REG-BARCLAYS PLC Form 8 (DD) - BARRICK GOLD CORPORATION
. Form 8 (DD) - BARRICK GOLD CORPORATION
FORM 8 (DD)
PUBLIC DEALING DISCLOSURE BY A PARTY TO AN OFFER OR PERSON ACTING IN CONCERT (INCLUDING DEALINGS FOR THE ACCOUNT OF DISCRETIONARY INVESTMENT CLIENTS)
Rules 8.1, 8.2 and 8.4 of the Takeover Code (the “Code”)
1. KEY INFORMATION
| (a) | Full name of discloser: | Barclays PLC. | |||
| (b) | Owner or controller of interest and short | ||||
| positions disclosed, if different from 1(a): | |||||
| (c) | Name of offeror/offeree in relation to whose |
BARRICK GOLD CORPORATION |
|||
| relevant securities this form relates: | |||||
| (d) | Status of person making the disclosure: | CONNECTED TO THE OFFEREE | |||
| (e) | Date position held/dealing undertaken: | 13 November 2018 | |||
| (f) | In addition to the company in 1(c) above, is the discloser making | NO | |||
| disclosures in respect of any other party to the offer? |
2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE
If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.
(a) Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing
| Class of relevant security: | Ordinary NPV | ||||||||||
| Interests | Short Positions | ||||||||||
| Number | (%) | Number | (%) | ||||||||
| (1) | Relevant securities owned | ||||||||||
| and/or controlled: | 1,291,760 | 0.11% | 0 | 0.00% | |||||||
| (2) | Cash-settled derivatives: | ||||||||||
| 0 | 0.00% | 0 | 0.00% | ||||||||
| (3) | Stock-settled derivatives (including options) | ||||||||||
| and agreements to purchase/sell: | 632,300 | 0.05% | 2,696,800 | 0.23% | |||||||
| TOTAL: | 1,924,060 | 0.16% | 2,696,800 | 0.23% | |||||||
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).
Details of any securities borrowing and lending positions or financial collateral arrangements should be disclosed on a Supplemental Form 8 (SBL).
(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 BY THE PERSON MAKING THE DISCLOSURE
Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.
The currency of all prices and other monetary amounts should be stated.
(a) Purchases and sales
(i) Party to an offer or person acting in concert (except for a principal trader in the same group as a connected adviser)
| Class of relevant | Purchase/sale | Number of | Price per unit | ||||
| security | securities | ||||||
| Ordinary NPV | Purchase | 2 | 12.6100 USD | ||||
| Ordinary NPV | Purchase | 300 | 12.5766 USD | ||||
| Ordinary NPV | Purchase | 400 | 12.4000 USD | ||||
| Ordinary NPV | Purchase | 415 | 12.4451 USD | ||||
| Ordinary NPV | Purchase | 454 | 12.5688 USD | ||||
| Ordinary NPV | Purchase | 600 | 12.3608 USD | ||||
| Ordinary NPV | Purchase | 632 | 12.3600 USD | ||||
| Ordinary NPV | Purchase | 1,100 | 12.3863 USD | ||||
| Ordinary NPV | Purchase | 1,200 | 12.5775 USD | ||||
| Ordinary NPV | Purchase | 1,200 | 12.4629 USD | ||||
| Ordinary NPV | Purchase | 2,200 | 12.3800 USD | ||||
| Ordinary NPV | Purchase | 2,400 | 12.4407 USD | ||||
| Ordinary NPV | Purchase | 2,904 | 12.3793 USD | ||||
| Ordinary NPV | Purchase | 3,000 | 12.6037 USD | ||||
| Ordinary NPV | Purchase | 3,000 | 12.5100 USD | ||||
| Ordinary NPV | Purchase | 3,100 | 12.5899 USD | ||||
| Ordinary NPV | Purchase | 4,437 | 12.5275 USD | ||||
| Ordinary NPV | Purchase | 4,800 | 12.4227 USD | ||||
