REG - Citadel Group Barrick Gold Corp - Form 8.3 - Barrick Gold Corporation
FORM 8.3
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY
A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1%
OR MORE
Rule 8.3 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Full name of discloser:
Citadel Group
(b) Owner or controller of interests and short positions
disclosed, if different from 1(a):
The naming of nominee or vehicle companies is
insufficient. For a trust, the trustee(s), settlor and
beneficiaries must be named.
(c) Name of offeror/offeree in relation to whose relevant
securities this form relates:
Use a separate form for each offeror/offeree
BARRICK GOLD CORPORATION
(d) If an exempt fund manager connected with an
offeror/offeree, state this and specify identity of
offeror/offeree:
(e) Date position held/dealing undertaken:
For an opening position disclosure, state the latest
practicable date prior to the disclosure
23 October, 2018
(f) In addition to the company in 1(c) above, is the
discloser making disclosures in respect of any other
party to the offer?
If it is a cash offer or possible cash offer, state "N/A"
RANDGOLD RESOURCES LTD
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 (if any)
Class of relevant security:
Common Stock ISIN CA0679011084
Interests
Short Positions
Number
%
Number
%
(1) Relevant securities owned and/or controlled:
11,705,353
1.00
133,259
0.01
(2) Cash-settled derivatives:
0
0.00
0
0.00
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:
0
0.00
53,300
0.00
TOTAL:
11,705,353
1.00
186,559
0.02
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 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
Class of relevant security
ISIN CA0679011084
Purchase/sale
Number of securities
Price per unit
Common Stock
Purchase
800
11.56 EUR
Common Stock
Purchase
290
11.6 EUR
Common Stock
Purchase
309
11.62 EUR
Common Stock
Purchase
45
11.64 EUR
Common Stock
Purchase
432
11.77 EUR
Common Stock
Purchase
230
11.8 EUR
Common Stock
Purchase
900
11.82 EUR
Common Stock
Purchase
40
11.83 EUR
Common Stock
Purchase
3,539
11.84 EUR
Common Stock
Purchase
2,136
11.85 EUR
Common Stock
Purchase
1,346
11.86 EUR
Common Stock
Purchase
800
11.88 EUR
Common Stock
Purchase
435
11.9 EUR
Common Stock
Purchase
100
13.27 USD
Common Stock
Purchase
300
13.32 USD
Common Stock
Purchase
200
13.325 USD
Common Stock
Purchase
2,400
13.32875 USD
Common Stock
Purchase
1,900
13.330789 USD
Common Stock
Purchase
300
13.331667 USD
Common Stock
Purchase
1,064
13.33265 USD
Common Stock
Purchase
200
13.335 USD
Common Stock
Purchase
3,000
13.4145 USD
Common Stock
Purchase
26,339
13.43458 USD
Common Stock
Purchase
3,125
13.442845 USD
Common Stock
Purchase
1,648
13.477002 USD
Common Stock
Purchase
9,500
13.497684 USD
Common Stock
Purchase
200
13.5 USD
Common Stock
Purchase
100
13.515 USD
Common Stock
Purchase
3,200
13.518906 USD
Common Stock
Purchase
1,814
13.534344 USD
Common Stock
Purchase
350
13.535 USD
Common Stock
Purchase
16,416
13.547211 USD
Common Stock
Purchase
2,800
13.558929 USD
Common Stock
Purchase
425
13.567059 USD
Common Stock
Purchase
55,886
13.575426 USD
Common Stock
Purchase
17,406
13.614705 USD
Common Stock
Purchase
26,380
13.620402 USD
Common Stock
Purchase
200
13.625 USD
Common Stock
Purchase
2,000
13.6465 USD
Common Stock
Purchase
15,400
17.5785714286 CAD
Common Stock
Purchase
48,000
17.68 CAD
Common Stock
Purchase
5,200
17.8609615385 CAD
Common Stock
Sale
-900
11.66 EUR
Common Stock
Sale
-236
11.67 EUR
Common Stock
Sale
-600
11.68 EUR
Common Stock
Sale
-2
11.73 EUR
Common Stock
Sale
-111
11.78 EUR
Common Stock
Sale
-173
11.79 EUR
Common Stock
Sale
-478
11.8 EUR
Common Stock
Sale
-600
11.82 EUR
Common Stock
Sale
-776
11.83 EUR
Common Stock
