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
05 November, 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:
11,380,437
0.97
2,605,036
0.22
(2) Cash-settled derivatives:
0
0.00
0
0.00
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:
0
0.00
46,900
0.00
TOTAL:
11,380,437
0.97
2,651,936
0.23
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
35
11.52 EUR
Common Stock
Purchase
700
11.54 EUR
Common Stock
Purchase
210
11.66 EUR
Common Stock
Purchase
100
13.11 USD
Common Stock
Purchase
1,000
13.1653 USD
Common Stock
Purchase
626
13.167963 USD
Common Stock
Purchase
3,400
13.173235 USD
Common Stock
Purchase
100
13.175 USD
Common Stock
Purchase
7,533
13.178763 USD
Common Stock
Purchase
1,000
13.2055 USD
Common Stock
Purchase
9,862
13.213547 USD
Common Stock
Purchase
19,467
13.213564 USD
Common Stock
Purchase
40,138
13.213568 USD
Common Stock
Purchase
4,783
13.213574 USD
Common Stock
Purchase
48
13.213767 USD
Common Stock
Purchase
11
13.218855 USD
Common Stock
Purchase
1,500
13.226 USD
Common Stock
Purchase
500
13.232 USD
Common Stock
Purchase
2,400
13.244792 USD
Common Stock
Purchase
300
13.25 USD
Common Stock
Purchase
4,500
13.250667 USD
Common Stock
Purchase
900
17.327778 CAD
Common Stock
Purchase
11,700
17.3743589744 CAD
Common Stock
Purchase
1,600
17.3775 CAD
Common Stock
Sale
-42
11.5 EUR
Common Stock
Sale
-1,014
11.54 EUR
Common Stock
Sale
-778
11.59 EUR
Common Stock
Sale
-250
11.7 EUR
Common Stock
Sale
-3,900
13.103462 USD
Common Stock
Sale
-127
13.105 USD
Common Stock
Sale
-300
13.113333 USD
Common Stock
Sale
-100
13.12 USD
Common Stock
Sale
-2,000
13.13875 USD
Common Stock
Sale
-400
13.14 USD
Common Stock
Sale
-13,071
13.152079 USD
Common Stock
Sale
-200
13.165 USD
Common Stock
Sale
-1,400
13.171786 USD
Common Stock
Sale
-17,764
13.172984 USD
Common Stock
Sale
-200
13.175 USD
Common Stock
Sale
-300
13.176667 USD
Common Stock
Sale
-5,500
13.178091 USD
Common Stock
Sale
-1,800
13.178889 USD
Common Stock
Sale
-200
13.18 USD
Common Stock
Sale
-1,400
13.187857 USD
Common Stock
Sale
-2,100
13.194286 USD
Common Stock
Sale
-300
13.196667 USD
Common Stock
Sale
-200
13.2 USD
Common Stock
Sale
-91,464
13.203983 USD
Common Stock
Sale
-1,700
13.208235 USD
Common Stock
Sale
-17,449
13.214991 USD
Common Stock
Sale
-100
13.215 USD
Common Stock
Sale
-1,900
13.217368 USD
Common Stock
Sale
-100
13.22 USD
Common Stock
Sale
-2,900
13.229655 USD
Common Stock
Sale
-200
13.23 USD
Common Stock
Sale
-1,080
13.23037 USD
Common Stock
Sale
-10
13.235 USD
Common Stock
Sale
-200
13.3 USD
Common Stock
Sale
-100
13.326 USD
Common Stock
Sale
-100
13.355 USD
Common Stock
Sale
-3,000
13.395 USD
Common Stock
Sale
-200
13.42 USD
Common Stock
Sale
-13,700
17.4381386861 CAD
Common Stock
Sale
-14,900
17.4541610738 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:
06 November, 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
36400
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.ENDRETUGGPGGUPRGGQ
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