Barclays PLC — Major Shareholding Notification 2021

Oct 12, 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	11 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:		1,468,764	0.25%	714,756	0.12%
(2)	Cash-settled derivatives:
			354,367	0.06%	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:		1,823,631	0.31%	1,745,178	0.30%
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%
						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		12		25.8800 USD
USD 0.01 common		Purchase		19		25.6968 USD
USD 0.01 common		Purchase		25		25.7800 USD
USD 0.01 common		Purchase		251		25.6101 USD
USD 0.01 common		Purchase		262		25.6387 USD
USD 0.01 common		Purchase		481		25.7018 USD
USD 0.01 common		Purchase		603		25.7600 USD
USD 0.01 common		Purchase		627		25.6224 USD
USD 0.01 common		Purchase		1,072		25.7864 USD
USD 0.01 common		Purchase		1,282		25.8628 USD
USD 0.01 common		Purchase		2,042		25.6312 USD
USD 0.01 common		Purchase		2,412		25.6394 USD
USD 0.01 common		Purchase		2,600		25.8000 USD
USD 0.01 common		Purchase		3,022		25.7966 USD
USD 0.01 common		Purchase		6,801		25.8707 USD
USD 0.01 common		Purchase		9,393		25.6381 USD
USD 0.01 common		Purchase		22,798		25.6114 USD
USD 0.01 common		Purchase		38,909		25.5900 USD
USD 0.01 common		Purchase		43,958		25.8304 USD
USD 0.01 common		Sale		2		25.2200 USD
USD 0.01 common		Sale		20		25.6550 USD
USD 0.01 common		Sale		21		25.6600 USD
USD 0.01 common		Sale		26		25.6450 USD
USD 0.01 common		Sale		50		25.7425 USD
USD 0.01 common		Sale		52		25.5950 USD
USD 0.01 common		Sale		52		25.6050 USD
USD 0.01 common		Sale		53		25.7803 USD
USD 0.01 common		Sale		57		25.6712 USD
USD 0.01 common		Sale		68		25.6650 USD
USD 0.01 common		Sale		70		25.6545 USD
USD 0.01 common		Sale		70		25.6850 USD
USD 0.01 common		Sale		91		25.7350 USD
USD 0.01 common		Sale		92		25.9633 USD
USD 0.01 common		Sale		100		25.7894 USD
USD 0.01 common		Sale		112		25.8220 USD
USD 0.01 common		Sale		126		25.9298 USD
USD 0.01 common		Sale		140		25.6700 USD
USD 0.01 common		Sale		182		25.7472 USD
USD 0.01 common		Sale		200		25.9050 USD
USD 0.01 common		Sale		200		25.7725 USD
USD 0.01 common		Sale		200		25.9825 USD
USD 0.01 common		Sale		236		25.7879 USD
USD 0.01 common		Sale		255		25.8351 USD
USD 0.01 common		Sale		366		25.9377 USD
USD 0.01 common		Sale		401		25.8646 USD
USD 0.01 common		Sale		421		25.8844 USD
USD 0.01 common		Sale		481		25.7018 USD
USD 0.01 common		Sale		500		25.8980 USD
USD 0.01 common		Sale		505		25.8384 USD
USD 0.01 common		Sale		600		25.8366 USD
USD 0.01 common		Sale		617		25.5907 USD
USD 0.01 common		Sale		1,300		25.8000 USD
USD 0.01 common		Sale		1,410		25.5933 USD
USD 0.01 common		Sale		1,493		25.9107 USD
USD 0.01 common		Sale		1,858		25.5929 USD
USD 0.01 common		Sale		2,262		25.7829 USD
USD 0.01 common		Sale		2,431		25.8059 USD
USD 0.01 common		Sale		6,801		25.8707 USD
USD 0.01 common		Sale		15,568		25.7268 USD
USD 0.01 common		Sale		15,656		25.6103 USD
USD 0.01 common		Sale		24,748		25.6138 USD
USD 0.01 common		Sale		25,400		25.8826 USD
USD 0.01 common		Sale		35,368		25.5900 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:	12 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 +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/20211012005647/en/

BARCLAYS PLC