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
25 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:
11,279,978
0.97
71,700
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:
11,279,978
0.97
125,000
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
45
11.67 EUR
Common Stock
Purchase
520
11.68 EUR
Common Stock
Purchase
54
11.77 EUR
Common Stock
Purchase
510
11.78 EUR
Common Stock
Purchase
480
11.79 EUR
Common Stock
Purchase
4,680
11.8 EUR
Common Stock
Purchase
545
11.86 EUR
Common Stock
Purchase
100
12.55 USD
Common Stock
Purchase
500
12.553 USD
Common Stock
Purchase
300
12.561667 USD
Common Stock
Purchase
1,700
12.564118 USD
Common Stock
Purchase
3,000
12.568667 USD
Common Stock
Purchase
6,620
12.569154 USD
Common Stock
Purchase
2,400
12.569167 USD
Common Stock
Purchase
5,600
12.569732 USD
Common Stock
Purchase
4,500
12.573667 USD
Common Stock
Purchase
1,700
12.575 USD
Common Stock
Purchase
2,000
12.581 USD
Common Stock
Purchase
1,700
12.585 USD
Common Stock
Purchase
2,200
12.585909 USD
Common Stock
Purchase
3,426
12.59786 USD
Common Stock
Purchase
30
12.611667 USD
Common Stock
Purchase
800
12.62125 USD
Common Stock
Purchase
7,201
12.645408 USD
Common Stock
Purchase
50,000
12.651199 USD
Common Stock
Purchase
21,474
12.65429 USD
Common Stock
Purchase
8,625
12.666447 USD
Common Stock
Purchase
1,600
12.68 USD
Common Stock
Purchase
66,749
12.681971 USD
Common Stock
Purchase
1,233
12.683329 USD
Common Stock
Purchase
1,011
12.686434 USD
Common Stock
Purchase
5,599
12.693234 USD
Common Stock
Purchase
22,510
12.724998 USD
Common Stock
Purchase
500
12.761 USD
Common Stock
Purchase
126,015
12.762796 USD
Common Stock
Purchase
10,400
12.786298 USD
Common Stock
Purchase
35,320
12.792058 USD
Common Stock
Purchase
12,500
12.79248 USD
Common Stock
Purchase
6,733
12.873251 USD
Common Stock
Purchase
762,777
13.082184 USD
Common Stock
Purchase
500
16.406 CAD
Common Stock
Purchase
100
16.49 CAD
Common Stock
Purchase
3,200
16.4959375 CAD
Common Stock
Purchase
4,900
16.5067346939 CAD
Common Stock
Purchase
63,900
16.797703 CAD
Common Stock
Sale
-852
11.07 EUR
Common Stock
Sale
-1,612
11.11 EUR
Common Stock
Sale
-2,518
11.12 EUR
Common Stock
Sale
-85
11.41 EUR
Common Stock
Sale
-324
11.44 EUR
Common Stock
Sale
-893
11.45 EUR
Common Stock
Sale
-960
11.46 EUR
Common Stock
Sale
-345
11.69 EUR
Common Stock
Sale
-300
11.7 EUR
Common Stock
Sale
-301
12.558704 USD
Common Stock
Sale
-1,299
12.5603 USD
Common Stock
Sale
-800
12.565 USD
Common Stock
Sale
-3,709
12.607757 USD
Common Stock
Sale
-89,145
12.612273 USD
Common Stock
Sale
-22,901
12.613593 USD
Common Stock
Sale
-789
12.618948 USD
Common Stock
Sale
-2,167
12.620263 USD
Common Stock
Sale
-533
12.622683 USD
Common Stock
Sale
-10,004
12.623638 USD
Common Stock
Sale
-7,830
12.624702 USD
Common Stock
Sale
-17,241
12.633078 USD
Common Stock
Sale
-2,196
12.634622 USD
Common Stock
Sale
-25,207
12.637122 USD
Common Stock
Sale
-3,959
12.640591 USD
Common Stock
Sale
-12,116
12.640699 USD
Common Stock
Sale
-47,184
12.641156 USD
Common Stock
Sale
-8,330
12.642722 USD
Common Stock
Sale
-11,053
12.643977 USD
Common Stock
Sale
-31,070
12.648041 USD
Common Stock
Sale
-3,127
12.648602 USD
Common Stock
Sale
-773
12.649185 USD
Common Stock
Sale
-2,435
12.659062 USD
Common Stock
Sale
-299,777
12.671261 USD
Common Stock
Sale
-1,050
12.673 USD
Common Stock
Sale
-16,301
12.674965 USD
Common Stock
Sale
-52,825
12.675322 USD
Common Stock
Sale
-3,999
12.675519 USD
Common Stock
Sale
-260
12.677692 USD
Common Stock
Sale
-12,605
12.678583 USD
Common Stock
Sale
-10,736
12.680783 USD
Common Stock
Sale
-69,119
12.68106 USD
Common Stock
Sale
-1,347
12.683682 USD
Common Stock
Sale
-5,253
12.68648 USD
Common Stock
Sale
-100,000
12.69 USD
Common Stock
Sale
-2,259
12.697747 USD
Common Stock
Sale
-314
12.737134 USD
Common Stock
Sale
-1,286
12.737589 USD
Common Stock
Sale
-500
12.755 USD
Common Stock
Sale
-100
12.78 USD
Common Stock
Sale
-1,000
12.844 USD
Common Stock
Sale
-1,800
12.86 USD
Common Stock
Sale
-100
12.995 USD
Common Stock
Sale
-300
13.04 USD
Common Stock
Sale
-700
13.046429 USD
Common Stock
Sale
-100
13.055 USD
Common Stock
Sale
-1,000
16.702 CAD
Common Stock
Sale
-4,300
17.0365116279 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:
26 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.ENDRETPGGMUUUPRGUQ
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