GEN

Gen Digital Inc.

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Tapewire entity: 2098
SEC CIK: 0000849399
Parsed reports: 434

Last 12 months

Inside the activity.

2 purchase rows · 10 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.

Nov

Dec

Jan

Feb

Mar

Apr

May

Jun

Jul

Aug

Sep

Oct

Monthly counts

Month	Purchases	Sales
Nov 2025	1	0
Dec 2025	0	1
Jan 2026	0	0
Feb 2026	0	1
Mar 2026	0	0
Apr 2026	0	0
May 2026	0	0
Jun 2026	1	1
Jul 2026	0	0
Aug 2026	0	6
Sep 2026	0	1
Oct 2026	0	0

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Owner / reported role	Activity / security	Shares / units	Reported price	Reported value	Details
January 09, 2020 Filed Jan 10, 2020 21:32 UTC	Silver Lake (Offshore) AIV GP IV, Ltd.Director Silver Lake Technology Associates IV Cayman, L.P.Director SLP IV Seal GP, L.L.C.Director SLP IV Seal II GP, L.L.C.Director SLP IV Star GP, L.L.C.Director SLP IV Seal Holdings, L.P.Director SLP IV Seal II Holdings, L.P.Director SLP IV Star Holdings, L.P.Director Hao KennethDirector	Grant2.00% Convertible Senior Notes due 2022 · Derivative	Not disclosed	Not disclosed Strike: $10.23	$250,000,000.00	Disclosure SEC source: 0000899243-20-000973 · doc4.xml · derivative · entry 9 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director SLP IV Seal GP, L.L.C. · CIK 0001668319 · Director SLP IV Seal II GP, L.L.C. · CIK 0001790691 · Director SLP IV Star GP, L.L.C. · CIK 0001680644 · Director SLP IV Seal Holdings, L.P. · CIK 0001668204 · Director SLP IV Seal II Holdings, L.P. · CIK 0001790690 · Director SLP IV Star Holdings, L.P. · CIK 0001680643 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP IV Star Holdings, L.P. Disclosed balance after: Not disclosed Underlying: Common Stock · 24,434,100 shares Expires not disclosed F1 · security: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F12 · derivative.exercise_price: The conversion rate for the 2.00% Convertible Notes currently in effect is 48.9860 per $1,000 principal amount of 2.00% Convertible Notes, which is equivalent to a conversion price of approximately $20.41 per share of Common Stock. With respect to one-half of the 2.00% Convertible Notes, the payment of the special dividend will be paid to holders in cash, on an as-converted to Common Stock basis, in lieu of an adjustment to the conversion rate, and with respect to the other half of the 2.00% Convertible Notes (the "Adjusted 2.00% Convertible Notes), the then current conversion rate will automatically adjust in connection with the payment of the special dividend as provided by the indenture governing such notes. Based on the current conversion rate of 48.9860, it is estimated that the automatic adjustment for the special dividend will result in a conversion rate of 97.7364, which is equivalent to a conversion price of approximately $10.23 per share. F1 · kind: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F2 · kind: Pursuant to November Amendments to the Investment Agreements dated as of February 3, 2016 and June 12, 2016, the Issuer and the holders of the Convertible Notes agreed to, among other things, extend the maturity dates of the Convertible Notes from 2021 until 2022, and to provide that one half of the Convertible Notes will be exchanged for newly issued Convertible Notes that will receive payment of the special dividend in cash (in lieu of an adjustment to the conversion rate), which changes may be deemed to result in a deemed cancellation of the existing Convertible Notes and the issuance of new Convertible Notes for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, and which were exempt from Section 16(b) pursuant to Rule 16b-3. In the event the special dividend is not paid to stockholders of the Issuer prior to April 3, 2020 and to the holders of the Convertible Notes as described herein, the modifications described herein would be deemed null and void. F1 · price: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F2 · price: Pursuant to November Amendments to the Investment Agreements dated as of February 3, 2016 and June 12, 2016, the Issuer and the holders of the Convertible Notes agreed to, among other things, extend the maturity dates of the Convertible Notes from 2021 until 2022, and to provide that one half of the Convertible Notes will be exchanged for newly issued Convertible Notes that will receive payment of the special dividend in cash (in lieu of an adjustment to the conversion rate), which changes may be deemed to result in a deemed cancellation of the existing Convertible Notes and the issuance of new Convertible Notes for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, and which were exempt from Section 16(b) pursuant to Rule 16b-3. In the event the special dividend is not paid to stockholders of the Issuer prior to April 3, 2020 and to the holders of the Convertible Notes as described herein, the modifications described herein would be deemed null and void. F13 · derivative.exercise_date: In accordance with an investment agreement, dated as of June 12, 2016, the 2.00% Convertible Notes were convertible by the holder beginning August 1, 2017, subject to certain exceptions. Pursuant to the Second Amendment to Investment Agreement dated November 11, 2019 (the "2.00% November Amendment" and together with the 2.500% November Amendment, the "November Amendments"), Star is now restricted, subject to certain exceptions, from converting the 2.00% Convertible Notes prior to February 15, 2022. F14 · derivative.expiration_date: Prior to the modification to the 2.00% Convertible Notes, such 2.00% Convertible Notes were scheduled to mature on August 15, 2021 and following such modification, will instead mature on August 15, 2022, subject to earlier repurchase or conversion in accordance with their terms. F15 · derivative.underlying_shares: Upon conversion of the 2.00% Convertible Notes, the Issuer will deliver, at its election, cash, shares of Common Stock or a combination of cash and shares of Common Stock. This number represents the number of shares of Common Stock issuable upon conversion of the 2.00% Convertible Notes if the Issuer elects to settle its conversion obligation solely through delivering a number of shares of Common Stock at the current conversion rate of 48.9860 shares of Common Stock per $1,000 principal amount of 2.00% Convertible Notes. Assuming payment of the special dividend and the adjustment of the conversion rate of the Adjusted 2.00% Convertible Notes (as described above), the Issuer would instead deliver an estimated 97.7364 shares of Common Stock per $1,000 principal amount of Adjusted 2.00% Convertible Notes, or an aggregate of 24,434,100 shares of Common Stock for each $250 million principal amount of Adjusted 2.00% Convertible Notes held. F16 · derivative.underlying_shares: The conversion rate for both the 2.00% Convertible Notes is subject to adjustment from time to time upon the occurrence of certain customary events in accordance with the terms of the indentures governing the 2.00% Convertible Notes. F1 · valueOwnedAfter: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F2 · valueOwnedAfter: Pursuant to November Amendments to the Investment Agreements dated as of February 3, 2016 and June 12, 2016, the Issuer and the holders of the Convertible Notes agreed to, among other things, extend the maturity dates of the Convertible Notes from 2021 until 2022, and to provide that one half of the Convertible Notes will be exchanged for newly issued Convertible Notes that will receive payment of the special dividend in cash (in lieu of an adjustment to the conversion rate), which changes may be deemed to result in a deemed cancellation of the existing Convertible Notes and the issuance of new Convertible Notes for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, and which were exempt from Section 16(b) pursuant to Rule 16b-3. In the event the special dividend is not paid to stockholders of the Issuer prior to April 3, 2020 and to the holders of the Convertible Notes as described herein, the modifications described herein would be deemed null and void. F5 · ownership.nature: These securities are held by SLP IV Star Holdings, L.P. ("Star"). SLP IV Star GP, L.L.C. ("Star GP") is the general partner of Star. F6 · ownership.nature: Silver Lake Technology Associates IV Cayman, L.P. ("SLTA") is the sole member of each of Seal GP, Seal II GP and Star GP. Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP") is the general partner of SLTA. Mr. Kenneth Hao serves as a member of the board of directors of the Issuer and is a director of AIV GP. Each of Seal, Seal II, Star, Seal GP, Seal II GP, Star GP, SLTA and AIV GP may be deemed to be a director by deputization of the Issuer. Read SEC document
January 09, 2020 Filed Jan 10, 2020 21:32 UTC	Silver Lake (Offshore) AIV GP IV, Ltd.Director Silver Lake Technology Associates IV Cayman, L.P.Director SLP IV Seal GP, L.L.C.Director SLP IV Seal II GP, L.L.C.Director SLP IV Star GP, L.L.C.Director SLP IV Seal Holdings, L.P.Director SLP IV Seal II Holdings, L.P.Director SLP IV Star Holdings, L.P.Director Hao KennethDirector	Grant2.00% Convertible Senior Notes due 2022 · Derivative	Not disclosed	Not disclosed Strike: $20.41	$250,000,000.00	Disclosure SEC source: 0000899243-20-000973 · doc4.xml · derivative · entry 8 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director SLP IV Seal GP, L.L.C. · CIK 0001668319 · Director SLP IV Seal II GP, L.L.C. · CIK 0001790691 · Director SLP IV Star GP, L.L.C. · CIK 0001680644 · Director SLP IV Seal Holdings, L.P. · CIK 0001668204 · Director SLP IV Seal II Holdings, L.P. · CIK 0001790690 · Director SLP IV Star Holdings, L.P. · CIK 0001680643 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP IV Star Holdings, L.P. Disclosed balance after: Not disclosed Underlying: Common Stock · 12,246,500 shares Expires not disclosed F1 · security: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F12 · derivative.exercise_price: The conversion rate for the 2.00% Convertible Notes currently in effect is 48.9860 per $1,000 principal amount of 2.00% Convertible Notes, which is equivalent to a conversion price of approximately $20.41 per share of Common Stock. With respect to one-half of the 2.00% Convertible Notes, the payment of the special dividend will be paid to holders in cash, on an as-converted to Common Stock basis, in lieu of an adjustment to the conversion rate, and with respect to the other half of the 2.00% Convertible Notes (the "Adjusted 2.00% Convertible Notes), the then current conversion rate will automatically adjust in connection with the payment of the special dividend as provided by the indenture governing such notes. Based on the current conversion rate of 48.9860, it is estimated that the automatic adjustment for the special dividend will result in a conversion rate of 97.7364, which is equivalent to a conversion price of approximately $10.23 per share. F1 · kind: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F2 · kind: Pursuant to November Amendments to the Investment Agreements dated as of February 3, 2016 and June 12, 2016, the Issuer and the holders of the Convertible Notes agreed to, among other things, extend the maturity dates of the Convertible Notes from 2021 until 2022, and to provide that one half of the Convertible Notes will be exchanged for newly issued Convertible Notes that will receive payment of the special dividend in cash (in lieu of an adjustment to the conversion rate), which changes may be deemed to result in a deemed cancellation of the existing Convertible Notes and the issuance of new Convertible Notes for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, and which were exempt from Section 16(b) pursuant to Rule 16b-3. In the event the special dividend is not paid to stockholders of the Issuer prior to April 3, 2020 and to the holders of the Convertible Notes as described herein, the modifications described herein would be deemed null and void. F1 · price: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F2 · price: Pursuant to November Amendments to the Investment Agreements dated as of February 3, 2016 and June 12, 2016, the Issuer and the holders of the Convertible Notes agreed to, among other things, extend the maturity dates of the Convertible Notes from 2021 until 2022, and to provide that one half of the Convertible Notes will be exchanged for newly issued Convertible Notes that will receive payment of the special dividend in cash (in lieu of an adjustment to the conversion rate), which changes may be deemed to result in a deemed cancellation of the existing Convertible Notes and the issuance of new Convertible Notes for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, and which were exempt from Section 16(b) pursuant to Rule 16b-3. In the event the special dividend is not paid to stockholders of the Issuer prior to April 3, 2020 and to the holders of the Convertible Notes as described herein, the modifications described herein would be deemed null and void. F13 · derivative.exercise_date: In accordance with an investment agreement, dated as of June 12, 2016, the 2.00% Convertible Notes were convertible by the holder beginning August 1, 2017, subject to certain exceptions. Pursuant to the Second Amendment to Investment Agreement dated November 11, 2019 (the "2.00% November Amendment" and together with the 2.500% November Amendment, the "November Amendments"), Star is now restricted, subject to certain exceptions, from converting the 2.00% Convertible Notes prior to February 15, 2022. F14 · derivative.expiration_date: Prior to the modification to the 2.00% Convertible Notes, such 2.00% Convertible Notes were scheduled to mature on August 15, 2021 and following such modification, will instead mature on August 15, 2022, subject to earlier repurchase or conversion in accordance with their terms. F15 · derivative.underlying_shares: Upon conversion of the 2.00% Convertible Notes, the Issuer will deliver, at its election, cash, shares of Common Stock or a combination of cash and shares of Common Stock. This number represents the number of shares of Common Stock issuable upon conversion of the 2.00% Convertible Notes if the Issuer elects to settle its conversion obligation solely through delivering a number of shares of Common Stock at the current conversion rate of 48.9860 shares of Common Stock per $1,000 principal amount of 2.00% Convertible Notes. Assuming payment of the special dividend and the adjustment of the conversion rate of the Adjusted 2.00% Convertible Notes (as described above), the Issuer would instead deliver an estimated 97.7364 shares of Common Stock per $1,000 principal amount of Adjusted 2.00% Convertible Notes, or an aggregate of 24,434,100 shares of Common Stock for each $250 million principal amount of Adjusted 2.00% Convertible Notes held. F16 · derivative.underlying_shares: The conversion rate for both the 2.00% Convertible Notes is subject to adjustment from time to time upon the occurrence of certain customary events in accordance with the terms of the indentures governing the 2.00% Convertible Notes. F1 · valueOwnedAfter: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F2 · valueOwnedAfter: Pursuant to November Amendments to the Investment Agreements dated as of February 3, 2016 and June 12, 2016, the Issuer and the holders of the Convertible Notes agreed to, among other things, extend the maturity dates of the Convertible Notes from 2021 until 2022, and to provide that one half of the Convertible Notes will be exchanged for newly issued Convertible Notes that will receive payment of the special dividend in cash (in lieu of an adjustment to the conversion rate), which changes may be deemed to result in a deemed cancellation of the existing Convertible Notes and the issuance of new Convertible Notes for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, and which were exempt from Section 16(b) pursuant to Rule 16b-3. In the event the special dividend is not paid to stockholders of the Issuer prior to April 3, 2020 and to the holders of the Convertible Notes as described herein, the modifications described herein would be deemed null and void. F5 · ownership.nature: These securities are held by SLP IV Star Holdings, L.P. ("Star"). SLP IV Star GP, L.L.C. ("Star GP") is the general partner of Star. F6 · ownership.nature: Silver Lake Technology Associates IV Cayman, L.P. ("SLTA") is the sole member of each of Seal GP, Seal II GP and Star GP. Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP") is the general partner of SLTA. Mr. Kenneth Hao serves as a member of the board of directors of the Issuer and is a director of AIV GP. Each of Seal, Seal II, Star, Seal GP, Seal II GP, Star GP, SLTA and AIV GP may be deemed to be a director by deputization of the Issuer. Read SEC document