| Ordinary NPV | Purchase | 6,335 | 12.5638 USD | ||||
| Ordinary NPV | Purchase | 8,200 | 12.4907 USD | ||||
| Ordinary NPV | Purchase | 8,228 | 12.3643 USD | ||||
| Ordinary NPV | Purchase | 8,300 | 12.3940 USD | ||||
| Ordinary NPV | Purchase | 9,390 | 12.5900 USD | ||||
| Ordinary NPV | Purchase | 10,300 | 12.5066 USD | ||||
| Ordinary NPV | Purchase | 10,376 | 12.5372 USD | ||||
| Ordinary NPV | Purchase | 10,821 | 12.4826 USD | ||||
| Ordinary NPV | Purchase | 14,233 | 12.5374 USD | ||||
| Ordinary NPV | Purchase | 28,200 | 12.4648 USD | ||||
| Ordinary NPV | Purchase | 40,800 | 12.4702 USD | ||||
| Ordinary NPV | Purchase | 482,586 | 12.5489 USD | ||||
| Ordinary NPV | Sale | 37 | 12.6100 USD | ||||
| Ordinary NPV | Sale | 100 | 12.4750 USD | ||||
| Ordinary NPV | Sale | 100 | 12.5600 USD | ||||
| Ordinary NPV | Sale | 100 | 12.5000 USD | ||||
| Ordinary NPV | Sale | 121 | 12.4930 USD | ||||
| Ordinary NPV | Sale | 200 | 12.5650 USD | ||||
| Ordinary NPV | Sale | 200 | 12.5300 USD | ||||
| Ordinary NPV | Sale | 300 | 12.5633 USD | ||||
| Ordinary NPV | Sale | 334 | 12.6010 USD | ||||
| Ordinary NPV | Sale | 400 | 12.6025 USD | ||||
| Ordinary NPV | Sale | 400 | 12.6000 USD | ||||
| Ordinary NPV | Sale | 477 | 12.6062 USD | ||||
| Ordinary NPV | Sale | 500 | 12.5800 USD | ||||
| Ordinary NPV | Sale | 500 | 12.5790 USD | ||||
| Ordinary NPV | Sale | 600 | 12.4450 USD | ||||
| Ordinary NPV | Sale | 600 | 12.6066 USD | ||||
| Ordinary NPV | Sale | 754 | 12.6033 USD | ||||
| Ordinary NPV | Sale | 800 | 12.4537 USD | ||||
| Ordinary NPV | Sale | 900 | 12.4722 USD | ||||
| Ordinary NPV | Sale | 1,200 | 12.5575 USD | ||||
| Ordinary NPV | Sale | 1,400 | 12.5553 USD | ||||
| Ordinary NPV | Sale | 1,815 | 12.4500 USD | ||||
| Ordinary NPV | Sale | 2,000 | 12.4830 USD | ||||
| Ordinary NPV | Sale | 2,400 | 12.4407 USD | ||||
| Ordinary NPV | Sale | 2,500 | 12.5704 USD | ||||
| Ordinary NPV | Sale | 2,500 | 12.6004 USD | ||||
| Ordinary NPV | Sale | 2,500 | 12.5308 USD | ||||
| Ordinary NPV | Sale | 2,800 | 12.4714 USD | ||||
| Ordinary NPV | Sale | 3,000 | 12.5100 USD | ||||
| Ordinary NPV | Sale | 3,300 | 12.4617 USD | ||||
| Ordinary NPV | Sale | 4,752 | 12.5702 USD | ||||
| Ordinary NPV | Sale | 6,098 | 12.5662 USD | ||||
| Ordinary NPV | Sale | 13,705 | 12.5706 USD | ||||
| Ordinary NPV | Sale | 15,832 | 12.4300 USD | ||||
| Ordinary NPV | Sale | 15,900 | 12.4464 USD | ||||
| Ordinary NPV | Sale | 17,500 | 12.4956 USD | ||||
| Ordinary NPV | Sale | 17,790 | 12.5899 USD | ||||
| Ordinary NPV | Sale | 21,700 | 12.4880 USD | ||||
| Ordinary NPV | Sale | 24,300 | 12.4441 USD | ||||
| Ordinary NPV | Sale | 24,364 | 12.3790 USD | ||||
| Ordinary NPV | Sale | 34,300 | 12.5204 USD | ||||
| Ordinary NPV | Sale | 34,887 | 12.5527 USD | ||||
| Ordinary NPV | Sale | 74,099 | 12.5076 USD | ||||
| Ordinary NPV | Sale | 87,973 | 12.5432 USD | ||||
| Ordinary NPV | Sale | 94,275 | 12.5573 USD | ||||
| Ordinary NPV | Sale | 172,297 | 12.5579 USD | ||||
| Ordinary NPV | Sale | 307 | 16.4400 CAD |
(ii) Principal trader where the sole reason for the connection is that the principal trader is in the same group as a connected adviser
| Class of relevant security | Purchases/ sales | Total number of securities | Highest price per unit paid/received | Lowest price per unit paid/received |
