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
26 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:
10,341,222
0.89
69,200
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
47,100
0.00
TOTAL:
10,341,222
0.89
116,300
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
750
11.16 EUR
Common Stock
Purchase
417
11.3 EUR
Common Stock
Purchase
100
12.825 USD
Common Stock
Purchase
100
12.83 USD
Common Stock
Purchase
700
12.832143 USD
Common Stock
Purchase
1,130
12.839248 USD
Common Stock
Purchase
200
12.845 USD
Common Stock
Purchase
800
12.875 USD
Common Stock
Purchase
400
12.88 USD
Common Stock
Purchase
3,000
12.885 USD
Common Stock
Purchase
10,450
12.889809 USD
Common Stock
Purchase
4,400
12.900795 USD
Common Stock
Purchase
1,250
12.9052 USD
Common Stock
Purchase
1,200
12.945833 USD
Common Stock
Purchase
100
16.83 CAD
Common Stock
Purchase
14,100
16.9045390071 CAD
Common Stock
Purchase
55,200
16.9504257246 CAD
Common Stock
Sale
-119
11.08 EUR
Common Stock
Sale
-10
11.12 EUR
Common Stock
Sale
-110
11.18 EUR
Common Stock
Sale
-298
11.2 EUR
Common Stock
Sale
-750
11.24 EUR
Common Stock
Sale
-191
12.738874 USD
Common Stock
Sale
-656
12.766433 USD
Common Stock
Sale
-650
12.838462 USD
Common Stock
Sale
-266
12.84 USD
Common Stock
Sale
-2,757
12.843912 USD
Common Stock
Sale
-700
12.848571 USD
Common Stock
Sale
-234
12.855 USD
Common Stock
Sale
-59,533
12.8588 USD
Common Stock
Sale
-223,467
12.8644 USD
Common Stock
Sale
-124
12.891129 USD
Common Stock
Sale
-3,653
12.909012 USD
Common Stock
Sale
-860
12.917151 USD
Common Stock
Sale
-5
12.92 USD
Common Stock
Sale
-15,428
12.920159 USD
Common Stock
Sale
-3,500
12.931857 USD
Common Stock
Sale
-4
12.935 USD
Common Stock
Sale
-1,800
12.935556 USD
Common Stock
Sale
-100
12.94 USD
Common Stock
Sale
-500
12.954 USD
Common Stock
Sale
-50
12.9542 USD
Common Stock
Sale
-96
12.955 USD
Common Stock
Sale
-576
12.956597 USD
Common Stock
Sale
-20,019
12.958323 USD
Common Stock
Sale
-8,200
12.961829 USD
Common Stock
Sale
-4,630
12.964084 USD
Common Stock
Sale
-1,707
12.964654 USD
Common Stock
Sale
-17,182
12.965281 USD
Common Stock
Sale
-2,000
12.96675 USD
Common Stock
Sale
-6,000
12.967167 USD
Common Stock
Sale
-100
12.97 USD
Common Stock
Sale
-21,817
12.977248 USD
Common Stock
Sale
-3,134
12.982317 USD
Common Stock
Sale
-2,025
12.990588 USD
Common Stock
Sale
-4,793
13.012869 USD
Common Stock
Sale
-20,132
13.013256 USD
Common Stock
Sale
-3,800
13.013553 USD
Common Stock
Sale
-300
13.016667 USD
Common Stock
Sale
-1,607
13.017001 USD
Common Stock
Sale
-12,136
13.020911 USD
Common Stock
Sale
-1,876
13.022364 USD
Common Stock
Sale
-25,646
13.022626 USD
Common Stock
Sale
-20,395
13.023848 USD
Common Stock
Sale
-5,724
13.041849 USD
Common Stock
Sale
-10,575
13.044545 USD
Common Stock
Sale
-250
13.04716 USD
Common Stock
Sale
-8,446
13.048825 USD
Common Stock
Sale
-2,454
13.049358 USD
Common Stock
Sale
-1,036
13.053403 USD
Common Stock
Sale
-23,784
13.058395 USD
Common Stock
Sale
-90,753
13.070891 USD
Common Stock
Sale
-225,455
13.096315 USD
Common Stock
Sale
-272
13.097518 USD
Common Stock
Sale
-2,980
13.098456 USD
Common Stock
Sale
-8,800
13.101136 USD
Common Stock
Sale
-5,548
13.10514 USD
Common Stock
Sale
-6,885
13.11225 USD
Common Stock
Sale
-2,852
13.117702 USD
Common Stock
Sale
-1,928
13.120838 USD
Common Stock
Sale
-11,964
13.125079 USD
Common Stock
Sale
-1,711
13.125877 USD
Common Stock
Sale
-11,100
13.132613 USD
Common Stock
Sale
-523
13.136281 USD
Common Stock
Sale
-4,177
13.152316 USD
Common Stock
Sale
-2,900
13.156897 USD
Common Stock
Sale
-100
13.16 USD
Common Stock
Sale
-17,100
13.160249 USD
Common Stock
Sale
-9,300
13.167312 USD
Common Stock
Sale
-5,800
13.169655 USD
Common Stock
Sale
-87
13.18046 USD
Common Stock
Sale
-713
13.18345 USD
Common Stock
Sale
-2,200
13.183636 USD
Common Stock
Sale
-300
13.235 USD
Common Stock
Sale
-4,000
16.876832 CAD
Common Stock
Sale
-100
16.89 CAD
Common Stock
Sale
-20,100
17.0947263682 CAD
Common Stock
Sale
-46,700
17.1105139186 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
ISIN
CA0679011084
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
Common
Put Option
Writing
-32
13 USD
American
16/11/2018
0.52 USD
Common
Put Option
Writing
-30
13 USD
American
16/11/2018
0.54 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 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:
29 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
36200
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.ENDRETPGGRWUUPRGAB
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