person · Reporting owner
SLP IV Seal Holdings, L.P.
Disclosed activity across 1 company
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Gen Digital Inc.NLOK · Entity 2098 | Director | May 13, 2021 | May 17, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Gen Digital Inc.
Report date May 13, 2021 · Filed May 17, 2021
Jointly reported with Silver Lake (Offshore) AIV GP IV, Ltd., Silver Lake Technology Associates IV Cayman, L.P., SLP IV Seal GP, L.L.C., SLP IV Seal II GP, L.L.C., SLP IV Seal II Holdings, L.P., Hao Kenneth
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 86,162 |
Reported balance
After 2021-05-13 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2021-05-13 · Grant · Acquired 10,248 · Balance 86,162 F1: 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. F3: These securities are held by Mr. Hao for the benefit of Silver Lake Technology Management, L.L.C., certain of its affiliates and certain of the funds they manage ("Silver Lake"). Mr. Hao serves as a director of the Issuer. Pursuant to Mr. Hao's arrangement with Silver Lake with respect to director compensation, upon the sale of these securities, the proceeds from such sale(s) are expected to be remitted to Silver Lake and/or its limited partners. Mr. Hao, through his role at Silver Lake and its affiliates, may be deemed to have an indirect interest in these securities. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 88,132 |
Reported balance
After 2021-05-13 transaction · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · 2021-05-13 · Grant · Acquired 1,970 · Balance 88,132 F2: Shares issued pursuant to 2000 Director Equity Incentive Plan, as amended. F3: These securities are held by Mr. Hao for the benefit of Silver Lake Technology Management, L.L.C., certain of its affiliates and certain of the funds they manage ("Silver Lake"). Mr. Hao serves as a director of the Issuer. Pursuant to Mr. Hao's arrangement with Silver Lake with respect to director compensation, upon the sale of these securities, the proceeds from such sale(s) are expected to be remitted to Silver Lake and/or its limited partners. Mr. Hao, through his role at Silver Lake and its affiliates, may be deemed to have an indirect interest in these securities. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 79 |
Reported balance
Holding disclosure · report date 2021-05-13 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 79 F4: Mr. Hao has an indirect pecuniary interest in these shares of the common stock held in a managed account through a broker-dealer. |
| 2.500% Convertible Senior Notes due 2022SEC Table II · derivative / convertible security · Conversion / exercise price $16.77 | IndirectHeld through SLP IV Seal Holdings, L.P. | 0 |
Reported balance
After 2021-05-13 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-05-13 · Disposition to issuer · Disposed Not disclosed · Balance 0 F6: Represents the approximate conversion price of the 2.500% Convertible Notes, based on the conversion rate calculated pursuant to the Indenture, dated as of February 4, 2020, by and between the Issuer and Wells Fargo Bank, National Association, as trustee. F5: On May 13, 2021, SLP IV Seal Holdings, L.P. ("Seal"), SLP IV Seal II Holdings, L.P. ("Seal II") and NortonLifeLock Inc. (the "Issuer") entered into a Convertible Notes Purchase Agreement pursuant to which the Issuer purchased an aggregate of $250,000,000 principal amount of 2.500% Convertible Senior Notes due 2022 (the "2.500% Convertible Notes") from Seal and Seal II for aggregate cash consideration of $365,444,853.04, which consideration includes accrued and unpaid interest through the date of settlement.. F7: Pursuant to the Investment Agreement, dated as of February 3, 2016, as amended, Seal and Seal II were restricted, subject to certain exceptions, from converting the 2.500% Convertible Notes prior to October 1, 2021. F8: The 2.500% Convertible Notes were scheduled to mature on April 1, 2022, subject to earlier repurchase or conversion in accordance with their terms. F9: This number represents the number of shares of Common Stock issuable upon conversion of the 2.500% Convertible Notes if the Issuer were to elect to settle its conversion obligation solely through the delivery of a number of shares of Common Stock and cash in lieu of fractional shares of Common Stock, per $1,000 principal amount of 2.500% Convertible Notes, based on the current conversion rate of 59.6341 shares of Common Stock per $1,000 principal amount of 2.500% Convertible Notes. The conversion rate was subject to adjustment from time to time upon the occurrence of certain customary events in accordance with the terms of the indenture governing the 2.500% Convertible Notes. F10: These securities are held by Seal. SLP IV Seal GP, L.L.C. ("Seal GP") is the general partner of Seal. F12: Silver Lake Technology Associates IV Cayman, L.P. ("SLTA") is the sole member of each of Seal GP and Seal II GP. Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP") is the general partner of SLTA. Mr. 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, Seal GP, Seal II GP, SLTA and AIV GP may be deemed to be a director by deputization of the Issuer. |
