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
30 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:
10,755,890
0.92
1,255,553
0.11
(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:
10,755,890
0.92
1,302,653
0.11
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
1,526
10.92 EUR
Common Stock
Purchase
800
11.08 EUR
Common Stock
Purchase
20
11.12 EUR
Common Stock
Purchase
180
11.16 EUR
Common Stock
Purchase
100
12.49 USD
Common Stock
Purchase
38,400
12.50806 USD
Common Stock
Purchase
200
12.53 USD
Common Stock
Purchase
27,074
12.532675 USD
Common Stock
Purchase
1,900
12.534737 USD
Common Stock
Purchase
100
12.55 USD
Common Stock
Purchase
100
12.57 USD
Common Stock
Purchase
2,535
12.576095 USD
Common Stock
Purchase
700
12.584286 USD
Common Stock
Purchase
200
12.6 USD
Common Stock
Purchase
1,100
12.607273 USD
Common Stock
Purchase
1,203
12.60985 USD
Common Stock
Purchase
13,728
12.619706 USD
Common Stock
Purchase
600
12.62 USD
Common Stock
Purchase
2,257
12.624189 USD
Common Stock
Purchase
163
12.647883 USD
Common Stock
Purchase
24
12.653125 USD
Common Stock
Purchase
4,052
12.654284 USD
Common Stock
Purchase
185
12.669838 USD
Common Stock
Purchase
2,500
12.6726 USD
Common Stock
Purchase
28,596
12.67486 USD
Common Stock
Purchase
300
12.68 USD
Common Stock
Purchase
2,450
12.680714 USD
Common Stock
Purchase
5,300
12.681981 USD
Common Stock
Purchase
19,353
12.682907 USD
Common Stock
Purchase
96,088
12.683316 USD
Common Stock
Purchase
13,766
12.687002 USD
Common Stock
Purchase
6,355
12.687762 USD
Common Stock
Purchase
400
12.69 USD
Common Stock
Purchase
9,200
12.705272 USD
Common Stock
Purchase
100
12.725 USD
Common Stock
Purchase
200
12.73 USD
Common Stock
Purchase
19,900
16.5152763819 CAD
Common Stock
Purchase
12,200
16.5536885246 CAD
Common Stock
Sale
-280
11.02 EUR
Common Stock
Sale
-380
11.08 EUR
Common Stock
Sale
-25
11.14 EUR
Common Stock
Sale
-20
12.51 USD
Common Stock
Sale
-43,394
12.545901 USD
Common Stock
Sale
-403,891
12.547043 USD
Common Stock
Sale
-196,246
12.547063 USD
Common Stock
Sale
-100,113
12.54714 USD
Common Stock
Sale
-177
12.559689 USD
Common Stock
Sale
-200
12.575 USD
Common Stock
Sale
-2
12.5927 USD
Common Stock
Sale
-24,115
12.5948 USD
Common Stock
Sale
-47,088
12.59482 USD
Common Stock
Sale
-96,732
12.594824 USD
Common Stock
Sale
-9,522
12.595051 USD
Common Stock
Sale
-4,267
12.62415 USD
Common Stock
Sale
-1,300
12.63 USD
Common Stock
Sale
-29,796
12.639787 USD
Common Stock
Sale
-1,100
12.703636 USD
Common Stock
Sale
-924
12.72 USD
Common Stock
Sale
-23,613
12.72561 USD
Common Stock
Sale
-141,583
12.730683 USD
Common Stock
Sale
-68,137
12.730846 USD
Common Stock
Sale
-33,566
12.731336 USD
Common Stock
Sale
-401
12.754751 USD
Common Stock
Sale
-9,000
16.5825555556 CAD
Common Stock
Sale
-7,900
16.624565 CAD
Common Stock
Sale
-7,400
16.6628378378 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:
31 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.ENDRETWGGBWUUPRUBG
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