January 09, 2020 Filed Jan 10, 2020 21:32 UTC	Silver Lake (Offshore) AIV GP IV, Ltd.Director Silver Lake Technology Associates IV Cayman, L.P.Director SLP IV Seal GP, L.L.C.Director SLP IV Seal II GP, L.L.C.Director SLP IV Star GP, L.L.C.Director SLP IV Seal Holdings, L.P.Director SLP IV Seal II Holdings, L.P.Director SLP IV Star Holdings, L.P.Director Hao KennethDirector	Disposition to issuer2.00% Convertible Senior Notes due 2021 · Derivative	Not disclosed	Not disclosed Strike: $20.41	$500,000,000.00	Disclosure SEC source: 0000899243-20-000973 · doc4.xml · derivative · entry 7 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director SLP IV Seal GP, L.L.C. · CIK 0001668319 · Director SLP IV Seal II GP, L.L.C. · CIK 0001790691 · Director SLP IV Star GP, L.L.C. · CIK 0001680644 · Director SLP IV Seal Holdings, L.P. · CIK 0001668204 · Director SLP IV Seal II Holdings, L.P. · CIK 0001790690 · Director SLP IV Star Holdings, L.P. · CIK 0001680643 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP IV Star Holdings, L.P. Disclosed balance after: Not disclosed Underlying: Common Stock · 24,493,000 shares Expires not disclosed F1 · security: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F12 · derivative.exercise_price: The conversion rate for the 2.00% Convertible Notes currently in effect is 48.9860 per $1,000 principal amount of 2.00% Convertible Notes, which is equivalent to a conversion price of approximately $20.41 per share of Common Stock. With respect to one-half of the 2.00% Convertible Notes, the payment of the special dividend will be paid to holders in cash, on an as-converted to Common Stock basis, in lieu of an adjustment to the conversion rate, and with respect to the other half of the 2.00% Convertible Notes (the "Adjusted 2.00% Convertible Notes), the then current conversion rate will automatically adjust in connection with the payment of the special dividend as provided by the indenture governing such notes. Based on the current conversion rate of 48.9860, it is estimated that the automatic adjustment for the special dividend will result in a conversion rate of 97.7364, which is equivalent to a conversion price of approximately $10.23 per share. F1 · kind: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F2 · kind: Pursuant to November Amendments to the Investment Agreements dated as of February 3, 2016 and June 12, 2016, the Issuer and the holders of the Convertible Notes agreed to, among other things, extend the maturity dates of the Convertible Notes from 2021 until 2022, and to provide that one half of the Convertible Notes will be exchanged for newly issued Convertible Notes that will receive payment of the special dividend in cash (in lieu of an adjustment to the conversion rate), which changes may be deemed to result in a deemed cancellation of the existing Convertible Notes and the issuance of new Convertible Notes for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, and which were exempt from Section 16(b) pursuant to Rule 16b-3. In the event the special dividend is not paid to stockholders of the Issuer prior to April 3, 2020 and to the holders of the Convertible Notes as described herein, the modifications described herein would be deemed null and void. F1 · price: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F2 · price: Pursuant to November Amendments to the Investment Agreements dated as of February 3, 2016 and June 12, 2016, the Issuer and the holders of the Convertible Notes agreed to, among other things, extend the maturity dates of the Convertible Notes from 2021 until 2022, and to provide that one half of the Convertible Notes will be exchanged for newly issued Convertible Notes that will receive payment of the special dividend in cash (in lieu of an adjustment to the conversion rate), which changes may be deemed to result in a deemed cancellation of the existing Convertible Notes and the issuance of new Convertible Notes for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, and which were exempt from Section 16(b) pursuant to Rule 16b-3. In the event the special dividend is not paid to stockholders of the Issuer prior to April 3, 2020 and to the holders of the Convertible Notes as described herein, the modifications described herein would be deemed null and void. F13 · derivative.exercise_date: In accordance with an investment agreement, dated as of June 12, 2016, the 2.00% Convertible Notes were convertible by the holder beginning August 1, 2017, subject to certain exceptions. Pursuant to the Second Amendment to Investment Agreement dated November 11, 2019 (the "2.00% November Amendment" and together with the 2.500% November Amendment, the "November Amendments"), Star is now restricted, subject to certain exceptions, from converting the 2.00% Convertible Notes prior to February 15, 2022. F14 · derivative.expiration_date: Prior to the modification to the 2.00% Convertible Notes, such 2.00% Convertible Notes were scheduled to mature on August 15, 2021 and following such modification, will instead mature on August 15, 2022, subject to earlier repurchase or conversion in accordance with their terms. F15 · derivative.underlying_shares: Upon conversion of the 2.00% Convertible Notes, the Issuer will deliver, at its election, cash, shares of Common Stock or a combination of cash and shares of Common Stock. This number represents the number of shares of Common Stock issuable upon conversion of the 2.00% Convertible Notes if the Issuer elects to settle its conversion obligation solely through delivering a number of shares of Common Stock at the current conversion rate of 48.9860 shares of Common Stock per $1,000 principal amount of 2.00% Convertible Notes. Assuming payment of the special dividend and the adjustment of the conversion rate of the Adjusted 2.00% Convertible Notes (as described above), the Issuer would instead deliver an estimated 97.7364 shares of Common Stock per $1,000 principal amount of Adjusted 2.00% Convertible Notes, or an aggregate of 24,434,100 shares of Common Stock for each $250 million principal amount of Adjusted 2.00% Convertible Notes held. F16 · derivative.underlying_shares: The conversion rate for both the 2.00% Convertible Notes is subject to adjustment from time to time upon the occurrence of certain customary events in accordance with the terms of the indentures governing the 2.00% Convertible Notes. F1 · valueOwnedAfter: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F2 · valueOwnedAfter: Pursuant to November Amendments to the Investment Agreements dated as of February 3, 2016 and June 12, 2016, the Issuer and the holders of the Convertible Notes agreed to, among other things, extend the maturity dates of the Convertible Notes from 2021 until 2022, and to provide that one half of the Convertible Notes will be exchanged for newly issued Convertible Notes that will receive payment of the special dividend in cash (in lieu of an adjustment to the conversion rate), which changes may be deemed to result in a deemed cancellation of the existing Convertible Notes and the issuance of new Convertible Notes for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, and which were exempt from Section 16(b) pursuant to Rule 16b-3. In the event the special dividend is not paid to stockholders of the Issuer prior to April 3, 2020 and to the holders of the Convertible Notes as described herein, the modifications described herein would be deemed null and void. F5 · ownership.nature: These securities are held by SLP IV Star Holdings, L.P. ("Star"). SLP IV Star GP, L.L.C. ("Star GP") is the general partner of Star. F6 · ownership.nature: Silver Lake Technology Associates IV Cayman, L.P. ("SLTA") is the sole member of each of Seal GP, Seal II GP and Star GP. Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP") is the general partner of SLTA. Mr. Kenneth Hao serves as a member of the board of directors of the Issuer and is a director of AIV GP. Each of Seal, Seal II, Star, Seal GP, Seal II GP, Star GP, SLTA and AIV GP may be deemed to be a director by deputization of the Issuer. Read SEC document
January 09, 2020 Filed Jan 10, 2020 21:32 UTC	Silver Lake (Offshore) AIV GP IV, Ltd.Director Silver Lake Technology Associates IV Cayman, L.P.Director SLP IV Seal GP, L.L.C.Director SLP IV Seal II GP, L.L.C.Director SLP IV Star GP, L.L.C.Director SLP IV Seal Holdings, L.P.Director SLP IV Seal II Holdings, L.P.Director SLP IV Star Holdings, L.P.Director Hao KennethDirector	Grant2.500% Convertible Senior Notes due 2022 · Derivative	Not disclosed	Not disclosed Strike: $8.40	$125,000,000.00	Disclosure SEC source: 0000899243-20-000973 · doc4.xml · derivative · entry 6 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director SLP IV Seal GP, L.L.C. · CIK 0001668319 · Director SLP IV Seal II GP, L.L.C. · CIK 0001790691 · Director SLP IV Star GP, L.L.C. · CIK 0001680644 · Director SLP IV Seal Holdings, L.P. · CIK 0001668204 · Director SLP IV Seal II Holdings, L.P. · CIK 0001790690 · Director SLP IV Star Holdings, L.P. · CIK 0001680643 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP IV Seal II Holdings, L.P. Disclosed balance after: Not disclosed Underlying: Common Stock · 14,872,675 shares Expires not disclosed F1 · security: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F7 · derivative.exercise_price: The conversion rate for the 2.500% Convertible Notes currently in effect is 59.6341 per $1,000 principal amount of 2.500% Convertible Notes, which is equivalent to a conversion price of approximately $16.77 per share of the Issuer's common stock ("Common Stock"). With respect to one-half of the 2.500% Convertible Notes, the payment of the special dividend will be paid to holders in cash, on an as-converted basis, in lieu of an adjustment to the conversion rate, and with respect to the other half of the 2.500% Convertible Notes (the "Adjusted 2.500% Convertible Notes), the then current conversion rate will automatically adjust in connection with the payment of the special dividend as provided by the indenture governing such notes. Based on the current conversion rate of 59.6341, it is estimated that the automatic adjustment for the special dividend will result in a conversion rate of 118.9814, which is equivalent to a conversion price of approximately $8.40 per share. F1 · kind: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F2 · kind: Pursuant to November Amendments to the Investment Agreements dated as of February 3, 2016 and June 12, 2016, the Issuer and the holders of the Convertible Notes agreed to, among other things, extend the maturity dates of the Convertible Notes from 2021 until 2022, and to provide that one half of the Convertible Notes will be exchanged for newly issued Convertible Notes that will receive payment of the special dividend in cash (in lieu of an adjustment to the conversion rate), which changes may be deemed to result in a deemed cancellation of the existing Convertible Notes and the issuance of new Convertible Notes for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, and which were exempt from Section 16(b) pursuant to Rule 16b-3. In the event the special dividend is not paid to stockholders of the Issuer prior to April 3, 2020 and to the holders of the Convertible Notes as described herein, the modifications described herein would be deemed null and void. F1 · price: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F2 · price: Pursuant to November Amendments to the Investment Agreements dated as of February 3, 2016 and June 12, 2016, the Issuer and the holders of the Convertible Notes agreed to, among other things, extend the maturity dates of the Convertible Notes from 2021 until 2022, and to provide that one half of the Convertible Notes will be exchanged for newly issued Convertible Notes that will receive payment of the special dividend in cash (in lieu of an adjustment to the conversion rate), which changes may be deemed to result in a deemed cancellation of the existing Convertible Notes and the issuance of new Convertible Notes for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, and which were exempt from Section 16(b) pursuant to Rule 16b-3. In the event the special dividend is not paid to stockholders of the Issuer prior to April 3, 2020 and to the holders of the Convertible Notes as described herein, the modifications described herein would be deemed null and void. F8 · derivative.exercise_date: In accordance with an investment agreement, dated as of February 3, 2016, the 2.500% Convertible Notes were convertible by the holder beginning March 4, 2017, subject to certain exceptions. Pursuant to the