| 2.500% Convertible Senior Notes due 2022SEC Table II · derivative / convertible security · Conversion / exercise price $16.77 | IndirectHeld through SLP IV Seal II Holdings, L.P. | 0 |
Reported balance
After 2021-05-13 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-05-13 · Disposition to issuer · Disposed Not disclosed · Balance 0 F6: Represents the approximate conversion price of the 2.500% Convertible Notes, based on the conversion rate calculated pursuant to the Indenture, dated as of February 4, 2020, by and between the Issuer and Wells Fargo Bank, National Association, as trustee. F5: On May 13, 2021, SLP IV Seal Holdings, L.P. ("Seal"), SLP IV Seal II Holdings, L.P. ("Seal II") and NortonLifeLock Inc. (the "Issuer") entered into a Convertible Notes Purchase Agreement pursuant to which the Issuer purchased an aggregate of $250,000,000 principal amount of 2.500% Convertible Senior Notes due 2022 (the "2.500% Convertible Notes") from Seal and Seal II for aggregate cash consideration of $365,444,853.04, which consideration includes accrued and unpaid interest through the date of settlement.. F7: Pursuant to the Investment Agreement, dated as of February 3, 2016, as amended, Seal and Seal II were restricted, subject to certain exceptions, from converting the 2.500% Convertible Notes prior to October 1, 2021. F8: The 2.500% Convertible Notes were scheduled to mature on April 1, 2022, subject to earlier repurchase or conversion in accordance with their terms. F9: This number represents the number of shares of Common Stock issuable upon conversion of the 2.500% Convertible Notes if the Issuer were to elect to settle its conversion obligation solely through the delivery of a number of shares of Common Stock and cash in lieu of fractional shares of Common Stock, per $1,000 principal amount of 2.500% Convertible Notes, based on the current conversion rate of 59.6341 shares of Common Stock per $1,000 principal amount of 2.500% Convertible Notes. The conversion rate was subject to adjustment from time to time upon the occurrence of certain customary events in accordance with the terms of the indenture governing the 2.500% Convertible Notes. F11: These securities are held by Seal II. SLP IV Seal II GP, L.L.C. ("Seal II GP") is the general partner of Seal II. F12: Silver Lake Technology Associates IV Cayman, L.P. ("SLTA") is the sole member of each of Seal GP and Seal II GP. Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP") is the general partner of SLTA. Mr. 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, Seal GP, Seal II GP, SLTA and AIV GP may be deemed to be a director by deputization of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: Shares issued pursuant to 2000 Director Equity Incentive Plan, as amended.
F3: These securities are held by Mr. Hao for the benefit of Silver Lake Technology Management, L.L.C., certain of its affiliates and certain of the funds they manage ("Silver Lake"). Mr. Hao serves as a director of the Issuer. Pursuant to Mr. Hao's arrangement with Silver Lake with respect to director compensation, upon the sale of these securities, the proceeds from such sale(s) are expected to be remitted to Silver Lake and/or its limited partners. Mr. Hao, through his role at Silver Lake and its affiliates, may be deemed to have an indirect interest in these securities.
F4: Mr. Hao has an indirect pecuniary interest in these shares of the common stock held in a managed account through a broker-dealer.
F5: On May 13, 2021, SLP IV Seal Holdings, L.P. ("Seal"), SLP IV Seal II Holdings, L.P. ("Seal II") and NortonLifeLock Inc. (the "Issuer") entered into a Convertible Notes Purchase Agreement pursuant to which the Issuer purchased an aggregate of $250,000,000 principal amount of 2.500% Convertible Senior Notes due 2022 (the "2.500% Convertible Notes") from Seal and Seal II for aggregate cash consideration of $365,444,853.04, which consideration includes accrued and unpaid interest through the date of settlement..