(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 | Product | Writing, | Number | Exercise | Type | Expiry | Option | ||||||||
| of | description | purchasing, | of | price | date | money | |||||||||
| relevant | selling, | securities | per unit | paid/ | |||||||||||
| security | varying etc | to which | received | ||||||||||||
| option | per unit | ||||||||||||||
| relates | |||||||||||||||
| Ordinary NPV | Call Options | Purchasing | 100 | 10 USD | American | 18 Jan 2019 | 2.6500 USD | ||||||||
| Ordinary NPV | Call Options | Purchasing | 100 | 13 USD | American | 18 Jan 2019 | 0.5000 USD | ||||||||
| Ordinary NPV | Call Options | Purchasing | 200 | 13 USD | American | 17 Jan 2020 | 1.7900 USD | ||||||||
| Ordinary NPV | Call Options | Purchasing | 200 | 14 USD | American | 18 Jan 2019 | 0.2700 USD | ||||||||
| Ordinary NPV | Call Options | Purchasing | 3,300 | 17 USD | American | 18 Apr 2019 | 0.1900 USD | ||||||||
| Ordinary NPV | Call Options | Purchasing | 1,600 | 20 USD | American | 17 Jan 2020 | 0.4306 USD | ||||||||
| Ordinary NPV | Call Options | Selling | 1,600 | 12 USD | American | 21 Dec 2018 | 0.8050 USD | ||||||||
| Ordinary NPV | Call Options | Selling | 100 | 13 USD | American | 30 Nov 2018 | 0.1900 USD | ||||||||
| Ordinary NPV | Call Options | Selling | 9,400 | 19 USD | American | 18 Apr 2019 | 0.1100 USD | ||||||||
| Ordinary NPV | Call Options | Selling | 3,800 | 21 USD | American | 18 Apr 2019 | 0.0600 USD | ||||||||
| Ordinary NPV | Put Options | Purchasing | 3,200 | 12 USD | American | 18 Jan 2019 | 0.4175 USD | ||||||||
| Ordinary NPV | Put Options | Purchasing | 300 | 13 USD | American | 18 Jan 2019 | 0.9133 USD | ||||||||
| Ordinary NPV | Put Options | Purchasing | 100 | 14 USD | American | 18 Apr 2019 | 2.1600 USD | ||||||||
| Ordinary NPV | Put Options | Selling | 3,200 | 11 USD | American | 18 Jan 2019 | 0.2175 USD | ||||||||
| Ordinary NPV | Put Options | Selling | 1,300 | 13 USD | American | 28 Dec 2018 | 0.8569 USD | ||||||||
| Ordinary NPV | Put Options | Selling | 200 | 13 USD | American | 18 Apr 2019 | 1.3000 USD | ||||||||
| Ordinary NPV | Put Options | Selling | 100 | 13 USD | American | 17 Jan 2020 | 2.0000 USD | ||||||||
| Ordinary NPV | Put Options | Selling | 100 | 15 USD | American | 18 Jan 2019 | 2.7300 USD |
(ii) Exercise
| Class of relevant security |
Product description
e.g. call option |
Exercising/ exercised against | Number of securities | Exercise price per unit |
(d) Other dealings (including subscribing for new securities)
| Class of relevant security |
Nature of dealing
e.g. subscription, conversion |
Details | Price per unit (if applicable) |
4. OTHER INFORMATION
(a) Indemnity and other dealing arrangements
|
Details of any indemnity or option arrangement, or any agreement or
understanding, formal or informal, relating to relevant securities
which may be an inducement to deal or refrain from dealing entered
into by the party to the offer or person acting in concert making
the disclosure and any other person:
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 party to the offer or person acting in concert
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
Are any Supplemental Forms attached?