Third Amendment to Investment Agreement dated November 11, 2019 (the "2.500% November Amendment"), Seal and Seal II are now restricted, subject to certain exceptions, from converting the 2.500% Convertible Notes prior to October 1, 2021. F9 · derivative.expiration_date: Prior to the modification to the 2.500% Convertible Notes, such 2.500% Convertible Notes were scheduled to mature on April 1, 2021 and following such modification, will instead mature on April 1, 2022, subject to earlier repurchase or conversion in accordance with their terms. F10 · derivative.underlying_shares: Upon conversion of the 2.500% Convertible Notes, the Issuer will deliver, at its election, cash, shares of Common Stock or a combination of cash and shares of Common Stock. This number represents the number of shares of Common Stock issuable upon conversion of the 2.500% Convertible Notes if the Issuer elects to settle its conversion obligation solely through delivering a number of shares of Common Stock at the current conversion rate of 59.6341 shares of Common Stock per $1,000 principal amount of 2.500% Convertible Notes. Assuming payment of the special dividend and the adjustment of the conversion rate of the Adjusted 2.500% Convertible Notes (as described above), the Issuer would instead deliver an estimated 118.9814 shares of Common Stock per $1,000 principal amount of Adjusted 2.500% Convertible Notes, or an aggregate of 14,872,675 shares of Common Stock for each $125 million principal amount of Adjusted 2.500% Convertible Notes held. F11 · derivative.underlying_shares: The conversion rate for both the 2.500% Convertible Notes is subject to adjustment from time to time upon the occurrence of certain customary events in accordance with the terms of the indentures governing the 2.500% Convertible Notes. F1 · valueOwnedAfter: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F2 · valueOwnedAfter: Pursuant to November Amendments to the Investment Agreements dated as of February 3, 2016 and June 12, 2016, the Issuer and the holders of the Convertible Notes agreed to, among other things, extend the maturity dates of the Convertible Notes from 2021 until 2022, and to provide that one half of the Convertible Notes will be exchanged for newly issued Convertible Notes that will receive payment of the special dividend in cash (in lieu of an adjustment to the conversion rate), which changes may be deemed to result in a deemed cancellation of the existing Convertible Notes and the issuance of new Convertible Notes for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, and which were exempt from Section 16(b) pursuant to Rule 16b-3. In the event the special dividend is not paid to stockholders of the Issuer prior to April 3, 2020 and to the holders of the Convertible Notes as described herein, the modifications described herein would be deemed null and void. F4 · ownership.nature: These securities are held by SLP IV Seal II Holdings, L.P. ("Seal II"). SLP IV Seal II GP, L.L.C. ("Seal II GP") is the general partner of Seal II. F6 · ownership.nature: Silver Lake Technology Associates IV Cayman, L.P. ("SLTA") is the sole member of each of Seal GP, Seal II GP and Star GP. Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP") is the general partner of SLTA. Mr. Kenneth Hao serves as a member of the board of directors of the Issuer and is a director of AIV GP. Each of Seal, Seal II, Star, Seal GP, Seal II GP, Star GP, SLTA and AIV GP may be deemed to be a director by deputization of the Issuer. Read SEC document
January 09, 2020 Filed Jan 10, 2020 21:32 UTC	Silver Lake (Offshore) AIV GP IV, Ltd.Director Silver Lake Technology Associates IV Cayman, L.P.Director SLP IV Seal GP, L.L.C.Director SLP IV Seal II GP, L.L.C.Director SLP IV Star GP, L.L.C.Director SLP IV Seal Holdings, L.P.Director SLP IV Seal II Holdings, L.P.Director SLP IV Star Holdings, L.P.Director Hao KennethDirector	Grant2.500% Convertible Senior Notes due 2022 · Derivative	Not disclosed	Not disclosed Strike: $16.77	$125,000,000.00	Disclosure SEC source: 0000899243-20-000973 · doc4.xml · derivative · entry 5 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director SLP IV Seal GP, L.L.C. · CIK 0001668319 · Director SLP IV Seal II GP, L.L.C. · CIK 0001790691 · Director SLP IV Star GP, L.L.C. · CIK 0001680644 · Director SLP IV Seal Holdings, L.P. · CIK 0001668204 · Director SLP IV Seal II Holdings, L.P. · CIK 0001790690 · Director SLP IV Star Holdings, L.P. · CIK 0001680643 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP IV Seal II Holdings, L.P. Disclosed balance after: Not disclosed Underlying: Common Stock · 7,454,262 shares Expires not disclosed F1 · security: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F7 · derivative.exercise_price: The conversion rate for the 2.500% Convertible Notes currently in effect is 59.6341 per $1,000 principal amount of 2.500% Convertible Notes, which is equivalent to a conversion price of approximately $16.77 per share of the Issuer's common stock ("Common Stock"). With respect to one-half of the 2.500% Convertible Notes, the payment of the special dividend will be paid to holders in cash, on an as-converted basis, in lieu of an adjustment to the conversion rate, and with respect to the other half of the 2.500% Convertible Notes (the "Adjusted 2.500% Convertible Notes), the then current conversion rate will automatically adjust in connection with the payment of the special dividend as provided by the indenture governing such notes. Based on the current conversion rate of 59.6341, it is estimated that the automatic adjustment for the special dividend will result in a conversion rate of 118.9814, which is equivalent to a conversion price of approximately $8.40 per share. F1 · kind: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F2 · kind: Pursuant to November Amendments to the Investment Agreements dated as of February 3, 2016 and June 12, 2016, the Issuer and the holders of the Convertible Notes agreed to, among other things, extend the maturity dates of the Convertible Notes from 2021 until 2022, and to provide that one half of the Convertible Notes will be exchanged for newly issued Convertible Notes that will receive payment of the special dividend in cash (in lieu of an adjustment to the conversion rate), which changes may be deemed to result in a deemed cancellation of the existing Convertible Notes and the issuance of new Convertible Notes for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, and which were exempt from Section 16(b) pursuant to Rule 16b-3. In the event the special dividend is not paid to stockholders of the Issuer prior to April 3, 2020 and to the holders of the Convertible Notes as described herein, the modifications described herein would be deemed null and void. F1 · price: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F2 · price: Pursuant to November Amendments to the Investment Agreements dated as of February 3, 2016 and June 12, 2016, the Issuer and the holders of the Convertible Notes agreed to, among other things, extend the maturity dates of the Convertible Notes from 2021 until 2022, and to provide that one half of the Convertible Notes will be exchanged for newly issued Convertible Notes that will receive payment of the special dividend in cash (in lieu of an adjustment to the conversion rate), which changes may be deemed to result in a deemed cancellation of the existing Convertible Notes and the issuance of new Convertible Notes for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, and which were exempt from Section 16(b) pursuant to Rule 16b-3. In the event the special dividend is not paid to stockholders of the Issuer prior to April 3, 2020 and to the holders of the Convertible Notes as described herein, the modifications described herein would be deemed null and void. F8 · derivative.exercise_date: In accordance with an investment agreement, dated as of February 3, 2016, the 2.500% Convertible Notes were convertible by the holder beginning March 4, 2017, subject to certain exceptions. Pursuant to the Third Amendment to Investment Agreement dated November 11, 2019 (the "2.500% November Amendment"), Seal and Seal II are now restricted, subject to certain exceptions, from converting the 2.500% Convertible Notes prior to October 1, 2021. F9 · derivative.expiration_date: Prior to the modification to the 2.500% Convertible Notes, such 2.500% Convertible Notes were scheduled to mature on April 1, 2021 and following such modification, will instead mature on April 1, 2022, subject to earlier repurchase or conversion in accordance with their terms. F10 · derivative.underlying_shares: Upon conversion of the 2.500% Convertible Notes, the Issuer will deliver, at its election, cash, shares of Common Stock or a combination of cash and shares of Common Stock. This number represents the number of shares of Common Stock issuable upon conversion of the 2.500% Convertible Notes if the Issuer elects to settle its conversion obligation solely through delivering a number of shares of Common Stock at the current conversion rate of 59.6341 shares of Common Stock per $1,000 principal amount of 2.500% Convertible Notes. Assuming payment of the special dividend and the adjustment of the conversion rate of the Adjusted 2.500% Convertible Notes (as described above), the Issuer would instead deliver an estimated 118.9814 shares of Common Stock per $1,000 principal amount of Adjusted 2.500% Convertible Notes, or an aggregate of 14,872,675 shares of Common Stock for each $125 million principal amount of Adjusted 2.500% Convertible Notes held. F11 · derivative.underlying_shares: The conversion rate for both the 2.500% Convertible Notes is subject to adjustment from time to time upon the occurrence of certain customary events in accordance with the terms of the indentures governing the 2.500% Convertible Notes. F1 · valueOwnedAfter: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F2 · valueOwnedAfter: Pursuant to November Amendments to the Investment Agreements dated as of February 3, 2016 and June 12, 2016, the Issuer and the holders of the Convertible Notes agreed to, among other things, extend the maturity dates of the Convertible Notes from 2021 until 2022, and to provide that one half of the Convertible Notes will be exchanged for newly issued Convertible Notes that will receive payment of the special dividend in cash (in lieu of an adjustment to the conversion rate), which changes may be deemed to result in a deemed cancellation of the existing Convertible Notes and the issuance of new Convertible Notes for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, and which were exempt from Section 16(b) pursuant to Rule 16b-3. In the event the special dividend is not paid to stockholders of the Issuer prior to April 3, 2020 and to the holders of the Convertible Notes as described herein, the modifications described herein would be deemed null and void. F4 · ownership.nature: These securities are held by SLP IV Seal II Holdings, L.P. ("Seal II"). SLP IV Seal II GP, L.L.C. ("Seal II GP") is the general partner of Seal II. F6 · ownership.nature: Silver Lake Technology Associates IV Cayman, L.P. ("SLTA") is the sole member of each of Seal GP, Seal II GP and Star GP. Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP") is the general partner of SLTA. Mr. Kenneth Hao serves as a member of the board of directors of the Issuer and is a director of AIV GP. Each of Seal, Seal II, Star, Seal GP, Seal II GP, Star GP, SLTA and AIV GP may be deemed to be a director by deputization of the Issuer. Read SEC document
January 09, 2020 Filed Jan 10, 2020 21:32 UTC	Silver Lake (Offshore) AIV GP IV, Ltd.Director Silver Lake Technology Associates IV Cayman, L.P.Director SLP IV Seal GP, L.L.C.Director SLP IV Seal II GP, L.L.C.Director SLP IV Star GP, L.L.C.Director SLP IV Seal Holdings, L.P.Director SLP IV Seal II Holdings, L.P.Director SLP IV Star Holdings, L.P.Director Hao KennethDirector	Disposition to issuer2.500% Convertible Senior Notes due 2021 · Derivative	Not disclosed	Not disclosed Strike: $16.77	$250,000,000.00	Disclosure SEC source: 0000899243-20-000973 · doc4.xml · derivative · entry 4 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director SLP IV Seal GP, L.L.C. · CIK 0001668319 · Director SLP IV Seal II GP, L.L.C. · CIK 0001790691 · Director SLP IV Star GP, L.L.C. · CIK 0001680644 · Director SLP IV Seal Holdings, L.P. · CIK 0001668204 · Director SLP IV Seal II Holdings, L.P. · CIK 0001790690 · Director SLP IV Star Holdings, L.P. · CIK 0001680643 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP IV Seal II Holdings, L.P. Disclosed balance after: Not disclosed Underlying: Common Stock · 14,908,525 shares Expires not disclosed F1 · security: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F7 · derivative.exercise_price: The conversion rate for the 2.500% Convertible Notes currently in effect is 59.6341 per $1,000 principal amount of 2.500% Convertible Notes, which is equivalent to a conversion price of approximately $16.77 per share of the Issuer's common stock ("Common Stock"). With respect to one-half of the 2.500% Convertible Notes, the payment of the special dividend will be paid to holders in cash, on an as-converted basis, in lieu of an adjustment to the conversion rate, and with respect to the other half of the 2.500% Convertible Notes (the "Adjusted 2.500% Convertible Notes), the then current conversion rate will automatically adjust in connection with the payment of the special dividend as provided by the indenture governing such notes. Based on the current conversion rate of 59.6341, it is estimated that the automatic adjustment for the special dividend will result in a conversion rate of 118.9814, which is equivalent to a conversion price of approximately $8.40 per share. F1 · kind: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F2 · kind: Pursuant to November Amendments to the Investment Agreements dated as of February 3, 2016 and June 12, 2016, the Issuer and the holders of the Convertible Notes agreed to, among other things, extend the maturity dates of the Convertible Notes from 2021 until 2022, and to provide that one half of the Convertible Notes will be exchanged for newly issued Convertible Notes that will receive payment of the special dividend in cash (in lieu of an adjustment to the conversion rate), which changes may be deemed to result in a deemed cancellation of the existing Convertible Notes and the issuance of new Convertible Notes for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, and which were exempt from Section 16(b) pursuant to Rule 16b-3. In the event the special dividend is not paid to stockholders of the Issuer prior to April 