F6: Represents the approximate conversion price of the 2.500% Convertible Notes, based on the conversion rate calculated pursuant to the Indenture, dated as of February 4, 2020, by and between the Issuer and Wells Fargo Bank, National Association, as trustee.
F7: Pursuant to the Investment Agreement, dated as of February 3, 2016, as amended, Seal and Seal II were restricted, subject to certain exceptions, from converting the 2.500% Convertible Notes prior to October 1, 2021.
F8: The 2.500% Convertible Notes were scheduled to mature on April 1, 2022, subject to earlier repurchase or conversion in accordance with their terms.
F9: This number represents the number of shares of Common Stock issuable upon conversion of the 2.500% Convertible Notes if the Issuer were to elect to settle its conversion obligation solely through the delivery of a number of shares of Common Stock and cash in lieu of fractional shares of Common Stock, per $1,000 principal amount of 2.500% Convertible Notes, based on the current conversion rate of 59.6341 shares of Common Stock per $1,000 principal amount of 2.500% Convertible Notes. The conversion rate was subject to adjustment from time to time upon the occurrence of certain customary events in accordance with the terms of the indenture governing the 2.500% Convertible Notes.
F10: These securities are held by Seal. SLP IV Seal GP, L.L.C. ("Seal GP") is the general partner of Seal.
F11: These securities are held by Seal II. SLP IV Seal II GP, L.L.C. ("Seal II GP") is the general partner of Seal II.
F12: Silver Lake Technology Associates IV Cayman, L.P. ("SLTA") is the sole member of each of Seal GP and Seal II GP. Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP") is the general partner of SLTA. Mr. 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, Seal GP, Seal II GP, SLTA and AIV GP may be deemed to be a director by deputization of the Issuer.
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 13, 2021 Filed May 17, 2021 22:49 UTC | Gen Digital Inc. NLOK · Entity 2098 | Disposition to issuer2.500% Convertible Senior Notes due 2022 · Derivative | Not disclosed | $182,722,426.52 Strike: $16.77 | $125,000,000.00 |
DisclosureSEC source: 0000899243-21-019646 · 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 Seal Holdings, L.P. · CIK 0001668204 · Director SLP IV Seal II Holdings, L.P. · CIK 0001790690 · 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: 0 Underlying: Common Stock · 7,454,262 shares Expires not disclosed F6 · derivative.exercise_price: Represents the approximate conversion price of the 2.500% Convertible Notes, based on the conversion rate calculated pursuant to the Indenture, dated as of February 4, 2020, by and between the Issuer and Wells Fargo Bank, National Association, as trustee. F5 · kind: On May 13, 2021, SLP IV Seal Holdings, L.P. ("Seal"), SLP IV Seal II Holdings, L.P. ("Seal II") and NortonLifeLock Inc. (the "Issuer") entered into a Convertible Notes Purchase Agreement pursuant to which the Issuer purchased an aggregate of $250,000,000 principal amount of 2.500% Convertible Senior Notes due 2022 (the "2.500% Convertible Notes") from Seal and Seal II for aggregate cash consideration of $365,444,853.04, which consideration includes accrued and unpaid interest through the date of settlement.. F5 · price: On May 13, 2021, SLP IV Seal Holdings, L.P. ("Seal"), SLP IV Seal II Holdings, L.P. ("Seal II") and NortonLifeLock Inc. (the "Issuer") entered into a Convertible Notes Purchase Agreement pursuant to which the Issuer purchased an aggregate of $250,000,000 principal amount of 2.500% Convertible Senior Notes due 2022 (the "2.500% Convertible Notes") from Seal and Seal II for aggregate cash consideration of $365,444,853.04, which consideration includes accrued and unpaid interest through the date of settlement.. F7 · derivative.exercise_date: Pursuant to the Investment Agreement, dated as of February 3, 2016, as amended, Seal and Seal II were restricted, subject to certain exceptions, from converting the 2.500% Convertible Notes prior to October 1, 2021. F8 · derivative.expiration_date: The 2.500% Convertible Notes were scheduled to mature on April 1, 