| Supplemental Form 8 (Open Positions) | YES | |
| Supplemental Form 8 (SBL) | NO | |
| Date of disclosure: | 14 Nov 2018 | |
| Contact name: | Large Holdings Regulatory Operations | |
| Telephone number: | 020 3134 7213 |
Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service.
The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s dealing disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.
SUPPLEMENTAL FORM 8 (OPEN POSITIONS)
DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING OPTION) POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC.
Note 5(i) on Rule 8 of the Takeover Code (the “Code”)
1. KEY INFORMATION
| Identity of the person whose positions/dealings | Barclays PLC. | |
| are being disclosed: | ||
| Name of offeror/offeree in relation to whose | BARRICK GOLD CORPORATION | |
| relevant securities this from relates: |
2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)
| Class | Product | Writing, | Number | Exercise | Type | Expiry | |||||||
| of | description | purchasing, | of | price | date | ||||||||
| relevant | selling, | securities | per unit | ||||||||||
| security | varying etc | to which | |||||||||||
| option | |||||||||||||
| relates | |||||||||||||
| Ordinary NPV | Call Options | Purchased | 100 | 15.0000 | American | 30 Nov 2018 | |||||||
| Ordinary NPV | Call Options | Purchased | 100 | 11.0000 | American | 21 Dec 2018 | |||||||
| Ordinary NPV | Call Options | Purchased | 100 | 13.0000 | American | 18 Apr 2019 | |||||||
| Ordinary NPV | Call Options | Purchased | 100 | 6.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Call Options | Purchased | 200 | 16.0000 | American | 21 Dec 2018 | |||||||
| Ordinary NPV | Call Options | Purchased | 200 | 20.0000 | American | 15 Jan 2021 | |||||||
| Ordinary NPV | Call Options | Purchased | 300 | 11.0000 | American | 23 Nov 2018 | |||||||
| Ordinary NPV | Call Options | Purchased | 300 | 14.0000 | American | 23 Nov 2018 | |||||||
| Ordinary NPV | Call Options | Purchased | 400 | 15.0000 | American | 15 Jan 2021 | |||||||
| Ordinary NPV | Call Options | Purchased | 600 | 25.0000 | American | 18 Apr 2019 | |||||||
| Ordinary NPV | Call Options | Purchased | 900 | 13.0000 | American | 23 Nov 2018 | |||||||
| Ordinary NPV | Call Options | Purchased | 1,500 | 14.0000 | American | 30 Nov 2018 | |||||||
| Ordinary NPV | Call Options | Purchased | 1,600 | 10.0000 | American | 16 Nov 2018 | |||||||
| Ordinary NPV | Call Options | Purchased | 1,700 | 25.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Call Options | Purchased | 1,900 | 8.0000 | American | 17 Jan 2020 | |||||||
| Ordinary NPV | Call Options | Purchased | 2,000 | 11.0000 | American | 18 Apr 2019 | |||||||
| Ordinary NPV | Call Options | Purchased | 3,700 | 18.0000 | American | 18 Apr 2019 | |||||||
| Ordinary NPV | Call Options | Purchased | 4,700 | 16.0000 | American | 30 Nov 2018 | |||||||
| Ordinary NPV | Call Options | Purchased | 5,100 | 14.0000 | American | 18 Apr 2019 | |||||||
| Ordinary NPV | Call Options | Purchased | 6,800 | 15.0000 | American | 16 Nov 2018 | |||||||
| Ordinary NPV | Call Options | Purchased | 10,200 | 35.0000 | American | 17 Jan 2020 | |||||||
| Ordinary NPV | Call Options | Purchased | 11,600 | 14.0000 | American | 16 Nov 2018 | |||||||
| Ordinary NPV | Call Options | Purchased | 15,100 | 16.0000 | American | 18 Apr 2019 | |||||||
| Ordinary NPV | Call Options | Purchased | 18,600 | 11.0000 | American | 16 Nov 2018 | |||||||