3, 2020 and to the holders of the Convertible Notes as described herein, the modifications described herein would be deemed null and void. F1 · price: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F2 · price: Pursuant to November Amendments to the Investment Agreements dated as of February 3, 2016 and June 12, 2016, the Issuer and the holders of the Convertible Notes agreed to, among other things, extend the maturity dates of the Convertible Notes from 2021 until 2022, and to provide that one half of the Convertible Notes will be exchanged for newly issued Convertible Notes that will receive payment of the special dividend in cash (in lieu of an adjustment to the conversion rate), which changes may be deemed to result in a deemed cancellation of the existing Convertible Notes and the issuance of new Convertible Notes for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, and which were exempt from Section 16(b) pursuant to Rule 16b-3. In the event the special dividend is not paid to stockholders of the Issuer prior to April 3, 2020 and to the holders of the Convertible Notes as described herein, the modifications described herein would be deemed null and void. F8 · derivative.exercise_date: In accordance with an investment agreement, dated as of February 3, 2016, the 2.500% Convertible Notes were convertible by the holder beginning March 4, 2017, subject to certain exceptions. Pursuant to the Third Amendment to Investment Agreement dated November 11, 2019 (the "2.500% November Amendment"), Seal and Seal II are now restricted, subject to certain exceptions, from converting the 2.500% Convertible Notes prior to October 1, 2021. F9 · derivative.expiration_date: Prior to the modification to the 2.500% Convertible Notes, such 2.500% Convertible Notes were scheduled to mature on April 1, 2021 and following such modification, will instead mature on April 1, 2022, subject to earlier repurchase or conversion in accordance with their terms. F10 · derivative.underlying_shares: Upon conversion of the 2.500% Convertible Notes, the Issuer will deliver, at its election, cash, shares of Common Stock or a combination of cash and shares of Common Stock. This number represents the number of shares of Common Stock issuable upon conversion of the 2.500% Convertible Notes if the Issuer elects to settle its conversion obligation solely through delivering a number of shares of Common Stock at the current conversion rate of 59.6341 shares of Common Stock per $1,000 principal amount of 2.500% Convertible Notes. Assuming payment of the special dividend and the adjustment of the conversion rate of the Adjusted 2.500% Convertible Notes (as described above), the Issuer would instead deliver an estimated 118.9814 shares of Common Stock per $1,000 principal amount of Adjusted 2.500% Convertible Notes, or an aggregate of 14,872,675 shares of Common Stock for each $125 million principal amount of Adjusted 2.500% Convertible Notes held. F11 · derivative.underlying_shares: The conversion rate for both the 2.500% Convertible Notes is subject to adjustment from time to time upon the occurrence of certain customary events in accordance with the terms of the indentures governing the 2.500% Convertible Notes. F1 · valueOwnedAfter: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F2 · valueOwnedAfter: Pursuant to November Amendments to the Investment Agreements dated as of February 3, 2016 and June 12, 2016, the Issuer and the holders of the Convertible Notes agreed to, among other things, extend the maturity dates of the Convertible Notes from 2021 until 2022, and to provide that one half of the Convertible Notes will be exchanged for newly issued Convertible Notes that will receive payment of the special dividend in cash (in lieu of an adjustment to the conversion rate), which changes may be deemed to result in a deemed cancellation of the existing Convertible Notes and the issuance of new Convertible Notes for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, and which were exempt from Section 16(b) pursuant to Rule 16b-3. In the event the special dividend is not paid to stockholders of the Issuer prior to April 3, 2020 and to the holders of the Convertible Notes as described herein, the modifications described herein would be deemed null and void. F4 · ownership.nature: These securities are held by SLP IV Seal II Holdings, L.P. ("Seal II"). SLP IV Seal II GP, L.L.C. ("Seal II GP") is the general partner of Seal II. F6 · ownership.nature: Silver Lake Technology Associates IV Cayman, L.P. ("SLTA") is the sole member of each of Seal GP, Seal II GP and Star GP. Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP") is the general partner of SLTA. Mr. Kenneth Hao serves as a member of the board of directors of the Issuer and is a director of AIV GP. Each of Seal, Seal II, Star, Seal GP, Seal II GP, Star GP, SLTA and AIV GP may be deemed to be a director by deputization of the Issuer. Read SEC document
January 09, 2020 Filed Jan 10, 2020 21:32 UTC	Silver Lake (Offshore) AIV GP IV, Ltd.Director Silver Lake Technology Associates IV Cayman, L.P.Director SLP IV Seal GP, L.L.C.Director SLP IV Seal II GP, L.L.C.Director SLP IV Star GP, L.L.C.Director SLP IV Seal Holdings, L.P.Director SLP IV Seal II Holdings, L.P.Director SLP IV Star Holdings, L.P.Director Hao KennethDirector	Grant2.500% Convertible Senior Notes due 2022 · Derivative	Not disclosed	Not disclosed Strike: $8.40	$125,000,000.00	Disclosure SEC source: 0000899243-20-000973 · doc4.xml · derivative · entry 3 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director SLP IV Seal GP, L.L.C. · CIK 0001668319 · Director SLP IV Seal II GP, L.L.C. · CIK 0001790691 · Director SLP IV Star GP, L.L.C. · CIK 0001680644 · Director SLP IV Seal Holdings, L.P. · CIK 0001668204 · Director SLP IV Seal II Holdings, L.P. · CIK 0001790690 · Director SLP IV Star Holdings, L.P. · CIK 0001680643 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP IV Seal Holdings, L.P. Disclosed balance after: Not disclosed Underlying: Common Stock · 14,872,675 shares Expires not disclosed F1 · security: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F7 · derivative.exercise_price: The conversion rate for the 2.500% Convertible Notes currently in effect is 59.6341 per $1,000 principal amount of 2.500% Convertible Notes, which is equivalent to a conversion price of approximately $16.77 per share of the Issuer's common stock ("Common Stock"). With respect to one-half of the 2.500% Convertible Notes, the payment of the special dividend will be paid to holders in cash, on an as-converted basis, in lieu of an adjustment to the conversion rate, and with respect to the other half of the 2.500% Convertible Notes (the "Adjusted 2.500% Convertible Notes), the then current conversion rate will automatically adjust in connection with the payment of the special dividend as provided by the indenture governing such notes. Based on the current conversion rate of 59.6341, it is estimated that the automatic adjustment for the special dividend will result in a conversion rate of 118.9814, which is equivalent to a conversion price of approximately $8.40 per share. F1 · kind: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F2 · kind: Pursuant to November Amendments to the Investment Agreements dated as of February 3, 2016 and June 12, 2016, the Issuer and the holders of the Convertible Notes agreed to, among other things, extend the maturity dates of the Convertible Notes from 2021 until 2022, and to provide that one half of the Convertible Notes will be exchanged for newly issued Convertible Notes that will receive payment of the special dividend in cash (in lieu of an adjustment to the conversion rate), which changes may be deemed to result in a deemed cancellation of the existing Convertible Notes and the issuance of new Convertible Notes for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, and which were exempt from Section 16(b) pursuant to Rule 16b-3. In the event the special dividend is not paid to stockholders of the Issuer prior to April 3, 2020 and to the holders of the Convertible Notes as described herein, the modifications described herein would be deemed null and void. F1 · price: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F2 · price: Pursuant to November Amendments to the Investment Agreements dated as of February 3, 2016 and June 12, 2016, the Issuer and the holders of the Convertible Notes agreed to, among other things, extend the maturity dates of the Convertible Notes from 2021 until 2022, and to provide that one half of the Convertible Notes will be exchanged for newly issued Convertible Notes that will receive payment of the special dividend in cash (in lieu of an adjustment to the conversion rate), which changes may be deemed to result in a deemed cancellation of the existing Convertible Notes and the issuance of new Convertible Notes for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, and which were exempt from Section 16(b) pursuant to Rule 16b-3. In the event the special dividend is not paid to stockholders of the Issuer prior to April 3, 2020 and to the holders of the Convertible Notes as described herein, the modifications described herein would be deemed null and void. F8 · derivative.exercise_date: In accordance with an investment agreement, dated as of February 3, 2016, the 2.500% Convertible Notes were convertible by the holder beginning March 4, 2017, subject to certain exceptions. Pursuant to the Third Amendment to Investment Agreement dated November 11, 2019 (the "2.500% November Amendment"), Seal and Seal II are now restricted, subject to certain exceptions, from converting the 2.500% Convertible Notes prior to October 1, 2021. F9 · derivative.expiration_date: Prior to the modification to the 2.500% Convertible Notes, such 2.500% Convertible Notes were scheduled to mature on April 1, 2021 and following such modification, will instead mature on April 1, 2022, subject to earlier repurchase or conversion in accordance with their terms. F10 · derivative.underlying_shares: Upon conversion of the 2.500% Convertible Notes, the Issuer will deliver, at its election, cash, shares of Common Stock or a combination of cash and shares of Common Stock. This number represents the number of shares of Common Stock issuable upon conversion of the 2.500% Convertible Notes if the Issuer elects to settle its conversion obligation solely through delivering a number of shares of Common Stock at the current conversion rate of 59.6341 shares of Common Stock per $1,000 principal amount of 2.500% Convertible Notes. Assuming payment of the special dividend and the adjustment of the conversion rate of the Adjusted 2.500% Convertible Notes (as described above), the Issuer would instead deliver an estimated 118.9814 shares of Common Stock per $1,000 principal amount of Adjusted 2.500% Convertible Notes, or an aggregate of 14,872,675 shares of Common Stock for each $125 million principal amount of Adjusted 2.500% Convertible Notes held. F11 · derivative.underlying_shares: The conversion rate for both the 2.500% Convertible Notes is subject to adjustment from time to time upon the occurrence of certain customary events in accordance with the terms of the indentures governing the 2.500% Convertible Notes. F1 · valueOwnedAfter: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F2 · valueOwnedAfter: Pursuant to November Amendments to the Investment Agreements dated as of February 3, 2016 and June 12, 2016, the Issuer and the holders of the Convertible Notes agreed to, among other things, extend the maturity dates of the Convertible Notes from 2021 until 2022, and to provide that one half of the Convertible Notes will be exchanged for newly issued Convertible Notes that will receive payment of the special dividend in cash (in lieu of an adjustment to the conversion rate), which changes may be deemed to result in a deemed cancellation of the existing Convertible Notes and the issuance of new Convertible Notes for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, and which were exempt from Section 16(b) pursuant to Rule 16b-3. In the event the special dividend is not paid to stockholders of the Issuer prior to April 3, 2020 and to the holders of the Convertible Notes as described herein, the modifications described herein would be deemed null and void. F3 · ownership.nature: These securities are held by SLP IV Seal Holdings, L.P. ("Seal"). SLP IV Seal GP, L.L.C. ("Seal GP") is the general partner of Seal. F6 · ownership.nature: Silver Lake Technology Associates IV Cayman, L.P. ("SLTA") is the sole member of each of Seal GP, Seal II GP and Star GP. Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP") is the general partner of SLTA. Mr. Kenneth Hao serves as a member of the board of directors of the Issuer and is a director of AIV GP. Each of Seal, Seal II, Star, Seal GP, Seal II GP, Star GP, SLTA and AIV GP may be deemed to be a director by deputization of the Issuer. Read SEC document