Sale
-1,642
11.86 EUR
Common Stock
Sale
-1,850
11.88 EUR
Common Stock
Sale
-1,400
11.9 EUR
Common Stock
Sale
-800
11.92 EUR
Common Stock
Sale
-2
13.2775 USD
Common Stock
Sale
-423
13.296442 USD
Common Stock
Sale
-1,101
13.305 USD
Common Stock
Sale
-2,300
13.315 USD
Common Stock
Sale
-2,300
13.32 USD
Common Stock
Sale
-17
13.320882 USD
Common Stock
Sale
-71
13.32229 USD
Common Stock
Sale
-800
13.35 USD
Common Stock
Sale
-1,548
13.36095 USD
Common Stock
Sale
-900
13.377778 USD
Common Stock
Sale
-7,174
13.387276 USD
Common Stock
Sale
-1,500
13.400667 USD
Common Stock
Sale
-800
13.41 USD
Common Stock
Sale
-300
13.413333 USD
Common Stock
Sale
-60,207
13.423762 USD
Common Stock
Sale
-29,201
13.424873 USD
Common Stock
Sale
-14,793
13.427172 USD
Common Stock
Sale
-90
13.454889 USD
Common Stock
Sale
-417,839
13.476885 USD
Common Stock
Sale
-10,000
13.55 USD
Common Stock
Sale
-24,400
13.584426 USD
Common Stock
Sale
-400
13.58875 USD
Common Stock
Sale
-3,600
13.59 USD
Common Stock
Sale
-2,000
13.5915 USD
Common Stock
Sale
-9,800
13.592704 USD
Common Stock
Sale
-9,300
13.595 USD
Common Stock
Sale
-5,650
13.598717 USD
Common Stock
Sale
-157,163
13.603793 USD
Common Stock
Sale
-2,296
13.605226 USD
Common Stock
Sale
-14,100
13.605887 USD
Common Stock
Sale
-31,830
13.610471 USD
Common Stock
Sale
-37,116
13.643762 USD
Common Stock
Sale
-5,500
13.645 USD
Common Stock
Sale
-36,000
17.6499722222 CAD
Common Stock
Sale
-18,700
17.6725668449 CAD
(b) Cash-settled derivative transactions
Class of relevant security
ISIN
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)
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 person 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 person 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:
24 October, 2018
Contact name:
Jamison Van Doesburg
Telephone number*:
020 7645 9700
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.
*If the discloser is a natural person, a telephone number does not need to be included, provided contact information has been provided to the Panel's Market Surveillance Unit.
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
Full name of person making disclosure:
Citadel Group
Name of offeror/offeree in relation to whose relevant securities the disclosure relates:
BARRICK GOLD CORPORATION
2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)
Class of relevant security
ISIN
CA0679011084
Product description e.g. call option
Written or purchased
Number of securities to which option or derivative relates
Exercise price per unit
Type
e.g. American, European etc.
Expiry date
Common
Put Option
Written
5000
14 USD
American
16/11/2018
Common
Put Option
Written
30000
13 USD
American
16/11/2018
Common
Put Option
Written
5000
12 USD
American
16/11/2018
Common
Put Option
Written
5000
12 USD
American
18/04/2019
Common
Put Option
Written
5000
13 USD
American
18/04/2019
Common
Put Option
Written
11000
12 USD
American
18/01/2019
Common
Put Option
Written
22000
14 USD
American
18/01/2019
Common
Put Option
Written
12000
11 USD
American
18/01/2019
Common
Put Option
Purchased
-163300
15 USD
American
18/01/2019
Common
Put Option
Written
6000
13 USD
American
18/01/2019
Common
Put Option
Written
9000
10 USD
American
18/01/2019
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.
This information is provided by RNS, the news service of the London Stock Exchange. RNS is approved by the Financial Conduct Authority to act as a Primary Information Provider in the United Kingdom. Terms and conditions relating to the use and distribution of this information may apply. For further information, please contact rns@lseg.com or visit www.rns.com.ENDRETPGGCPUUPRUBC
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