2022, subject to earlier repurchase or conversion in accordance with their terms. F9 · derivative.underlying_shares: This number represents the number of shares of Common Stock issuable upon conversion of the 2.500% Convertible Notes if the Issuer were to elect to settle its conversion obligation solely through the delivery of a number of shares of Common Stock and cash in lieu of fractional shares of Common Stock, per $1,000 principal amount of 2.500% Convertible Notes, based on the current conversion rate of 59.6341 shares of Common Stock per $1,000 principal amount of 2.500% Convertible Notes. The conversion rate was subject to adjustment from time to time upon the occurrence of certain customary events in accordance with the terms of the indenture governing the 2.500% Convertible Notes. F11 · ownership.nature: These securities are held by Seal II. SLP IV Seal II GP, L.L.C. ("Seal II GP") is the general partner of Seal II. F12 · ownership.nature: Silver Lake Technology Associates IV Cayman, L.P. ("SLTA") is the sole member of each of Seal GP and Seal II GP. Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP") is the general partner of SLTA. Mr. 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, Seal GP, Seal II GP, SLTA and AIV GP may be deemed to be a director by deputization of the Issuer. Read SEC document |
| May 13, 2021 Filed May 17, 2021 22:49 UTC | Gen Digital Inc. NLOK · Entity 2098 | Disposition to issuer2.500% Convertible Senior Notes due 2022 · Derivative | Not disclosed | $182,722,426.52 Strike: $16.77 | $125,000,000.00 |
DisclosureSEC source: 0000899243-21-019646 · 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 Seal Holdings, L.P. · CIK 0001668204 · Director SLP IV Seal II Holdings, L.P. · CIK 0001790690 · 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: 0 Underlying: Common Stock · 7,454,262 shares Expires not disclosed F6 · derivative.exercise_price: Represents the approximate conversion price of the 2.500% Convertible Notes, based on the conversion rate calculated pursuant to the Indenture, dated as of February 4, 2020, by and between the Issuer and Wells Fargo Bank, National Association, as trustee. F5 · kind: On May 13, 2021, SLP IV Seal Holdings, L.P. ("Seal"), SLP IV Seal II Holdings, L.P. ("Seal II") and NortonLifeLock Inc. (the "Issuer") entered into a Convertible Notes Purchase Agreement pursuant to which the Issuer purchased an aggregate of $250,000,000 principal amount of 2.500% Convertible Senior Notes due 2022 (the "2.500% Convertible Notes") from Seal and Seal II for aggregate cash consideration of $365,444,853.04, which consideration includes accrued and unpaid interest through the date of settlement.. F5 · price: On May 13, 2021, SLP IV Seal Holdings, L.P. ("Seal"), SLP IV Seal II Holdings, L.P. ("Seal II") and NortonLifeLock Inc. (the "Issuer") entered into a Convertible Notes Purchase Agreement pursuant to which the Issuer purchased an aggregate of $250,000,000 principal amount of 2.500% Convertible Senior Notes due 2022 (the "2.500% Convertible Notes") from Seal and Seal II for aggregate cash consideration of $365,444,853.04, which consideration includes accrued and unpaid interest through the date of settlement.. F7 · derivative.exercise_date: Pursuant to the Investment Agreement, dated as of February 3, 2016, as amended, Seal and Seal II were restricted, subject to certain exceptions, from converting the 2.500% Convertible Notes prior to October 1, 2021. F8 · derivative.expiration_date: The 2.500% Convertible Notes were scheduled to mature on April 1, 2022, subject to earlier repurchase or conversion in accordance with their terms. F9 · derivative.underlying_shares: This number represents the number of shares of Common Stock issuable upon conversion of the 2.500% Convertible Notes if the Issuer were to elect to settle its conversion obligation solely through the delivery of a number of shares of Common Stock and cash in lieu of fractional shares of Common Stock, per $1,000 principal amount of 2.500% Convertible Notes, based on the current conversion rate of 59.6341 shares of Common Stock per $1,000 principal amount of 2.500% Convertible Notes. The conversion rate was subject to adjustment from time to time upon the occurrence of certain customary events in accordance with the terms of the indenture governing the 2.500% Convertible Notes. F10 · ownership.nature: These securities are held by Seal. SLP IV Seal GP, L.L.C. ("Seal GP") is the general partner of Seal. F12 · ownership.nature: Silver Lake Technology Associates IV Cayman, L.P. ("SLTA") is the sole member of each of Seal GP and Seal II GP. Silver Lake (Offshore) AIV GP IV, Ltd. ("AIV GP") is the general partner of SLTA. Mr. 