January 09, 2020 Filed Jan 10, 2020 21:32 UTC	Silver Lake (Offshore) AIV GP IV, Ltd.Director Silver Lake Technology Associates IV Cayman, L.P.Director SLP IV Seal GP, L.L.C.Director SLP IV Seal II GP, L.L.C.Director SLP IV Star GP, L.L.C.Director SLP IV Seal Holdings, L.P.Director SLP IV Seal II Holdings, L.P.Director SLP IV Star Holdings, L.P.Director Hao KennethDirector	Grant2.500% Convertible Senior Notes due 2022 · Derivative	Not disclosed	Not disclosed Strike: $16.77	$125,000,000.00	Disclosure SEC source: 0000899243-20-000973 · doc4.xml · derivative · entry 2 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director SLP IV Seal GP, L.L.C. · CIK 0001668319 · Director SLP IV Seal II GP, L.L.C. · CIK 0001790691 · Director SLP IV Star GP, L.L.C. · CIK 0001680644 · Director SLP IV Seal Holdings, L.P. · CIK 0001668204 · Director SLP IV Seal II Holdings, L.P. · CIK 0001790690 · Director SLP IV Star Holdings, L.P. · CIK 0001680643 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP IV Seal Holdings, L.P. Disclosed balance after: Not disclosed Underlying: Common Stock · 7,454,262 shares Expires not disclosed F1 · security: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F7 · derivative.exercise_price: The conversion rate for the 2.500% Convertible Notes currently in effect is 59.6341 per $1,000 principal amount of 2.500% Convertible Notes, which is equivalent to a conversion price of approximately $16.77 per share of the Issuer's common stock ("Common Stock"). With respect to one-half of the 2.500% Convertible Notes, the payment of the special dividend will be paid to holders in cash, on an as-converted basis, in lieu of an adjustment to the conversion rate, and with respect to the other half of the 2.500% Convertible Notes (the "Adjusted 2.500% Convertible Notes), the then current conversion rate will automatically adjust in connection with the payment of the special dividend as provided by the indenture governing such notes. Based on the current conversion rate of 59.6341, it is estimated that the automatic adjustment for the special dividend will result in a conversion rate of 118.9814, which is equivalent to a conversion price of approximately $8.40 per share. F1 · kind: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F2 · kind: Pursuant to November Amendments to the Investment Agreements dated as of February 3, 2016 and June 12, 2016, the Issuer and the holders of the Convertible Notes agreed to, among other things, extend the maturity dates of the Convertible Notes from 2021 until 2022, and to provide that one half of the Convertible Notes will be exchanged for newly issued Convertible Notes that will receive payment of the special dividend in cash (in lieu of an adjustment to the conversion rate), which changes may be deemed to result in a deemed cancellation of the existing Convertible Notes and the issuance of new Convertible Notes for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, and which were exempt from Section 16(b) pursuant to Rule 16b-3. In the event the special dividend is not paid to stockholders of the Issuer prior to April 3, 2020 and to the holders of the Convertible Notes as described herein, the modifications described herein would be deemed null and void. F1 · price: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F2 · price: Pursuant to November Amendments to the Investment Agreements dated as of February 3, 2016 and June 12, 2016, the Issuer and the holders of the Convertible Notes agreed to, among other things, extend the maturity dates of the Convertible Notes from 2021 until 2022, and to provide that one half of the Convertible Notes will be exchanged for newly issued Convertible Notes that will receive payment of the special dividend in cash (in lieu of an adjustment to the conversion rate), which changes may be deemed to result in a deemed cancellation of the existing Convertible Notes and the issuance of new Convertible Notes for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, and which were exempt from Section 16(b) pursuant to Rule 16b-3. In the event the special dividend is not paid to stockholders of the Issuer prior to April 3, 2020 and to the holders of the Convertible Notes as described herein, the modifications described herein would be deemed null and void. F8 · derivative.exercise_date: In accordance with an investment agreement, dated as of February 3, 2016, the 2.500% Convertible Notes were convertible by the holder beginning March 4, 2017, subject to certain exceptions. Pursuant to the Third Amendment to Investment Agreement dated November 11, 2019 (the "2.500% November Amendment"), Seal and Seal II are now restricted, subject to certain exceptions, from converting the 2.500% Convertible Notes prior to October 1, 2021. F9 · derivative.expiration_date: Prior to the modification to the 2.500% Convertible Notes, such 2.500% Convertible Notes were scheduled to mature on April 1, 2021 and following such modification, will instead mature on April 1, 2022, subject to earlier repurchase or conversion in accordance with their terms. F10 · derivative.underlying_shares: Upon conversion of the 2.500% Convertible Notes, the Issuer will deliver, at its election, cash, shares of Common Stock or a combination of cash and shares of Common Stock. This number represents the number of shares of Common Stock issuable upon conversion of the 2.500% Convertible Notes if the Issuer elects to settle its conversion obligation solely through delivering a number of shares of Common Stock at the current conversion rate of 59.6341 shares of Common Stock per $1,000 principal amount of 2.500% Convertible Notes. Assuming payment of the special dividend and the adjustment of the conversion rate of the Adjusted 2.500% Convertible Notes (as described above), the Issuer would instead deliver an estimated 118.9814 shares of Common Stock per $1,000 principal amount of Adjusted 2.500% Convertible Notes, or an aggregate of 14,872,675 shares of Common Stock for each $125 million principal amount of Adjusted 2.500% Convertible Notes held. F11 · derivative.underlying_shares: The conversion rate for both the 2.500% Convertible Notes is subject to adjustment from time to time upon the occurrence of certain customary events in accordance with the terms of the indentures governing the 2.500% Convertible Notes. F1 · valueOwnedAfter: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F2 · valueOwnedAfter: Pursuant to November Amendments to the Investment Agreements dated as of February 3, 2016 and June 12, 2016, the Issuer and the holders of the Convertible Notes agreed to, among other things, extend the maturity dates of the Convertible Notes from 2021 until 2022, and to provide that one half of the Convertible Notes will be exchanged for newly issued Convertible Notes that will receive payment of the special dividend in cash (in lieu of an adjustment to the conversion rate), which changes may be deemed to result in a deemed cancellation of the existing Convertible Notes and the issuance of new Convertible Notes for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, and which were exempt from Section 16(b) pursuant to Rule 16b-3. In the event the special dividend is not paid to stockholders of the Issuer prior to April 3, 2020 and to the holders of the Convertible Notes as described herein, the modifications described herein would be deemed null and void. F3 · ownership.nature: These securities are held by SLP IV Seal Holdings, L.P. ("Seal"). SLP IV Seal GP, L.L.C. ("Seal GP") is the general partner of Seal. F6 · ownership.nature: Silver Lake Technology Associates IV Cayman, L.P. ("SLTA") is the sole member of each of Seal GP, Seal II GP and Star GP. Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP") is the general partner of SLTA. Mr. Kenneth Hao serves as a member of the board of directors of the Issuer and is a director of AIV GP. Each of Seal, Seal II, Star, Seal GP, Seal II GP, Star GP, SLTA and AIV GP may be deemed to be a director by deputization of the Issuer. Read SEC document
January 09, 2020 Filed Jan 10, 2020 21:32 UTC	Silver Lake (Offshore) AIV GP IV, Ltd.Director Silver Lake Technology Associates IV Cayman, L.P.Director SLP IV Seal GP, L.L.C.Director SLP IV Seal II GP, L.L.C.Director SLP IV Star GP, L.L.C.Director SLP IV Seal Holdings, L.P.Director SLP IV Seal II Holdings, L.P.Director SLP IV Star Holdings, L.P.Director Hao KennethDirector	Disposition to issuer2.500% Convertible Senior Notes due 2021 · Derivative	Not disclosed	Not disclosed Strike: $16.77	$250,000,000.00	Disclosure SEC source: 0000899243-20-000973 · doc4.xml · derivative · entry 1 Silver Lake (Offshore) AIV GP IV, Ltd. · CIK 0001607376 · Director Silver Lake Technology Associates IV Cayman, L.P. · CIK 0001607377 · Director SLP IV Seal GP, L.L.C. · CIK 0001668319 · Director SLP IV Seal II GP, L.L.C. · CIK 0001790691 · Director SLP IV Star GP, L.L.C. · CIK 0001680644 · Director SLP IV Seal Holdings, L.P. · CIK 0001668204 · Director SLP IV Seal II Holdings, L.P. · CIK 0001790690 · Director SLP IV Star Holdings, L.P. · CIK 0001680643 · Director Hao Kenneth · CIK 0001415357 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP IV Seal Holdings, L.P. Disclosed balance after: Not disclosed Underlying: Common Stock · 14,908,525 shares Expires not disclosed F1 · security: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F7 · derivative.exercise_price: The conversion rate for the 2.500% Convertible Notes currently in effect is 59.6341 per $1,000 principal amount of 2.500% Convertible Notes, which is equivalent to a conversion price of approximately $16.77 per share of the Issuer's common stock ("Common Stock"). With respect to one-half of the 2.500% Convertible Notes, the payment of the special dividend will be paid to holders in cash, on an as-converted basis, in lieu of an adjustment to the conversion rate, and with respect to the other half of the 2.500% Convertible Notes (the "Adjusted 2.500% Convertible Notes), the then current conversion rate will automatically adjust in connection with the payment of the special dividend as provided by the indenture governing such notes. Based on the current conversion rate of 59.6341, it is estimated that the automatic adjustment for the special dividend will result in a conversion rate of 118.9814, which is equivalent to a conversion price of approximately $8.40 per share. F1 · kind: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F2 · kind: Pursuant to November Amendments to the Investment Agreements dated as of February 3, 2016 and June 12, 2016, the Issuer and the holders of the Convertible Notes agreed to, among other things, extend the maturity dates of the Convertible Notes from 2021 until 2022, and to provide that one half of the Convertible Notes will be exchanged for newly issued Convertible Notes that will receive payment of the special dividend in cash (in lieu of an adjustment to the conversion rate), which changes may be deemed to result in a deemed cancellation of the existing Convertible Notes and the issuance of new Convertible Notes for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, and which were exempt from Section 16(b) pursuant to Rule 16b-3. In the event the special dividend is not paid to stockholders of the Issuer prior to April 3, 2020 and to the holders of the Convertible Notes as described herein, the modifications described herein would be deemed null and void. F1 · price: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F2 · price: Pursuant to November Amendments to the Investment Agreements dated as of February 3, 2016 and June 12, 2016, the Issuer and the holders of the Convertible Notes agreed to, among other things, extend the maturity dates of the Convertible Notes from 2021 until 2022, and to provide that one half of the Convertible Notes will be exchanged for newly issued Convertible Notes that will receive payment of the special dividend in cash (in lieu of an adjustment to the conversion rate), which changes may be deemed to result in a deemed cancellation of the existing Convertible Notes and the issuance of new Convertible Notes for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, and which were exempt from Section 16(b) pursuant to Rule 16b-3. In the event the special dividend is not paid to stockholders of the Issuer prior to April 3, 2020 and to the holders of the Convertible Notes as described herein, the modifications described herein would be deemed null and void. F8 · derivative.exercise_date: In accordance with an investment agreement, dated as of February 3, 2016, the 2.500% Convertible Notes were convertible by the holder beginning March 4, 2017, subject to certain exceptions. Pursuant to the Third Amendment to Investment Agreement dated November 11, 2019 (the "2.500% November Amendment"), Seal and Seal II are now restricted, subject to certain exceptions, from converting the 2.500% Convertible Notes prior to October 1, 2021. F9 · derivative.expiration_date: Prior to the modification to the 2.500% Convertible Notes, such 2.500% Convertible Notes were scheduled to mature on April 1, 2021 and following such modification, will instead mature on April 1, 2022, subject to earlier repurchase or conversion in accordance with their terms. F10 · derivative.underlying_shares: Upon conversion of the 2.500% Convertible Notes, the Issuer will deliver, at its election, cash, shares of Common Stock or a combination of cash and shares of Common Stock. This number represents the number of shares of Common Stock issuable upon conversion of the 2.500% Convertible Notes if the Issuer elects to settle its conversion obligation solely through delivering a number of shares of Common Stock at the current conversion rate of 59.6341 shares of Common Stock per $1,000 principal amount of 2.500% Convertible Notes. Assuming payment of the special dividend and the adjustment of the conversion rate of the Adjusted 2.500% Convertible Notes (as described above), the Issuer would instead deliver an estimated 118.9814 shares of Common Stock per $1,000 principal amount of Adjusted 2.500% Convertible Notes, or an aggregate of 14,872,675 shares of Common Stock for each $125 million principal amount of Adjusted 2.500% Convertible Notes held. F11 · derivative.underlying_shares: The conversion rate for both the 2.500% Convertible Notes is subject to adjustment from time to time upon the occurrence of certain customary events in accordance with the terms of the indentures governing the 2.500% Convertible Notes. F1 · valueOwnedAfter: As disclosed by NortonLifeLock Inc. (formerly known as Symantec Corporation) (the "Issuer") in a Current Report on Form 8-K, dated November 12, 2019 (the "Current Report"), the Issuer and holders of the Issuers 2.500% Convertible Senior Notes ("2.500% Convertible Notes") and 2.00% Convertible Senior Notes ("2.00% Convertible Notes" and together with the 2.500% Convertible Notes, the "Convertible Notes") agreed to amend the terms of the Convertible Notes in connection with the payment of a special dividend to the Issuer's stockholders, if declared by the Board of Directors. The aggregate amount of Convertible Notes held by Silver Lake and/or its affiliates has not changed since the date of original acquisition, and is not changing now. On January 9, 2020, the Board of Directors of the Issuer declared the special dividend of $12.00 per share. F2 · valueOwnedAfter: Pursuant to November Amendments to the Investment Agreements dated as of February 3, 2016 and June 12, 2016, the Issuer and the holders of the Convertible Notes agreed to, among other things, extend the maturity dates of the Convertible Notes from 2021 until 2022, and to provide that one half of the Convertible Notes will be exchanged for newly issued Convertible Notes that will receive payment of the special dividend in cash (in lieu of an adjustment to the conversion rate), which changes may be deemed to result in a deemed cancellation of the existing Convertible Notes and the issuance of new Convertible Notes for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, and which were exempt from Section 16(b) pursuant to Rule 16b-3. In the event the special dividend is not paid to stockholders of the Issuer prior to April 3, 2020 and to the holders of the Convertible Notes as described herein, the modifications described herein would be deemed null and void. F3 · ownership.nature: These securities are held by SLP IV Seal Holdings, L.P. ("Seal"). SLP IV Seal GP, L.L.C. ("Seal GP") is the general partner of Seal. F6 · ownership.nature: Silver Lake Technology Associates IV Cayman, L.P. ("SLTA") is the sole member of each of Seal GP, Seal II GP and Star GP. Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP") is the general partner of SLTA. Mr. Kenneth Hao serves as a member of the board of directors of the Issuer and is a director of AIV GP. Each of Seal, Seal II, Star, Seal GP, Seal II GP, Star GP, SLTA and AIV GP may be deemed to be a director by deputization of the Issuer. Read SEC document