| Ordinary NPV | Call Options | Purchased | 18,900 | 13.0000 | American | 16 Nov 2018 | |||||||
| Ordinary NPV | Call Options | Purchased | 19,200 | 17.0000 | American | 18 Apr 2019 | |||||||
| Ordinary NPV | Call Options | Purchased | 27,500 | 9.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Call Options | Purchased | 32,200 | 10.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Call Options | Purchased | 38,600 | 10.0000 | American | 17 Jan 2020 | |||||||
| Ordinary NPV | Call Options | Purchased | 45,000 | 20.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Call Options | Purchased | 177,100 | 22.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Call Options | Written | -274,800 | 15.0000 | American | 17 Jan 2020 | |||||||
| Ordinary NPV | Call Options | Written | -256,200 | 20.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Call Options | Written | -183,600 | 12.0000 | American | 16 Nov 2018 | |||||||
| Ordinary NPV | Call Options | Written | -162,500 | 17.0000 | American | 17 Jan 2020 | |||||||
| Ordinary NPV | Call Options | Written | -118,300 | 13.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Call Options | Written | -114,700 | 16.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Call Options | Written | -97,100 | 15.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Call Options | Written | -80,800 | 30.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Call Options | Written | -77,400 | 14.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Call Options | Written | -60,700 | 22.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Call Options | Written | -56,400 | 17.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Call Options | Written | -55,600 | 12.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Call Options | Written | -46,800 | 11.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Call Options | Written | -44,100 | 35.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Call Options | Written | -35,700 | 25.0000 | American | 17 Jan 2020 | |||||||
| Ordinary NPV | Call Options | Written | -22,600 | 13.0000 | American | 17 Jan 2020 | |||||||
| Ordinary NPV | Call Options | Written | -20,800 | 25.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Call Options | Written | -16,700 | 20.0000 | American | 17 Jan 2020 | |||||||
| Ordinary NPV | Call Options | Written | -16,600 | 13.0000 | American | 7 Dec 2018 | |||||||
| Ordinary NPV | Call Options | Written | -15,600 | 37.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Call Options | Written | -14,300 | 15.0000 | American | 18 Apr 2019 | |||||||
| Ordinary NPV | Call Options | Written | -13,300 | 27.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Call Options | Written | -12,000 | 10.0000 | American | 18 Apr 2019 | |||||||
| Ordinary NPV | Call Options | Written | -11,200 | 18.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Call Options | Written | -9,400 | 19.0000 | American | 18 Apr 2019 | |||||||
| Ordinary NPV | Call Options | Written | -7,000 | 14.0000 | American | 14 Dec 2018 | |||||||
| Ordinary NPV | Call Options | Written | -6,500 | 15.0000 | American | 21 Dec 2018 | |||||||
| Ordinary NPV | Call Options | Written | -5,900 | 27.0000 | American | 17 Jan 2020 | |||||||
| Ordinary NPV | Call Options | Written | -5,300 | 19.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Call Options | Written | -5,000 | 16.0000 | American | 16 Nov 2018 | |||||||
| Ordinary NPV | Call Options | Written | -5,000 | 18.0000 | American | 16 Nov 2018 | |||||||
