REG - Royal Bank of Canada Barrick Gold Corp - Form 8.5 (EPT/NON-RI) Barrick Gold

Barrick GoldAnnouncement

10/09/2019 16:30

RNS Number : 8744L
Royal Bank of Canada
10 September 2019
 


FORM 8.5 (EPT/NON-RI)
 
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN
EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY ("RI") STATUS (OR WHERE RI STATUS IS NOT APPLICABLE)
Rule 8.5 of the Takeover Code (the "Code")
 
1.         KEY INFORMATION
 




(a) Name of exempt principal trader:


RBC DS Inc.




(b) Name of offeror/offeree in relation to whose relevant securities this form relates:
     Use a separate form for each offeror/offeree


Barrick Gold Corporation




(c) Name of the party to the offer with which exempt principal trader is connected:


Offeree Concert Party




(d) Date position held/dealing undertaken:
     For an opening position disclosure, state the latest practicable date prior to the disclosure


9 September 2019




(e) In addition to the company in 1(b) above, is the exempt principal trader making disclosures in respect of any other party to the offer?
     If it is a cash offer or possible cash offer, state "N/A"


YES / NO / N/A
If YES, specify which: NO




 
2.         POSITIONS OF THE EXEMPT PRINCIPAL TRADER
 
If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(b), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.
 
(a)        Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing (if any)
 




Class of relevant security:
 


Common




 
 


Interests


Short positions




Number


%


Number


%




(1) Relevant securities owned and/or controlled:


8,645,274


0.4


82,462


0.00




(2) Cash-settled derivatives:
 


 


 


 


 




(3) Stock-settled derivatives (including options) and agreements to purchase/sell:


77,000


0.004


77,000


0.004




 
     TOTAL:


8,722,274


0.4


159,462


0.004




 
All interests and all short positions should be disclosed.
 
Details of any open stock-settled derivative positions (including traded options), or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).
 
 
(b)        Rights to subscribe for new securities (including directors' and other employee options)
 




Class of relevant security in relation to which subscription right exists:


 




Details, including nature of the rights concerned and relevant percentages:


 




 
 
3.         DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER
 
Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(b), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.
 
The currency of all prices and other monetary amounts should be stated.
 
(a)        Purchases and sales
 




Class of relevant security


Purchases/ sales
 


Total number of securities


Highest price per unit paid/received


Lowest price per unit paid/received




Common


Buy


134,156


23.31


22.77




Common


Sell


146,712


23.41


22.75




 
 
(b)        Cash-settled derivative transactions
 




Class of relevant security


Product description
e.g. CFD


Nature of dealing
e.g. opening/closing a long/short position, increasing/reducing a long/short position


Number of reference securities


Price per unit




 


 
 


 


 


 




 
(c)        Stock-settled derivative transactions (including options)
 
(i)         Writing, selling, purchasing or varying
 




Class of relevant security


Product description e.g. call option


Writing, purchasing, selling, varying etc.


Number of securities to which option relates


Exercise price per unit


Type
e.g. American, European etc.


Expiry date


Option money paid/ received per unit




 


 


 


 


 


 


 


 




 
(ii)        Exercise
 




Class of relevant security


Product description
e.g. call option


Exercising/ exercised against


Number of securities


Exercise price per unit




 


 


 


 


 
 




 
(d)        Other dealings (including subscribing for new securities)
 




Class of relevant security


Nature of dealing
e.g. subscription, conversion


Details


Price per unit (if applicable)




Common


Transfer In


2,400


 




 


Transfer Out


16,836


 




 
4.         OTHER INFORMATION
 
(a)        Indemnity and other dealing arrangements
 




Details of any indemnity or option arrangement, or any agreement or understanding, formal or informal, relating to relevant securities which may be an inducement to deal or refrain from dealing entered into by the exempt principal trader making the disclosure and any party to the offer or any person acting in concert with a party to the offer:
Irrevocable commitments and letters of intent should not be included.  If there are no such agreements, arrangements or understandings, state "none"




 
NONE
 




 
(b)        Agreements, arrangements or understandings relating to options or derivatives
 




Details of any agreement, arrangement or understanding, formal or informal, between the exempt principal trader making the disclosure and any other person relating to:
(i)  the voting rights of any relevant securities under any option; or
(ii) the voting rights or future acquisition or disposal of any relevant securities to which any derivative is referenced:
If there are no such agreements, arrangements or understandings, state "none"




 
NONE
 




 
(c)        Attachments
 




Is a Supplemental Form 8 (Open Positions) attached?


YES




 
 




Date of disclosure:


10 September 2019




Contact name:


Damian Batchelor




Telephone number:


0207 429 8827




 
Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service.
 
The Panel's Market Surveillance Unit is available for consultation in relation to the Code's disclosure requirements on +44 (0)20 7638 0129.
 
The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.
 
http://www.rns-pdf.londonstockexchange.com/rns/8744L_1-2019-9-10.pdf




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