December 19, 2019 Filed Dec 20, 2019 21:34 UTC	Denzel NoraDirector	GrantCommon Stock	3,048	$0.00	$0.00	Disclosure SEC source: 0001209191-19-061572 · doc4.xml · nonDerivative · entry 1 Denzel Nora · CIK 0001418351 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,048 F1 · shares: In connection with the reporting person's service as a non-employee director of the Issuer, pursuant to the non-employee director grant policy, such reporting person has been granted restricted stock units. 100% of the restricted stock units vest on grant date. Read SEC document
December 10, 2019 Filed Dec 11, 2019 21:30 UTC	Pilette VincentCEO	GrantCommon Stock	81,698	$0.00	$0.00	Disclosure SEC source: 0001209191-19-060042 · doc4.xml · nonDerivative · entry 1 Pilette Vincent · CIK 0001509285 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 590,812 F1 · shares: Represents shares that are issuable pursuant to restricted stock units. 100% vests on December 31, 2020. Read SEC document
December 05, 2019 Filed Dec 6, 2019 22:29 UTC	Feld Peter ADirector	SalePut Option (obligation to buy) · Derivative	1,213,847	$1.38 Strike: $24.09	$1,675,108.86	Disclosure SEC source: 0000921895-19-002942 · form406297244_12062019.xml · derivative · entry 12 Feld Peter A · CIK 0001410600 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Starboard Leaders Tango LLC Disclosed balance after: 1,213,847 Underlying: Common Stock, $0.01 Par Value · 1,213,847 shares Expires 2020-12-11 F4 · ownership.nature: Securities owned directly by Starboard Leaders Tango LLC ("Starboard Tango LLC"). The Reporting Person, solely by virtue of his position as a member of the Management Committee of Starboard Value GP, the general partner of the investment manager of Starboard Tango LLC, and as a member and member of the Management Committee of Principal GP, the general partner of the member of Starboard Value GP, may be deemed to beneficially own the securities directly held by Starboard Tango LLC for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document
December 05, 2019 Filed Dec 6, 2019 22:29 UTC	Feld Peter ADirector	PurchaseCall Option (right to buy) · Derivative	1,213,847	$1.72 Strike: $26.99	$2,087,816.84	Disclosure SEC source: 0000921895-19-002942 · form406297244_12062019.xml · derivative · entry 11 Feld Peter A · CIK 0001410600 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Starboard Leaders Tango LLC Disclosed balance after: 1,213,847 Underlying: Common Stock, $0.01 Par Value · 1,213,847 shares Expires 2020-12-11 F4 · ownership.nature: Securities owned directly by Starboard Leaders Tango LLC ("Starboard Tango LLC"). The Reporting Person, solely by virtue of his position as a member of the Management Committee of Starboard Value GP, the general partner of the investment manager of Starboard Tango LLC, and as a member and member of the Management Committee of Principal GP, the general partner of the member of Starboard Value GP, may be deemed to beneficially own the securities directly held by Starboard Tango LLC for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document
December 05, 2019 Filed Dec 6, 2019 22:29 UTC	Feld Peter ADirector	SalePut Option (obligation to buy) · Derivative	15,444,672	$1.38 Strike: $24.09	$21,313,647.36	Disclosure SEC source: 0000921895-19-002942 · form406297244_12062019.xml · derivative · entry 10 Feld Peter A · CIK 0001410600 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Starboard Value and Opportunity Master Fund Ltd Disclosed balance after: 15,444,672 Underlying: Common Stock, $0.01 Par Value · 15,444,672 shares Expires 2020-12-11 F1 · ownership.nature: Securities owned directly by Starboard Value and Opportunity Master Fund Ltd ("Starboard V&O Fund"). The Reporting Person, solely by virtue of his position as a member of the Management Committee of Starboard Value GP LLC ("Starboard Value GP"), the general partner of the investment manager of Starboard V&O Fund, and as a member and member of the Management Committee of Starboard Principal Co GP LLC ("Principal GP"), the general partner of the member of Starboard Value GP, may be deemed to beneficially own the securities directly held by Starboard V&O Fund for purposes of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"). The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document
December 05, 2019 Filed Dec 6, 2019 22:29 UTC	Feld Peter ADirector	PurchaseCall Option (right to buy) · Derivative	15,444,672	$1.72 Strike: $26.99	$26,564,835.84	Disclosure SEC source: 0000921895-19-002942 · form406297244_12062019.xml · derivative · entry 9 Feld Peter A · CIK 0001410600 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Starboard Value and Opportunity Master Fund Ltd Disclosed balance after: 15,444,672 Underlying: Common Stock, $0.01 Par Value · 15,444,672 shares Expires 2020-12-11 F1 · ownership.nature: Securities owned directly by Starboard Value and Opportunity Master Fund Ltd ("Starboard V&O Fund"). The Reporting Person, solely by virtue of his position as a member of the Management Committee of Starboard Value GP LLC ("Starboard Value GP"), the general partner of the investment manager of Starboard V&O Fund, and as a member and member of the Management Committee of Starboard Principal Co GP LLC ("Principal GP"), the general partner of the member of Starboard Value GP, may be deemed to beneficially own the securities directly held by Starboard V&O Fund for purposes of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"). The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document
December 05, 2019 Filed Dec 6, 2019 22:29 UTC	Feld Peter ADirector	SaleCommon Stock, $0.01 Par Value	1,213,847	$25.49	$30,940,960.03	Disclosure SEC source: 0000921895-19-002942 · form406297244_12062019.xml · nonDerivative · entry 3 Feld Peter A · CIK 0001410600 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Starboard Leaders Tango LLC Disclosed balance after: 0 F4 · ownership.nature: Securities owned directly by Starboard Leaders Tango LLC ("Starboard Tango LLC"). The Reporting Person, solely by virtue of his position as a member of the Management Committee of Starboard Value GP, the general partner of the investment manager of Starboard Tango LLC, and as a member and member of the Management Committee of Principal GP, the general partner of the member of Starboard Value GP, may be deemed to beneficially own the securities directly held by Starboard Tango LLC for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document
December 05, 2019 Filed Dec 6, 2019 22:29 UTC	Feld Peter ADirector	SaleCommon Stock, $0.01 Par Value	15,444,672	$25.49	$393,684,689.28	Disclosure SEC source: 0000921895-19-002942 · form406297244_12062019.xml · nonDerivative · entry 2 Feld Peter A · CIK 0001410600 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Starboard Value and Opportunity Master Fund Ltd Disclosed balance after: 1,000 F1 · ownership.nature: Securities owned directly by Starboard Value and Opportunity Master Fund Ltd ("Starboard V&O Fund"). The Reporting Person, solely by virtue of his position as a member of the Management Committee of Starboard Value GP LLC ("Starboard Value GP"), the general partner of the investment manager of Starboard V&O Fund, and as a member and member of the Management Committee of Starboard Principal Co GP LLC ("Principal GP"), the general partner of the member of Starboard Value GP, may be deemed to beneficially own the securities directly held by Starboard V&O Fund for purposes of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"). The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document
December 01, 2019 Filed Dec 2, 2019 21:33 UTC	Kapuria SamirPresident	Tax withholdingCommon Stock	2,151	$24.90	$53,559.90	Disclosure SEC source: 0001209191-19-058557 · doc4.xml · nonDerivative · entry 1 Kapuria Samir · CIK 0001737331 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 336,643 F1 · shares: Shares withheld by Symantec to satisfy tax withholding requirements on vesting of restricted stock units. No shares were sold. Read SEC document
December 01, 2019 Filed Dec 2, 2019 21:30 UTC	Brown Matthew CharlesInterim Vice President, CFO	Tax withholdingCommon Stock	726	$24.90	$18,077.40	Disclosure SEC source: 0001209191-19-058554 · doc4.xml · nonDerivative · entry 1 Brown Matthew Charles · CIK 0001766979 · Interim Vice President, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,675 F1 · shares: Shares withheld by Symantec to satisfy tax withholding requirements on vesting of restricted stock units. No shares were sold. F2 · balance_after: Includes 853 shares that were acquired through the 2008 Employee Stock Purchase Plan on August 15, 2019. Read SEC document
November 04, 2019 Filed Nov 5, 2019 21:35 UTC	Pilette VincentEVP, CFO	GrantCommon Stock	137,474	$0.00	$0.00	Disclosure SEC source: 0001209191-19-055219 · doc4.xml · nonDerivative · entry 1 Pilette Vincent · CIK 0001509285 · EVP, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 509,114 F1 · shares: On August 21, 2019, the Company's Board of Directors approved an enhanced severance and retention agreement (the "Broadcom Retention Plan") for the Reporting Person which amended the conditions of his outstanding equity grants. Under the Broadcom Retention Plan, 137,474 shares became subject to time-based vesting, and shall vest following a transition period, as set forth therein. F2 · balance_after: On August 21, 2019, the Company's Board of Directors approved the removal of all vesting conditions with respect to the 155,429 restricted stock awards granted to the Reporting Person on June 10, 2019. Read SEC document
November 04, 2019 Filed Nov 5, 2019 21:37 UTC	TAYLOR SCOTT CEVP, Gen. Counsel & Secretary	GrantCommon Stock	92,328	$0.00	$0.00	Disclosure SEC source: 0001209191-19-055230 · doc4.xml · nonDerivative · entry 1 TAYLOR SCOTT C · CIK 0001271058 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 601,227 F1 · shares: On August 21, 2019, the Company's Board of Directors approved an enhanced severance and retention agreement (the "Broadcom Retention Plan") for the Reporting Person which amended the conditions of his outstanding equity grants. Under the Broadcom Retention Plan, 92,328 shares became subject to time-based vesting, and shall vest following a transition period, as set forth therein. F2 · balance_after: Includes 767 shares that were acquired through the 2008 Employee Stock Purchase Plan on August 15, 2019. Read SEC document
November 04, 2019 Filed Nov 5, 2019 21:33 UTC	Cappellanti-Wolf Amy L.SVP, Chief Human Resource Off.	GrantCommon Stock	19,974	$0.00	$0.00	Disclosure SEC source: 0001209191-19-055211 · doc4.xml · nonDerivative · entry 1 Cappellanti-Wolf Amy L. · CIK 0001571552 · SVP, Chief Human Resource Off. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 360,356 F1 · shares: On August 21, 2019, the Company's Board of Directors approved an enhanced severance and retention agreement (the "Broadcom Retention Plan") for the Reporting Person which amended the conditions of her outstanding equity grants. Under the Broadcom Retention Plan, 19,974 shares became subject to time-based vesting, and shall vest following a transition period, as set forth therein. F2 · balance_after: Includes 1,087 shares that were acquired through the 2008 Employee Stock Purchase Plan on August 15, 2019. Read SEC document
November 04, 2019 Filed Nov 5, 2019 21:30 UTC	HILL RICHARDDirector · Interim President and CEO	GrantEmployee Stock Option (right to buy) · Derivative	650,000	$0.00 Strike: $19.85	$0.00	Disclosure SEC source: 0001209191-19-055202 · doc4.xml · derivative · entry 2 HILL RICHARD · CIK 0001185713 · Director · Interim President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 650,000 Underlying: Common Stock · 650,000 shares Expires 2022-05-24 F2 · derivative.exercise_date: On August 30, 2019, the Reporting Person entered into a transition services agreement which amended the conditions of his May 24, 2019 performance stock option grant. 650,000 shares vested and became exercisable upon the closing of the sale of the Company's enterprise security business to Broadcom Inc. F2 · derivative.underlying_shares: On August 30, 2019, the Reporting Person entered into a transition services agreement which amended the conditions of his May 24, 2019 performance stock option grant. 650,000 shares vested and became exercisable upon the closing of the sale of the Company's enterprise security business to Broadcom Inc. F2 · balance_after: On August 30, 2019, the Reporting Person entered into a transition services agreement which amended the conditions of his May 24, 2019 performance stock option grant. 650,000 shares vested and became exercisable upon the closing of the sale of the Company's enterprise security business to Broadcom Inc. Read SEC document
November 01, 2019 Filed Nov 5, 2019 21:30 UTC	HILL RICHARDDirector · Interim President and CEO	Tax withholdingCommon Stock	963	$23.41	$22,543.83	Disclosure SEC source: 0001209191-19-055202 · doc4.xml · nonDerivative · entry 1 HILL RICHARD · CIK 0001185713 · Director · Interim President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,921 F1 · shares: Shares withheld by NortonLifeLock to satisfy tax withholding requirements on vesting of restricted stock units. No shares were sold. Read SEC document
October 23, 2019 Filed Oct 24, 2019 22:53 UTC	Kapuria SamirEVP & GM, CBU & Cyber Sec.Svcs	SaleCommon Stock	9,676	$22.96	$222,202.57	Disclosure SEC source: 0001209191-19-053906 · doc4.xml · nonDerivative · entry 2 Kapuria Samir · CIK 0001737331 · EVP & GM, CBU & Cyber Sec.Svcs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 338,794 F1 · kind: The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 6, 2019. F2 · shares: Represents the aggregate of sales effected on the same day at different prices pursuant to the plan in footnote (1). F4 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $22.75 to $23.13 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. Read SEC document
