USD 0.01 common		Sale		547		25.6546 USD
USD 0.01 common		Sale		600		25.7108 USD
USD 0.01 common		Sale		757		25.7252 USD
USD 0.01 common		Sale		800		25.6315 USD
USD 0.01 common		Sale		866		25.6328 USD
USD 0.01 common		Sale		885		25.7040 USD
USD 0.01 common		Sale		895		25.6403 USD
USD 0.01 common		Sale		1,132		25.6764 USD
USD 0.01 common		Sale		1,293		25.7805 USD
USD 0.01 common		Sale		1,300		25.6688 USD
USD 0.01 common		Sale		1,356		25.6597 USD
USD 0.01 common		Sale		1,593		25.6773 USD
USD 0.01 common		Sale		1,909		25.6671 USD
USD 0.01 common		Sale		2,000		25.7250 USD
USD 0.01 common		Sale		2,199		25.7149 USD
USD 0.01 common		Sale		2,269		25.7030 USD
USD 0.01 common		Sale		3,608		25.6952 USD
USD 0.01 common		Sale		3,996		25.7538 USD
USD 0.01 common		Sale		5,098		25.7500 USD
USD 0.01 common		Sale		6,852		25.6398 USD
USD 0.01 common		Sale		7,107		25.7350 USD
USD 0.01 common		Sale		8,284		25.6444 USD
USD 0.01 common		Sale		9,840		25.7219 USD
USD 0.01 common		Sale		10,630		25.7364 USD
USD 0.01 common		Sale		13,283		25.7296 USD
USD 0.01 common		Sale		13,538		25.6478 USD
USD 0.01 common		Sale		18,306		25.6415 USD
USD 0.01 common		Sale		36,352		25.6400 USD
USD 0.01 common		Sale		55,822		25.7352 USD
NB: The below transactions which were previously disclosed have been cancelled
Class of relevant		Purchase/sale		Number of		Price per unit
security				securities
USD 0.01 common		Purchase		15,100		25.7500 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:				30 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 +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

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 +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/20210930005510/en/

BARCLAYS PLC