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
24 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:
10,962,792
0.94
111,682
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:
10,962,792
0.94
164,982
0.01
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
1,418
11.7 EUR
Common Stock
Purchase
1,298
11.72 EUR
Common Stock
Purchase
13,272
13.136891 USD
Common Stock
Purchase
1,105
13.14267 USD
Common Stock
Purchase
500
13.15 USD
Common Stock
Purchase
7,741
13.171037 USD
Common Stock
Purchase
300
13.186667 USD
Common Stock
Purchase
6,507
13.187641 USD
Common Stock
Purchase
600
13.201667 USD
Common Stock
Purchase
2,800
13.20625 USD
Common Stock
Purchase
600
13.221667 USD
Common Stock
Purchase
5,896
13.229147 USD
Common Stock
Purchase
1,900
13.236842 USD
Common Stock
Purchase
47,797
13.246064 USD
Common Stock
Purchase
496
13.249446 USD
Common Stock
Purchase
100
13.255 USD
Common Stock
Purchase
700
13.255714 USD
Common Stock
Purchase
2,700
13.262037 USD
Common Stock
Purchase
100
17.08 CAD
Common Stock
Purchase
100
17.09 CAD
Common Stock
Purchase
200
17.1 CAD
Common Stock
Purchase
3,700
17.2883783784 CAD
Common Stock
Purchase
4,900
17.3071428571 CAD
Common Stock
Sale
-2,270
11.67 EUR
Common Stock
Sale
-219
11.68 EUR
Common Stock
Sale
-656
11.7 EUR
Common Stock
Sale
-550
11.74 EUR
Common Stock
Sale
-190
13.100526 USD
Common Stock
Sale
-46
13.102174 USD
Common Stock
Sale
-200
13.125 USD
Common Stock
Sale
-1,300
13.15 USD
Common Stock
Sale
-1,000
13.17 USD
Common Stock
Sale
-9,914
13.180494 USD
Common Stock
Sale
-9,100
13.211758 USD
Common Stock
Sale
-19,132
13.214948 USD
Common Stock
Sale
-200
13.22 USD
Common Stock
Sale
-16,400
13.221677 USD
Common Stock
Sale
-23,661
13.226531 USD
Common Stock
Sale
-384,090
13.226995 USD
Common Stock
Sale
-6,100
13.229672 USD
Common Stock
Sale
-2,758
13.232226 USD
Common Stock
Sale
-5
13.2365 USD
Common Stock
Sale
-200
13.24 USD
Common Stock
Sale
-107
13.241121 USD
Common Stock
Sale
-100
13.245 USD
Common Stock
Sale
-160,552
13.245302 USD
Common Stock
Sale
-77,868
13.24602 USD
Common Stock
Sale
-12,000
13.246583 USD
Common Stock
Sale
-39,448
13.247857 USD
Common Stock
Sale
-2,051
13.257501 USD
Common Stock
Sale
-36,441
13.260973 USD
Common Stock
Sale
-200
13.265 USD
Common Stock
Sale
-548
13.276277 USD
Common Stock
Sale
-164
13.28 USD
Common Stock
Sale
-7,100
13.282183 USD
Common Stock
Sale
-5,700
13.28386 USD
Common Stock
Sale
-600
13.293333 USD
Common Stock
Sale
-900
13.313333 USD
Common Stock
Sale
-38
13.335 USD
Common Stock
Sale
-605
13.351157 USD
Common Stock
Sale
-200
13.36 USD
Common Stock
Sale
-101
13.377376 USD
Common Stock
Sale
-700
13.380714 USD
Common Stock
Sale
-500
17.15 CAD
Common Stock
Sale
-1,600
17.165625 CAD
Common Stock
Sale
-200
17.2 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:
25 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.ENDRETPGGGUUUPRGUA
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