October 22, 2019 Filed Oct 24, 2019 22:53 UTC	Kapuria SamirEVP & GM, CBU & Cyber Sec.Svcs	SaleCommon Stock	9,674	$23.12	$223,664.81	Disclosure SEC source: 0001209191-19-053906 · doc4.xml · nonDerivative · entry 1 Kapuria Samir · CIK 0001737331 · EVP & GM, CBU & Cyber Sec.Svcs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 348,470 F1 · kind: The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 6, 2019. F2 · shares: Represents the aggregate of sales effected on the same day at different prices pursuant to the plan in footnote (1). F3 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $23.02 to $23.19 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. Read SEC document
October 18, 2019 Filed Oct 21, 2019 20:32 UTC	Kapuria SamirEVP & GM, CBU & Cyber Sec.Svcs	SaleCommon Stock	9,674	$23.34	$225,821.15	Disclosure SEC source: 0001209191-19-053701 · doc4.xml · nonDerivative · entry 2 Kapuria Samir · CIK 0001737331 · EVP & GM, CBU & Cyber Sec.Svcs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 358,144 F1 · kind: The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 6, 2019. F2 · shares: Represents the aggregate of sales effected on the same day at different prices pursuant to the plan in footnote (1). F4 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $23.19 to $23.51 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. Read SEC document
October 17, 2019 Filed Oct 18, 2019 20:31 UTC	SLP IV Mustang Holdings, L.P.Director SLP IV Mustang GP, L.L.C.Director	Other2.500% Convertible Senior Notes due 2021 · Derivative	Not disclosed	$0.00 Strike: $16.77	$250,000,000.00	Disclosure SEC source: 0000899243-19-025779 · doc4.xml · derivative · entry 1 SLP IV Mustang Holdings, L.P. · CIK 0001651392 · Director SLP IV Mustang GP, L.L.C. · CIK 0001651389 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through SLP IV Mustang Holdings, L.P. Disclosed balance after: Not disclosed Underlying: Common Stock · 14,908,525 shares Expires not disclosed F1 · security: The aggregate amount of 2.500% Convertible Senior Notes due 2021 ("Convertible Notes") held by Silver Lake Group, L.L.C. and/or its affiliates has not changed since the date of original acquisition, and is not changing now. This Form 4 is filed by SLP IV Mustang Holdings, L.P. ("Mustang") and its general partner, SLP IV Mustang GP, L.L.C. ("Mustang GP"), in connection with an internal reorganization of an entity holding the Convertible Notes on behalf of certain investment funds ("SLP Funds"). In connection with such internal reorganization, Mustang made an in-kind distribution of the Convertible Notes it directly held to a new affiliated holding vehicle, SLP IV Seal II Holdings, L.P. ("SLP IV Seal II"). SLP IV Seal II and its general partner, SLP IV Seal II GP, L.L.C. are separately filing a Form 3 reporting SLP IV Seal II's ownership of the Convertible Notes. F2 · security: The transfer referred to above in footnote (1) did not represent any change in pecuniary interest of any of the SLP Funds or their affiliates. Not included on this form is $250 million principal amount of Convertible Notes acquired by SLP IV Seal Holdings, L.P.in the original acquisition, which SLP IV Seal Holdings, L.P. continues to hold. F4 · derivative.exercise_price: The current conversion rate of 59.6341 per $1,000 principal amount of Convertible Notes is equivalent to a conversion price of approximately $16.77 per share of Common Stock. F1 · kind: The aggregate amount of 2.500% Convertible Senior Notes due 2021 ("Convertible Notes") held by Silver Lake Group, L.L.C. and/or its affiliates has not changed since the date of original acquisition, and is not changing now. This Form 4 is filed by SLP IV Mustang Holdings, L.P. ("Mustang") and its general partner, SLP IV Mustang GP, L.L.C. ("Mustang GP"), in connection with an internal reorganization of an entity holding the Convertible Notes on behalf of certain investment funds ("SLP Funds"). In connection with such internal reorganization, Mustang made an in-kind distribution of the Convertible Notes it directly held to a new affiliated holding vehicle, SLP IV Seal II Holdings, L.P. ("SLP IV Seal II"). SLP IV Seal II and its general partner, SLP IV Seal II GP, L.L.C. are separately filing a Form 3 reporting SLP IV Seal II's ownership of the Convertible Notes. F2 · kind: The transfer referred to above in footnote (1) did not represent any change in pecuniary interest of any of the SLP Funds or their affiliates. Not included on this form is $250 million principal amount of Convertible Notes acquired by SLP IV Seal Holdings, L.P.in the original acquisition, which SLP IV Seal Holdings, L.P. continues to hold. F1 · price: The aggregate amount of 2.500% Convertible Senior Notes due 2021 ("Convertible Notes") held by Silver Lake Group, L.L.C. and/or its affiliates has not changed since the date of original acquisition, and is not changing now. This Form 4 is filed by SLP IV Mustang Holdings, L.P. ("Mustang") and its general partner, SLP IV Mustang GP, L.L.C. ("Mustang GP"), in connection with an internal reorganization of an entity holding the Convertible Notes on behalf of certain investment funds ("SLP Funds"). In connection with such internal reorganization, Mustang made an in-kind distribution of the Convertible Notes it directly held to a new affiliated holding vehicle, SLP IV Seal II Holdings, L.P. ("SLP IV Seal II"). SLP IV Seal II and its general partner, SLP IV Seal II GP, L.L.C. are separately filing a Form 3 reporting SLP IV Seal II's ownership of the Convertible Notes. F2 · price: The transfer referred to above in footnote (1) did not represent any change in pecuniary interest of any of the SLP Funds or their affiliates. Not included on this form is $250 million principal amount of Convertible Notes acquired by SLP IV Seal Holdings, L.P.in the original acquisition, which SLP IV Seal Holdings, L.P. continues to hold. F5 · derivative.exercise_date: Pursuant to the terms of an investment agreement, dated as of February 3, 2016, the Convertible Notes became convertible by the holder on February 2, 2017, subject to certain exceptions. F6 · derivative.expiration_date: The Convertible Notes mature on April 1, 2021, subject to earlier redemption, repurchase or conversion in accordance with their terms. F7 · derivative.underlying_shares: Upon conversion of the Convertible Notes, the Issuer will deliver, at its election, cash, shares of the Issuer's common stock ("Common Stock") or a combination of cash and shares of Common Stock. This number represents the number of shares of Common Stock issuable upon conversion of the $250 million principal amount of Convertible Notes if the Issuer elects to settle its conversion obligation solely through shares of Common Stock by delivering a number of shares of Common Stock at the conversion rate of 59.6341 shares of Common Stock, and cash in lieu of fractional shares of Common Stock, per $1,000 principal amount of Convertible Notes. The conversion rate is subject to adjustment from time to time upon the occurrence of certain customary events in accordance with the terms of an indenture, dated as of March 4, 2016, by and between the Issuer and Wells Fargo Bank, National Association, as trustee. F1 · valueOwnedAfter: The aggregate amount of 2.500% Convertible Senior Notes due 2021 ("Convertible Notes") held by Silver Lake Group, L.L.C. and/or its affiliates has not changed since the date of original acquisition, and is not changing now. This Form 4 is filed by SLP IV Mustang Holdings, L.P. ("Mustang") and its general partner, SLP IV Mustang GP, L.L.C. ("Mustang GP"), in connection with an internal reorganization of an entity holding the Convertible Notes on behalf of certain investment funds ("SLP Funds"). In connection with such internal reorganization, Mustang made an in-kind distribution of the Convertible Notes it directly held to a new affiliated holding vehicle, SLP IV Seal II Holdings, L.P. ("SLP IV Seal II"). SLP IV Seal II and its general partner, SLP IV Seal II GP, L.L.C. are separately filing a Form 3 reporting SLP IV Seal II's ownership of the Convertible Notes. F2 · valueOwnedAfter: The transfer referred to above in footnote (1) did not represent any change in pecuniary interest of any of the SLP Funds or their affiliates. Not included on this form is $250 million principal amount of Convertible Notes acquired by SLP IV Seal Holdings, L.P.in the original acquisition, which SLP IV Seal Holdings, L.P. continues to hold. F3 · ownership.nature: Mustang GP is the general partner of Mustang. Silver Lake Technology Associates IV Cayman, L.P. ("SLTA") is the sole member of Mustang GP. Silver Lake (Offshore) AIV GP IV, Ltd. is the general partner of SLTA. Read SEC document
October 17, 2019 Filed Oct 21, 2019 20:32 UTC	Kapuria SamirEVP & GM, CBU & Cyber Sec.Svcs	SaleCommon Stock	9,674	$23.58	$228,147.75	Disclosure SEC source: 0001209191-19-053701 · doc4.xml · nonDerivative · entry 1 Kapuria Samir · CIK 0001737331 · EVP & GM, CBU & Cyber Sec.Svcs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 367,818 F1 · kind: The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 6, 2019. F2 · shares: Represents the aggregate of sales effected on the same day at different prices pursuant to the plan in footnote (1). F3 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $23.51 to $23.63 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. Read SEC document
October 11, 2019 Filed Oct 11, 2019 20:33 UTC	Kapuria SamirEVP & GM, CBU & Cyber Sec.Svcs	SaleCommon Stock	9,674	$23.65	$228,790.10	Disclosure SEC source: 0001209191-19-053048 · doc4.xml · nonDerivative · entry 2 Kapuria Samir · CIK 0001737331 · EVP & GM, CBU & Cyber Sec.Svcs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 377,492 F1 · kind: The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 6, 2019. Read SEC document
October 10, 2019 Filed Oct 11, 2019 20:33 UTC	Kapuria SamirEVP & GM, CBU & Cyber Sec.Svcs	SaleCommon Stock	9,674	$23.47	$227,084.57	Disclosure SEC source: 0001209191-19-053048 · doc4.xml · nonDerivative · entry 1 Kapuria Samir · CIK 0001737331 · EVP & GM, CBU & Cyber Sec.Svcs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 387,166 F1 · kind: The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 6, 2019. F2 · shares: Represents the aggregate of sales effected on the same day at different prices pursuant to the plan in footnote (1). F3 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $23.37 to $23.54 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. Read SEC document
October 01, 2019 Filed Oct 2, 2019 20:30 UTC	HILL RICHARDDirector · Interim President and CEO	Tax withholdingCommon Stock	963	$23.51	$22,640.13	Disclosure SEC source: 0001209191-19-051706 · doc4.xml · nonDerivative · entry 1 HILL RICHARD · CIK 0001185713 · Director · Interim President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,884 F1 · shares: Shares withheld by Symantec to satisfy tax withholding requirements on vesting of restricted stock units. No shares were sold. Read SEC document
September 01, 2019 Filed Sep 4, 2019 20:30 UTC	HILL RICHARDDirector · Interim President and CEO	Tax withholdingCommon Stock	963	$23.25	$22,389.75	Disclosure SEC source: 0001209191-19-048203 · doc4.xml · nonDerivative · entry 1 HILL RICHARD · CIK 0001185713 · Director · Interim President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,847 F1 · shares: Shares withheld by Symantec to satisfy tax withholding requirements on vesting of restricted stock units. No shares were sold. Read SEC document
August 16, 2019 Filed Jun 2, 2020 20:35 UTC	Brown Matthew CharlesInterim Vice President, CFO	SaleCommon Stock	853	$23.35	$19,917.55	Disclosure SEC source: 0001209191-20-033550 · doc4.xml · nonDerivative · entry 1 Brown Matthew Charles · CIK 0001766979 · Interim Vice President, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,002 F1 · shares: Reflects the sale of shares acquired through NortonLifeLock's 2008 Employee Stock Purchase Plan and sold through quick sale program. Read SEC document
August 14, 2019 Filed Aug 15, 2019 22:35 UTC	Feld Peter ADirector	PurchaseForward Purchase Contract · Derivative	1	$22.95	$22.95	Disclosure SEC source: 0000921895-19-002260 · form406297244c_08152019.xml · derivative · entry 11 Feld Peter A · CIK 0001410600 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Managed Accounts of Starboard Value LP Disclosed balance after: 1 Underlying: Common Stock, $0.01 Par Value · 274,186 shares Expires 2021-02-16 F8 · derivative.exercise_price: Starboard Value LP through one of the Starboard Value LP Accounts entered into a forward purchase contract providing for the purchase of 274,186 Shares (the "Forward Contract"). The Forward Contract has a final valuation date of February 16, 2021, however, Starboard Value LP has the ability to elect early settlement after serving notice to the counter party of such intention at least two (2) scheduled trading days in advance of the desired early final valuation date. The Forward Contract provides for physical settlement. Until the settlement date, the Forward Contract does not give Starboard Value LP voting or dispositive control over the Shares to which the contract relates. F8 · derivative.exercise_date: Starboard Value LP through one of the Starboard Value LP Accounts entered into a forward purchase contract providing for the purchase of 274,186 Shares (the "Forward Contract"). The Forward Contract has a final valuation date of February 16, 2021, however, Starboard Value LP has the ability to elect early settlement after serving notice to the counter party of such intention at least two (2) scheduled trading days in advance of the desired early final valuation date. The Forward Contract provides for physical settlement. Until the settlement date, the Forward Contract does not give Starboard Value LP voting or dispositive control over the Shares to which the contract relates. F7 · ownership.nature: Securities held in certain accounts managed by Starboard Value LP (the "Starboard Value LP Accounts"). The Reporting Person, solely by virtue of his position as a member of the Management Committee of Starboard Value GP, the general partner of Starboard Value LP, and as a member and member of the Management Committee of Principal GP, the general partner of the member of Starboard Value GP, may be deemed to beneficially own the securities held in the Starboard Value LP Accounts for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document