| Ordinary NPV | Call Options | Written | -4,800 | 21.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Call Options | Written | -4,700 | 24.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Call Options | Written | -4,500 | 13.0000 | American | 21 Dec 2018 | |||||||
| Ordinary NPV | Call Options | Written | -3,800 | 21.0000 | American | 18 Apr 2019 | |||||||
| Ordinary NPV | Call Options | Written | -3,500 | 22.0000 | American | 17 Jan 2020 | |||||||
| Ordinary NPV | Call Options | Written | -3,500 | 15.0000 | American | 16 Nov 2018 | |||||||
| Ordinary NPV | Call Options | Written | -3,400 | 12.0000 | American | 18 Apr 2019 | |||||||
| Ordinary NPV | Call Options | Written | -2,800 | 14.0000 | American | 21 Dec 2018 | |||||||
| Ordinary NPV | Call Options | Written | -1,800 | 17.0000 | American | 21 Dec 2018 | |||||||
| Ordinary NPV | Call Options | Written | -1,400 | 12.0000 | American | 21 Dec 2018 | |||||||
| Ordinary NPV | Call Options | Written | -1,400 | 8.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Call Options | Written | -1,300 | 13.0000 | American | 14 Dec 2018 | |||||||
| Ordinary NPV | Call Options | Written | -1,000 | 10.0000 | American | 15 Jan 2021 | |||||||
| Ordinary NPV | Call Options | Written | -800 | 14.0000 | American | 16 Nov 2018 | |||||||
| Ordinary NPV | Call Options | Written | -700 | 26.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Call Options | Written | -500 | 15.0000 | American | 7 Dec 2018 | |||||||
| Ordinary NPV | Call Options | Written | -400 | 9.0000 | American | 16 Nov 2018 | |||||||
| Ordinary NPV | Call Options | Written | -300 | 10.0000 | American | 14 Dec 2018 | |||||||
| Ordinary NPV | Call Options | Written | -200 | 14.0000 | American | 7 Dec 2018 | |||||||
| Ordinary NPV | Call Options | Written | -100 | 13.0000 | American | 30 Nov 2018 | |||||||
| Ordinary NPV | Call Options | Written | -100 | 9.0000 | American | 18 Apr 2019 | |||||||
| Ordinary NPV | Call Options | Written | -100 | 12.0000 | American | 15 Jan 2021 | |||||||
| Ordinary NPV | Put Options | Purchased | -300,000 | 15.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Put Options | Purchased | -155,100 | 9.0000 | American | 18 Apr 2019 | |||||||
| Ordinary NPV | Put Options | Purchased | -137,700 | 10.0000 | American | 17 Jan 2020 | |||||||
| Ordinary NPV | Put Options | Purchased | -73,000 | 10.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Put Options | Purchased | -53,400 | 9.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Put Options | Purchased | -28,100 | 13.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Put Options | Purchased | -19,500 | 13.0000 | American | 16 Nov 2018 | |||||||
| Ordinary NPV | Put Options | Purchased | -13,600 | 8.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Put Options | Purchased | -10,700 | 11.0000 | American | 18 Apr 2019 | |||||||
| Ordinary NPV | Put Options | Purchased | -4,800 | 13.0000 | American | 17 Jan 2020 | |||||||
| Ordinary NPV | Put Options | Purchased | -3,000 | 20.0000 | American | 17 Jan 2020 | |||||||
| Ordinary NPV | Put Options | Purchased | -1,900 | 8.0000 | American | 17 Jan 2020 | |||||||
| Ordinary NPV | Put Options | Purchased | -1,500 | 10.0000 | American | 18 Apr 2019 | |||||||
| Ordinary NPV | Put Options | Purchased | -500 | 11.0000 | American | 7 Dec 2018 | |||||||
| Ordinary NPV | Put Options | Purchased | -500 | 14.0000 | American | 16 Nov 2018 | |||||||
| Ordinary NPV | Put Options | Purchased | -300 | 8.0000 | American | 15 Jan 2021 | |||||||