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, Seal GP, Seal II GP, SLTA and AIV GP may be deemed to be a director by deputization of the Issuer. Read SEC document |
| May 13, 2021 Filed May 17, 2021 22:49 UTC | Gen Digital Inc. NLOK · Entity 2098 | GrantCommon Stock | 1,970 | $25.37 | $49,978.90 |
DisclosureSEC source: 0000899243-21-019646 · doc4.xml · nonDerivative · 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 Seal Holdings, L.P. · CIK 0001668204 · Director SLP IV Seal II Holdings, L.P. · CIK 0001790690 · 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 · See footnote Disclosed balance after: 88,132 F2 · shares: Shares issued pursuant to 2000 Director Equity Incentive Plan, as amended. F3 · ownership.nature: These securities are held by Mr. Hao for the benefit of Silver Lake Technology Management, L.L.C., certain of its affiliates and certain of the funds they manage ("Silver Lake"). Mr. Hao serves as a director of the Issuer. Pursuant to Mr. Hao's arrangement with Silver Lake with respect to director compensation, upon the sale of these securities, the proceeds from such sale(s) are expected to be remitted to Silver Lake and/or its limited partners. Mr. Hao, through his role at Silver Lake and its affiliates, may be deemed to have an indirect interest in these securities. Read SEC document |
| May 13, 2021 Filed May 17, 2021 22:49 UTC | Gen Digital Inc. NLOK · Entity 2098 | GrantCommon Stock | 10,248 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-019646 · doc4.xml · nonDerivative · 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 Seal Holdings, L.P. · CIK 0001668204 · Director SLP IV Seal II Holdings, L.P. · CIK 0001790690 · 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 · See footnote Disclosed balance after: 86,162 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. F3 · ownership.nature: These securities are held by Mr. Hao for the benefit of Silver Lake Technology Management, L.L.C., certain of its affiliates and certain of the funds they manage ("Silver Lake"). Mr. Hao serves as a director of the Issuer. Pursuant to Mr. Hao's arrangement with Silver Lake with respect to director compensation, upon the sale of these securities, the proceeds from such sale(s) are expected to be remitted to Silver Lake and/or its limited partners. Mr. Hao, through his role at Silver Lake and its affiliates, may be deemed to have an indirect interest in these securities. Read SEC document |
| March 05, 2020 Filed Mar 9, 2020 20:31 UTC | Gen Digital Inc. NLOK · Entity 2098 | Disposition to issuer2.500% Convertible Senior Notes due 2022 · Derivative | Not disclosed | $284,713,347.64 Strike: $8.40 | $125,000,000.00 |
DisclosureSEC source: 0000899243-20-007620 · 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 Seal Holdings, L.P. · CIK 0001668204 · Director SLP IV Seal II Holdings, L.P. · CIK 0001790690 · 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 F2 · derivative.exercise_price: Represents the approximate conversion price of the 2.500% Convertible Notes, based on the conversion rate calculated pursuant to the Indenture, dated as of March 4, 2016, by and between the Issuer and Wells Fargo Bank, National Association, as trustee, as amended. F1 · kind: On March 5, 2020, SLP IV Seal Holdings, L.P. ("Seal"), SLP IV Seal II Holdings, L.P. ("Seal II") and NortonLifeLock Inc. (the "Issuer") entered into a Convertible Notes Purchase Agreement pursuant to which the Issuer purchased an aggregate of $250,000,000 principal amount of 2.500% Convertible Senior Notes due 2022 (the "2.500% Convertible Notes") from Seal and Seal II for aggregate cash consideration of $569,426,695.28. F1 · price: On March 5, 2020, SLP IV Seal Holdings, L.P. ("Seal"), SLP IV Seal II Holdings, L.P. ("Seal II") and NortonLifeLock Inc. (the "Issuer") entered into a Convertible Notes Purchase Agreement pursuant to which the Issuer purchased an aggregate of $250,000,000 principal amount of 2.500% Convertible Senior Notes due 2022 (the "2.500% Convertible Notes") from Seal and Seal II for aggregate cash consideration of $569,426,695.28. F3 · derivative.exercise_date: Pursuant to the Investment Agreement, dated as of February 3, 2016, as amended, Seal and Seal II were restricted, subject to certain exceptions, from converting the 2.500% Convertible Notes prior to October 1, 2021. F4 · derivative.expiration_date: The 2.500% Convertible Notes were scheduled to mature on April 1, 2022, subject to earlier repurchase or conversion in accordance with their terms. F5 · derivative.underlying_shares: This number represents the number of shares of Common Stock issuable upon conversion of the 2.500% Convertible Notes if the Issuer were to elect to settle its conversion obligation solely through the delivery of a number of shares of Common Stock and cash in lieu of fractional shares of Common Stock, per $1,000 principal amount of 2.500% Convertible Notes, based on the current conversion rate of 118.9814 shares of Common Stock per $1,000 principal amount of 2.500% Convertible Notes. The conversion rate was subject to adjustment from time to time upon the occurrence of certain customary events in accordance with the terms of the indenture governing the 2.500% Convertible Notes. F7 · ownership.nature: These securities are held by Seal II. SLP IV Seal II GP, L.L.C. ("Seal II GP") is the general partner of Seal II. F8 · ownership.nature: Silver Lake Technology Associates IV Cayman, L.P. ("SLTA") is the sole member of each of Seal GP and Seal II 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, Seal GP, Seal II GP, SLTA and AIV GP may be deemed to be a director by deputization of the Issuer. F9 · ownership.nature: Not included on this Form 4 are an additional aggregate amount of $250,000,000 principal amount of 2.500% Convertible Senior Notes due 2022 with an approximate conversion price of $16.77 held by Seal and Seal II and an additional $500,000,000 principal amount of 2.00% Convertible Senior Notes due 2022 held by SLP IV Star Holdings, L.P., which convertible notes continue to be held by such holders following the reported transaction. Read SEC document |
| March 05, 2020 Filed Mar 9, 2020 20:31 UTC | Gen Digital Inc. NLOK · Entity 2098 | Disposition to issuer2.500% Convertible Senior Notes due 2022 · Derivative | Not disclosed | $284,713,347.64 Strike: $8.40 | $125,000,000.00 |
DisclosureSEC source: 0000899243-20-007620 · 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 Seal Holdings, L.P. · CIK 0001668204 · Director SLP IV Seal II Holdings, L.P. · CIK 0001790690 · 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 F2 · derivative.exercise_price: Represents the approximate conversion price of the 2.500% Convertible Notes, based on the conversion rate calculated pursuant to the Indenture, dated as of March 4, 2016, by and between the Issuer and Wells Fargo Bank, National Association, as trustee, as amended. F1 · kind: On March 5, 2020, SLP IV Seal Holdings, L.P. ("Seal"), SLP IV Seal II Holdings, L.P. ("Seal II") and NortonLifeLock Inc. (the "Issuer") entered into a Convertible Notes Purchase Agreement pursuant to which the Issuer purchased an aggregate of $250,000,000 principal amount of 2.500% Convertible Senior Notes due 2022 (the "2.500% Convertible Notes") from Seal and Seal II for aggregate cash consideration of $569,426,695.28. F1 · price: On March 5, 2020, SLP IV Seal Holdings, L.P. ("Seal"), SLP IV Seal II Holdings, L.P. ("Seal II") and NortonLifeLock Inc. (the "Issuer") entered into a Convertible Notes Purchase Agreement pursuant to which the Issuer purchased an aggregate of $250,000,000 principal amount of 2.500% Convertible Senior Notes due 2022 (the "2.500% Convertible Notes") from Seal and Seal II for aggregate cash consideration of $569,426,695.28. F3 · derivative.exercise_date: Pursuant to