August 14, 2019 Filed Aug 15, 2019 22:35 UTC	Feld Peter ADirector	PurchaseCommon Stock, $0.01 Par Value	14,872	$22.95	$341,321.32	Disclosure SEC source: 0000921895-19-002260 · form406297244c_08152019.xml · nonDerivative · entry 10 Feld Peter A · CIK 0001410600 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Managed Accounts of Starboard Value LP Disclosed balance after: 19,865,372 F7 · ownership.nature: Securities held in certain accounts managed by Starboard Value LP (the "Starboard Value LP Accounts"). The Reporting Person, solely by virtue of his position as a member of the Management Committee of Starboard Value GP, the general partner of Starboard Value LP, and as a member and member of the Management Committee of Principal GP, the general partner of the member of Starboard Value GP, may be deemed to beneficially own the securities held in the Starboard Value LP Accounts for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document
August 14, 2019 Filed Aug 15, 2019 22:35 UTC	Feld Peter ADirector	PurchaseCommon Stock, $0.01 Par Value	125,000	$22.95	$2,868,825.00	Disclosure SEC source: 0000921895-19-002260 · form406297244c_08152019.xml · nonDerivative · entry 9 Feld Peter A · CIK 0001410600 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Managed Accounts of Starboard Value LP Disclosed balance after: 19,850,500 F7 · ownership.nature: Securities held in certain accounts managed by Starboard Value LP (the "Starboard Value LP Accounts"). The Reporting Person, solely by virtue of his position as a member of the Management Committee of Starboard Value GP, the general partner of Starboard Value LP, and as a member and member of the Management Committee of Principal GP, the general partner of the member of Starboard Value GP, may be deemed to beneficially own the securities held in the Starboard Value LP Accounts for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document
August 14, 2019 Filed Aug 15, 2019 22:35 UTC	Feld Peter ADirector	PurchaseCommon Stock, $0.01 Par Value	122,050	$22.95	$2,801,120.73	Disclosure SEC source: 0000921895-19-002260 · form406297244c_08152019.xml · nonDerivative · entry 8 Feld Peter A · CIK 0001410600 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Starboard Value and Opportunity Master Fund L LP Disclosed balance after: 1,344,715 F6 · ownership.nature: Securities owned directly by Starboard Value and Opportunity Master Fund L LP ("Starboard L Master"). The Reporting Person, solely by virtue of his position as a member of the Management Committee of Starboard Value GP, the general partner of the investment manager of Starboard L Master, and as a member and member of the Management Committee of Principal GP, the general partner of the member of Starboard Value GP, may be deemed to beneficially own the securities directly held by Starboard L Master for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document
August 14, 2019 Filed Aug 15, 2019 22:35 UTC	Feld Peter ADirector	PurchaseCommon Stock, $0.01 Par Value	2,013	$22.95	$46,199.56	Disclosure SEC source: 0000921895-19-002260 · form406297244c_08152019.xml · nonDerivative · entry 7 Feld Peter A · CIK 0001410600 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Starboard Leaders Select VI LP Disclosed balance after: 1,629,398 F5 · ownership.nature: Securities owned directly by Starboard Leaders Select VI LP ("Starboard Select VI LP"). The Reporting Person, solely by virtue of his position as a member of the Management Committee of Starboard Value GP, the general partner of the investment manager of Starboard Select VI LP, and as a member and member of the Management Committee of Principal GP, the general partner of the member of Starboard Value GP, may be deemed to beneficially own the securities directly held by Starboard Select VI LP for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document
August 14, 2019 Filed Aug 15, 2019 22:35 UTC	Feld Peter ADirector	PurchaseCommon Stock, $0.01 Par Value	211	$22.95	$4,842.58	Disclosure SEC source: 0000921895-19-002260 · form406297244c_08152019.xml · nonDerivative · entry 6 Feld Peter A · CIK 0001410600 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Starboard Leaders Tango LLC Disclosed balance after: 1,213,847 F4 · ownership.nature: Securities owned directly by Starboard Leaders Tango LLC ("Starboard Tango LLC"). The Reporting Person, solely by virtue of his position as a member of the Management Committee of Starboard Value GP, the general partner of the investment manager of Starboard Tango LLC, and as a member and member of the Management Committee of Principal GP, the general partner of the member of Starboard Value GP, may be deemed to beneficially own the securities directly held by Starboard Tango LLC for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document
August 14, 2019 Filed Aug 15, 2019 22:35 UTC	Feld Peter ADirector	PurchaseCommon Stock, $0.01 Par Value	1,029	$22.95	$23,616.17	Disclosure SEC source: 0000921895-19-002260 · form406297244c_08152019.xml · nonDerivative · entry 5 Feld Peter A · CIK 0001410600 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Starboard Leaders Tango LLC Disclosed balance after: 1,213,636 F4 · ownership.nature: Securities owned directly by Starboard Leaders Tango LLC ("Starboard Tango LLC"). The Reporting Person, solely by virtue of his position as a member of the Management Committee of Starboard Value GP, the general partner of the investment manager of Starboard Tango LLC, and as a member and member of the Management Committee of Principal GP, the general partner of the member of Starboard Value GP, may be deemed to beneficially own the securities directly held by Starboard Tango LLC for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document
August 14, 2019 Filed Aug 15, 2019 22:35 UTC	Feld Peter ADirector	PurchaseCommon Stock, $0.01 Par Value	128,830	$22.95	$2,956,725.80	Disclosure SEC source: 0000921895-19-002260 · form406297244c_08152019.xml · nonDerivative · entry 4 Feld Peter A · CIK 0001410600 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Starboard Value and Opportunity C LP Disclosed balance after: 1,394,606 F3 · ownership.nature: Securities owned directly by Starboard Value and Opportunity C LP ("Starboard C LP"). The Reporting Person, solely by virtue of his position as a member of the Management Committee of Starboard Value GP, the general partner of the investment manager of Starboard C LP, and as a member and member of the Management Committee of Principal GP, the general partner of the member of Starboard Value GP, may be deemed to beneficially own the securities directly held by Starboard C LP for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document
August 14, 2019 Filed Aug 15, 2019 22:35 UTC	Feld Peter ADirector	PurchaseCommon Stock, $0.01 Par Value	223,757	$22.95	$5,135,357.40	Disclosure SEC source: 0000921895-19-002260 · form406297244c_08152019.xml · nonDerivative · entry 3 Feld Peter A · CIK 0001410600 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Starboard Value and Opportunity S LLC Disclosed balance after: 2,433,000 F2 · ownership.nature: Securities owned directly by Starboard Value and Opportunity S LLC ("Starboard S LLC"). The Reporting Person, solely by virtue of his position as a member of the Management Committee of Starboard Value GP, the general partner of the manager of Starboard S LLC, and as a member and member of the Management Committee of Principal GP, the general partner of the member of Starboard Value GP, may be deemed to beneficially own the securities directly held by Starboard S LLC for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document
August 14, 2019 Filed Aug 15, 2019 22:35 UTC	Feld Peter ADirector	PurchaseCommon Stock, $0.01 Par Value	708,052	$22.95	$16,250,218.23	Disclosure SEC source: 0000921895-19-002260 · form406297244c_08152019.xml · nonDerivative · entry 2 Feld Peter A · CIK 0001410600 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Starboard Value and Opportunity Master Fund Ltd Disclosed balance after: 15,445,672 F1 · ownership.nature: Securities owned directly by Starboard Value and Opportunity Master Fund Ltd ("Starboard V&O Fund"). The Reporting Person, solely by virtue of his position as a member of the Management Committee of Starboard Value GP LLC ("Starboard Value GP"), the general partner of the investment manager of Starboard V&O Fund, and as a member and member of the Management Committee of Starboard Principal Co GP LLC ("Principal GP"), the general partner of the member of Starboard Value GP, may be deemed to beneficially own the securities directly held by Starboard V&O Fund for purposes of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"). The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document
August 13, 2019 Filed Aug 15, 2019 22:29 UTC	Feld Peter ADirector	PurchaseCommon Stock, $0.01 Par Value	115	$22.92	$2,635.73	Disclosure SEC source: 0000921895-19-002258 · form406297244a_08152019.xml · nonDerivative · entry 26 Feld Peter A · CIK 0001410600 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Starboard Leaders Tango LLC Disclosed balance after: 1,212,607 F1 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two reporting transactions that were executed on August 13, 2019. F5 · ownership.nature: Securities owned directly by Starboard Leaders Tango LLC ("Starboard Tango LLC"). The Reporting Person, solely by virtue of his position as a member of the Management Committee of Starboard Value GP, the general partner of the investment manager of Starboard Tango LLC, and as a member and member of the Management Committee of Principal GP, the general partner of the member of Starboard Value GP, may be deemed to beneficially own the securities directly held by Starboard Tango LLC for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document
August 13, 2019 Filed Aug 15, 2019 22:29 UTC	Feld Peter ADirector	PurchaseCommon Stock, $0.01 Par Value	548	$22.92	$12,559.83	Disclosure SEC source: 0000921895-19-002258 · form406297244a_08152019.xml · nonDerivative · entry 25 Feld Peter A · CIK 0001410600 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Starboard Leaders Tango LLC Disclosed balance after: 1,212,492 F1 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two reporting transactions that were executed on August 13, 2019. F5 · ownership.nature: Securities owned directly by Starboard Leaders Tango LLC ("Starboard Tango LLC"). The Reporting Person, solely by virtue of his position as a member of the Management Committee of Starboard Value GP, the general partner of the investment manager of Starboard Tango LLC, and as a member and member of the Management Committee of Principal GP, the general partner of the member of Starboard Value GP, may be deemed to beneficially own the securities directly held by Starboard Tango LLC for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document
August 13, 2019 Filed Aug 15, 2019 22:29 UTC	Feld Peter ADirector	PurchaseCommon Stock, $0.01 Par Value	24	$22.43	$538.26	Disclosure SEC source: 0000921895-19-002258 · form406297244a_08152019.xml · nonDerivative · entry 24 Feld Peter A · CIK 0001410600 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Starboard Leaders Tango LLC Disclosed balance after: 1,211,944 F1 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two reporting transactions that were executed on August 13, 2019. F5 · ownership.nature: Securities owned directly by Starboard Leaders Tango LLC ("Starboard Tango LLC"). The Reporting Person, solely by virtue of his position as a member of the Management Committee of Starboard Value GP, the general partner of the investment manager of Starboard Tango LLC, and as a member and member of the Management Committee of Principal GP, the general partner of the member of Starboard Value GP, may be deemed to beneficially own the securities directly held by Starboard Tango LLC for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document
August 13, 2019 Filed Aug 15, 2019 22:29 UTC	Feld Peter ADirector	PurchaseCommon Stock, $0.01 Par Value	117	$22.43	$2,624.01	Disclosure SEC source: 0000921895-19-002258 · form406297244a_08152019.xml · nonDerivative · entry 23 Feld Peter A · CIK 0001410600 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Starboard Leaders Tango LLC Disclosed balance after: 1,211,920 F1 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two reporting transactions that were executed on August 13, 2019. F5 · ownership.nature: Securities owned directly by Starboard Leaders Tango LLC ("Starboard Tango LLC"). The Reporting Person, solely by virtue of his position as a member of the Management Committee of Starboard Value GP, the general partner of the investment manager of Starboard Tango LLC, and as a member and member of the Management Committee of Principal GP, the general partner of the member of Starboard Value GP, may be deemed to beneficially own the securities directly held by Starboard Tango LLC for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document
August 13, 2019 Filed Aug 15, 2019 22:29 UTC	Feld Peter ADirector	PurchaseCommon Stock, $0.01 Par Value	72	$22.70	$1,634.16	Disclosure SEC source: 0000921895-19-002258 · form406297244a_08152019.xml · nonDerivative · entry 22 Feld Peter A · CIK 0001410600 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Starboard Leaders Tango LLC Disclosed balance after: 1,211,803 F1 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two reporting transactions that were executed on August 13, 2019. F5 · ownership.nature: Securities owned directly by Starboard Leaders Tango LLC ("Starboard Tango LLC"). The Reporting Person, solely by virtue of his position as a member of the Management Committee of Starboard Value GP, the general partner of the investment manager of Starboard Tango LLC, and as a member and member of the Management Committee of Principal GP, the general partner of the member of Starboard Value GP, may be deemed to beneficially own the securities directly held by Starboard Tango LLC for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document
August 13, 2019 Filed Aug 15, 2019 22:29 UTC	Feld Peter ADirector	PurchaseCommon Stock, $0.01 Par Value	345	$22.70	$7,830.33	Disclosure SEC source: 0000921895-19-002258 · form406297244a_08152019.xml · nonDerivative · entry 21 Feld Peter A · CIK 0001410600 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Starboard Leaders Tango LLC Disclosed balance after: 1,211,731 F1 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two reporting transactions that were executed on August 13, 2019. F5 · ownership.nature: Securities owned directly by Starboard Leaders Tango LLC ("Starboard Tango LLC"). The Reporting Person, solely by virtue of his position as a member of the Management Committee of Starboard Value GP, the general partner of the investment manager of Starboard Tango LLC, and as a member and member of the Management Committee of Principal GP, the general partner of the member of Starboard Value GP, may be deemed to beneficially own the securities directly held by Starboard Tango LLC for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.