| Ordinary NPV | Put Options | Purchased | -200 | 13.0000 | American | 30 Nov 2018 | |||||||
| Ordinary NPV | Put Options | Written | 100 | 15.0000 | American | 16 Nov 2018 | |||||||
| Ordinary NPV | Put Options | Written | 100 | 12.0000 | American | 15 Jan 2021 | |||||||
| Ordinary NPV | Put Options | Written | 200 | 10.0000 | American | 16 Nov 2018 | |||||||
| Ordinary NPV | Put Options | Written | 300 | 19.0000 | American | 21 Dec 2018 | |||||||
| Ordinary NPV | Put Options | Written | 400 | 22.0000 | American | 17 Jan 2020 | |||||||
| Ordinary NPV | Put Options | Written | 400 | 17.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Put Options | Written | 600 | 11.0000 | American | 16 Nov 2018 | |||||||
| Ordinary NPV | Put Options | Written | 600 | 7.0000 | American | 18 Apr 2019 | |||||||
| Ordinary NPV | Put Options | Written | 600 | 8.0000 | American | 18 Apr 2019 | |||||||
| Ordinary NPV | Put Options | Written | 600 | 5.0000 | American | 17 Jan 2020 | |||||||
| Ordinary NPV | Put Options | Written | 700 | 16.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Put Options | Written | 700 | 10.0000 | American | 30 Nov 2018 | |||||||
| Ordinary NPV | Put Options | Written | 800 | 13.0000 | American | 23 Nov 2018 | |||||||
| Ordinary NPV | Put Options | Written | 900 | 14.0000 | American | 18 Apr 2019 | |||||||
| Ordinary NPV | Put Options | Written | 1,000 | 13.0000 | American | 18 Apr 2019 | |||||||
| Ordinary NPV | Put Options | Written | 1,000 | 15.0000 | American | 21 Dec 2018 | |||||||
| Ordinary NPV | Put Options | Written | 1,100 | 20.0000 | American | 15 Jan 2021 | |||||||
| Ordinary NPV | Put Options | Written | 1,200 | 11.0000 | American | 21 Dec 2018 | |||||||
| Ordinary NPV | Put Options | Written | 1,300 | 13.0000 | American | 28 Dec 2018 | |||||||
| Ordinary NPV | Put Options | Written | 1,400 | 14.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Put Options | Written | 1,700 | 13.0000 | American | 21 Dec 2018 | |||||||
| Ordinary NPV | Put Options | Written | 2,000 | 14.0000 | American | 7 Dec 2018 | |||||||
| Ordinary NPV | Put Options | Written | 2,600 | 20.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Put Options | Written | 3,600 | 11.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Put Options | Written | 4,000 | 12.0000 | American | 16 Nov 2018 | |||||||
| Ordinary NPV | Put Options | Written | 4,400 | 12.0000 | American | 21 Dec 2018 | |||||||
| Ordinary NPV | Put Options | Written | 5,000 | 15.0000 | American | 15 Jan 2021 | |||||||
| Ordinary NPV | Put Options | Written | 5,900 | 12.0000 | American | 18 Apr 2019 | |||||||
| Ordinary NPV | Put Options | Written | 19,300 | 15.0000 | American | 18 Jan 2019 | |||||||
| Ordinary NPV | Put Options | Written | 22,400 | 17.0000 | American | 17 Jan 2020 | |||||||
| Ordinary NPV | Put Options | Written | 33,300 | 15.0000 | American | 17 Jan 2020 | |||||||
| Ordinary NPV | Put Options | Written | 67,800 | 12.0000 | American | 18 Jan 2019 |
3. AGREEMENTS TO PURCHASE OR SELL ETC.
| Full details should be given so that the nature of the interest or position can be fully understood: |
It is not necessary to provide details on a Supplemental Form (Open Positions) with regard to cash-settled derivatives.
The currency of all prices and other monetary amounts should be stated.
The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.
View source version on businesswire.com: https://www.businesswire.com/news/home/20181114005435/en/
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