0001209191-20-033556.txt : 20200602 0001209191-20-033556.hdr.sgml : 20200602 20200602163644 ACCESSION NUMBER: 0001209191-20-033556 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200601 FILED AS OF DATE: 20200602 DATE AS OF CHANGE: 20200602 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kapuria Samir CENTRAL INDEX KEY: 0001737331 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-17781 FILM NUMBER: 20937605 MAIL ADDRESS: STREET 1: 350 ELLIS STREET CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NortonLifeLock Inc. CENTRAL INDEX KEY: 0000849399 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 770181864 STATE OF INCORPORATION: DE FISCAL YEAR END: 0403 BUSINESS ADDRESS: STREET 1: 60 E RIO SALADO PARKWAY STREET 2: SUITE 1000 CITY: TEMPE STATE: AZ ZIP: 85281 BUSINESS PHONE: 650-527-2900 MAIL ADDRESS: STREET 1: 60 E RIO SALADO PARKWAY STREET 2: SUITE 1000 CITY: TEMPE STATE: AZ ZIP: 85281 FORMER COMPANY: FORMER CONFORMED NAME: SYMANTEC CORP DATE OF NAME CHANGE: 19920703 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-06-01 0 0000849399 NortonLifeLock Inc. NLOK 0001737331 Kapuria Samir 60 E. RIO SALADO PARKWAY SUITE 1000 TEMPE AZ 85281 0 1 0 0 President Common Stock 2020-06-01 4 M 0 58954 21.71 A 350435 D Common Stock 2020-06-01 4 F 0 19239 21.71 D 331196 D Performance-based Restricted Stock Units 2020-06-01 4 A 0 7624 0.00 A Common Stock 7624 13914 D Performance-based Restricted Stock Units 2020-06-01 4 M 0 13914 0.00 D Common Stock 13914 0 D Performance-based Restricted Stock Units 2020-06-01 4 M 0 45040 0.00 D Common Stock 45040 0 D Shares withheld by NortonLifeLock to satisfy tax withholding requirements on vesting of performance-based restricted stock units (PRUs). No shares were sold. On June 9, 2017, the Reporting Person was granted PRUs with a target of 24,909 shares. The PRU provides that, depending on the Issuer's achievement of the performance criterion for fiscal 2018, 0% to 200% of the 50% of the target shares will be eligible ("Grant 1 Eligible Shares") to be earned at the end of fiscal 2020, based on, and subject to further adjustments with respect to the other 50% of the target shares ("Grant 2 Eligible Shares") as a result of, the achievement of certain other performance criteria, provided that the Reporting Person is employed by the Issuer through April 3, 2020. The performance criterion for fiscal 2018 was partially satisfied, resulting in 6,290 shares becoming Grant 1 Eligible Shares and were earned by the Reporting Person. The performance criterion for fiscal 2020 was partially satisfied resulting in an additional 7,624 shares becoming Grant 2 Eligible Shares, giving a total of 13,914 shares earned by the Reporting Person. On July 10, 2018, the Reporting Person was granted PRUs with a target of 238,242 shares. The PRU provides that, depending on the Issuer's achievement of the performance criteria for fiscal 2019, 0% to 200% of the target shares will be eligible to be earned at the end of fiscal 2019 (the "Grant 1 Eligible Shares"), subject to certain further adjustments, provided that the Reporting Person is employed by the Issuer through March 29, 2019 and April 3, 2020, as described herein. The performance criterion was satisfied, resulting in 112,606 shares becoming Grant 1 Eligible Shares for fiscal 2019. 67,566 vested on March 29, 2019. Additionally, 45,040 shares vested on April 3, 2020. Prior Form 4 incorrectly reported 90,086 shares would vest on April 3, 2020. /s/ Philip Reuther, as attorney-in-fact for Samir Kapuria 2020-06-02