Barclays PLC — Major Shareholding Notification 2021

Aug 11, 2021

National Storage Mechanism | Additional information

Form 8.3 - NORTONLIFELOCK INC

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 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	10 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:	1,912,181	0.33%	289,804	0.05%
(2)	Cash-settled derivatives:
		83,335	0.01%	1,279,498	0.22%
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:	250,500	0.04%	2,100	0.00%
	TOTAL:	2,246,016	0.39%	1,571,402	0.27%
Class of relevant security:		Convertible Bond US668771AA66
		Interests		Short Positions
		Number	(%)	Number	(%)
(1)	Relevant securities owned
	and/or controlled:	128,000	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:	128,000	0.02%	0	0.00%
					0

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	20	24.2950 USD
USD 0.01 common	Purchase	20	24.1950 USD
USD 0.01 common	Purchase	37	24.2900 USD
USD 0.01 common	Purchase	45	23.9986 USD
USD 0.01 common	Purchase	49	24.6691 USD
USD 0.01 common	Purchase	52	24.2600 USD
USD 0.01 common	Purchase	52	24.5500 USD
USD 0.01 common	Purchase	65	23.8650 USD
USD 0.01 common	Purchase	89	24.2598 USD
USD 0.01 common	Purchase	120	24.1966 USD
USD 0.01 common	Purchase	136	24.0666 USD
USD 0.01 common	Purchase	199	24.6193 USD
USD 0.01 common	Purchase	200	24.2625 USD
USD 0.01 common	Purchase	200	24.1800 USD
USD 0.01 common	Purchase	200	24.1750 USD
USD 0.01 common	Purchase	200	23.9325 USD
USD 0.01 common	Purchase	220	24.1168 USD
USD 0.01 common	Purchase	240	24.1325 USD
USD 0.01 common	Purchase	300	24.0883 USD
USD 0.01 common	Purchase	300	24.1400 USD
USD 0.01 common	Purchase	360	24.2708 USD
USD 0.01 common	Purchase	469	24.1624 USD
USD 0.01 common	Purchase	600	24.1561 USD
USD 0.01 common	Purchase	600	24.0783 USD
USD 0.01 common	Purchase	683	24.1963 USD
USD 0.01 common	Purchase	700	24.0521 USD
USD 0.01 common	Purchase	810	24.1161 USD
USD 0.01 common	Purchase	828	24.0000 USD
USD 0.01 common	Purchase	836	24.0856 USD
USD 0.01 common	Purchase	900	24.1844 USD
USD 0.01 common	Purchase	952	24.1284 USD
USD 0.01 common	Purchase	1,018	24.0744 USD
USD 0.01 common	Purchase	1,200	24.1725 USD
USD 0.01 common	Purchase	1,285	24.1670 USD
USD 0.01 common	Purchase	1,550	24.1290 USD
USD 0.01 common	Purchase	1,621	24.0350 USD
USD 0.01 common	Purchase	1,681	24.1500 USD
USD 0.01 common	Purchase	2,378	24.0991 USD
USD 0.01 common	Purchase	3,371	24.1766 USD
USD 0.01 common	Purchase	3,460	23.9359 USD
USD 0.01 common	Purchase	14,148	24.1256 USD
USD 0.01 common	Purchase	15,586	24.1237 USD
USD 0.01 common	Purchase	15,956	24.1172 USD
USD 0.01 common	Purchase	16,409	24.1331 USD
USD 0.01 common	Purchase	19,700	23.8900 USD
USD 0.01 common	Purchase	27,059	23.9565 USD
USD 0.01 common	Purchase	34,809	24.1587 USD
USD 0.01 common	Purchase	45,317	24.1424 USD
USD 0.01 common	Purchase	161,388	24.1603 USD
USD 0.01 common	Sale	5	23.9700 USD
USD 0.01 common	Sale	7	23.9650 USD
USD 0.01 common	Sale	11	23.9931 USD
USD 0.01 common	Sale	14	23.9925 USD
USD 0.01 common	Sale	15	23.9900 USD
USD 0.01 common	Sale	19	23.9752 USD
USD 0.01 common	Sale	32	24.2900 USD
USD 0.01 common	Sale	38	23.9847 USD
USD 0.01 common	Sale	89	24.2598 USD
USD 0.01 common	Sale	105	24.1852 USD
USD 0.01 common	Sale	108	23.9600 USD
USD 0.01 common	Sale	300	24.2600 USD
USD 0.01 common	Sale	300	24.2216 USD
USD 0.01 common	Sale	446	24.0000 USD
USD 0.01 common	Sale	500	24.3300 USD
USD 0.01 common	Sale	811	24.2163 USD
USD 0.01 common	Sale	891	24.2328 USD
USD 0.01 common	Sale	1,408	24.0324 USD
USD 0.01 common	Sale	1,791	24.1500 USD
USD 0.01 common	Sale	3,698	24.1093 USD
USD 0.01 common	Sale	5,589	24.1677 USD
USD 0.01 common	Sale	5,615	24.1458 USD
USD 0.01 common	Sale	6,648	24.2091 USD
USD 0.01 common	Sale	6,805	24.1486 USD
USD 0.01 common	Sale	7,399	24.2165 USD
USD 0.01 common	Sale	9,921	24.1604 USD
USD 0.01 common	Sale	10,116	24.1071 USD
USD 0.01 common	Sale	12,792	24.1225 USD
USD 0.01 common	Sale	16,643	24.1803 USD
USD 0.01 common	Sale	20,050	23.8911 USD
USD 0.01 common	Sale	21,367	24.1352 USD
USD 0.01 common	Sale	22,187	24.0892 USD
USD 0.01 common	Sale	25,818	24.1130 USD
USD 0.01 common	Sale	26,500	24.1537 USD
USD 0.01 common	Sale	32,959	24.2020 USD
USD 0.01 common	Sale	33,920	24.1288 USD
USD 0.01 common	Sale	82,501	24.1450 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	Product	Writing,	Number	Exercise	Type	Expiry	Option
of	description	purchasing,	of	price		date	money
relevant		selling,	securities	per unit			paid/
security		varying etc	to which				received
			option				per unit
			relates
USD 0.01 common	Call Options	Purchasing	100,000	24 USD	American	20 Aug 2021	0.4250 USD
USD 0.01 common	Call Options	Purchasing	200,000	24 USD	American	20 Aug 2021	0.4374 USD
USD 0.01 common	Call Options	Purchasing	50,000	25 USD	American	20 Aug 2021	0.2500 USD
USD 0.01 common	Call Options	Selling	100,000	24 USD	American	20 Aug 2021	0.4250 USD

(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:	11 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 +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	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	-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/20210811005411/en/

BARCLAYS PLC