the Investment Agreement, dated as of February 3, 2016, as amended, Seal and Seal II were restricted, subject to certain exceptions, from converting the 2.500% Convertible Notes prior to October 1, 2021. F4 · derivative.expiration_date: The 2.500% Convertible Notes were scheduled to mature on April 1, 2022, subject to earlier repurchase or conversion in accordance with their terms. F5 · derivative.underlying_shares: This number represents the number of shares of Common Stock issuable upon conversion of the 2.500% Convertible Notes if the Issuer were to elect to settle its conversion obligation solely through the delivery of a number of shares of Common Stock and cash in lieu of fractional shares of Common Stock, per $1,000 principal amount of 2.500% Convertible Notes, based on the current conversion rate of 118.9814 shares of Common Stock per $1,000 principal amount of 2.500% Convertible Notes. The conversion rate was subject to adjustment from time to time upon the occurrence of certain customary events in accordance with the terms of the indenture governing the 2.500% Convertible Notes. F6 · ownership.nature: These securities are held by Seal. SLP IV Seal GP, L.L.C. ("Seal GP") is the general partner of Seal. F8 · ownership.nature: Silver Lake Technology Associates IV Cayman, L.P. ("SLTA") is the sole member of each of Seal GP and Seal II 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, Seal GP, Seal II GP, SLTA and AIV GP may be deemed to be a director by deputization of the Issuer. F9 · ownership.nature: Not included on this Form 4 are an additional aggregate amount of $250,000,000 principal amount of 2.500% Convertible Senior Notes due 2022 with an approximate conversion price of $16.77 held by Seal and Seal II and an additional $500,000,000 principal amount of 2.00% Convertible Senior Notes due 2022 held by SLP IV Star Holdings, L.P., which convertible notes continue to be held by such holders following the reported transaction. Read SEC document |
| January 09, 2020 Filed Jan 10, 2020 21:32 UTC | Gen Digital Inc. NLOK · Entity 2098 | Grant2.00% Convertible Senior Notes due 2022 · Derivative | Not disclosed | Not disclosed Strike: $10.23 | $250,000,000.00 |
DisclosureSEC 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 | Gen Digital Inc. NLOK · Entity 2098 | Grant2.00% Convertible Senior Notes due 2022 · Derivative | Not disclosed | Not disclosed Strike: $20.41 | $250,000,000.00 |
DisclosureSEC 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 | Gen Digital Inc. NLOK · Entity 2098 | Disposition to issuer2.00% Convertible Senior Notes due 2021 · Derivative | Not disclosed | Not disclosed Strike: $20.41 | $500,000,000.00 |
DisclosureSEC 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 | Gen Digital Inc. NLOK · Entity 2098 | Grant2.500% Convertible Senior Notes due 2022 · Derivative | Not disclosed | Not disclosed Strike: $8.40 | $125,000,000.00 |
DisclosureSEC 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 | Gen Digital Inc. NLOK · Entity 2098 | Grant2.500% Convertible Senior Notes due 2022 · Derivative | Not disclosed | Not disclosed Strike: $16.77 | $125,000,000.00 |
DisclosureSEC 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 | Gen Digital Inc. NLOK · Entity 2098 | Disposition to issuer2.500% Convertible Senior Notes due 2021 · Derivative | Not disclosed | Not disclosed Strike: $16.77 | $250,000,000.00 |
DisclosureSEC 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 | Gen Digital Inc. NLOK · Entity 2098 | Grant2.500% Convertible Senior Notes due 2022 · Derivative | Not disclosed | Not disclosed Strike: $8.40 | $125,000,000.00 |
DisclosureSEC 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 | Gen Digital Inc. NLOK · Entity 2098 | Grant2.500% Convertible Senior Notes due 2022 · Derivative | Not disclosed | Not disclosed Strike: $16.77 | $125,000,000.00 |
DisclosureSEC 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 | Gen Digital Inc. NLOK · Entity 2098 | Disposition to issuer2.500% Convertible Senior Notes due 2021 · Derivative | Not disclosed | Not disclosed Strike: $16.77 | $250,000,000.00 |
DisclosureSEC 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.