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
14 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:
10,836,362
0.93
2,768,320
0.24
(2) Cash-settled derivatives:
0
0.00
0
0.00
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:
0
0.00
51,100
0.00
TOTAL:
10,836,362
0.93
2,819,420
0.24
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
281
10.88 EUR
Common Stock
Purchase
14
10.9 EUR
Common Stock
Purchase
1,080
10.96 EUR
Common Stock
Purchase
2,500
12.3398 USD
Common Stock
Purchase
300
12.365 USD
Common Stock
Purchase
1,900
12.382632 USD
Common Stock
Purchase
4,400
12.389432 USD
Common Stock
Purchase
2,475
12.390859 USD
Common Stock
Purchase
1,302
12.435 USD
Common Stock
Purchase
900
12.438889 USD
Common Stock
Purchase
3,100
12.442742 USD
Common Stock
Purchase
2,800
12.447857 USD
Common Stock
Purchase
1,139
12.450127 USD
Common Stock
Purchase
4,200
12.451786 USD
Common Stock
Purchase
900
12.455 USD
Common Stock
Purchase
119,220
12.467778 USD
Common Stock
Purchase
7,279
12.47937 USD
Common Stock
Purchase
1,600
12.499063 USD
Common Stock
Purchase
5,400
12.507222 USD
Common Stock
Purchase
3,589
12.593554 USD
Common Stock
Purchase
695
12.604921 USD
Common Stock
Purchase
200
12.62 USD
Common Stock
Purchase
200
12.715 USD
Common Stock
Purchase
900
12.734444 USD
Common Stock
Purchase
15,836
12.738904 USD
Common Stock
Purchase
300
12.74 USD
Common Stock
Purchase
18,768
12.746503 USD
Common Stock
Purchase
10,484
12.747331 USD
Common Stock
Purchase
6,300
12.755 USD
Common Stock
Purchase
6,400
12.760313 USD
Common Stock
Purchase
68,870
12.760824 USD
Common Stock
Purchase
300
12.775 USD
Common Stock
Purchase
585
12.785 USD
Common Stock
Purchase
1,072
12.794067 USD
Common Stock
Purchase
900
12.795 USD
Common Stock
Purchase
7,400
16.9186486486 CAD
Common Stock
Purchase
8,800
16.9221590909 CAD
Common Stock
Sale
-1,176
10.88 EUR
Common Stock
Sale
-142
10.9 EUR
Common Stock
Sale
-544
10.94 EUR
Common Stock
Sale
-200
12.43 USD
Common Stock
Sale
-200
12.5325 USD
Common Stock
Sale
-11
12.614318 USD
Common Stock
Sale
-7
12.658571 USD
Common Stock
Sale
-1,400
12.742143 USD
Common Stock
Sale
-14,042
12.784833 USD
Common Stock
Sale
-333
12.788228 USD
Common Stock
Sale
-101
12.804059 USD
Common Stock
Sale
-400
12.82 USD
Common Stock
Sale
-200
12.825 USD
Common Stock
Sale
-8,358
12.836011 USD
Common Stock
Sale
-1,200
12.845 USD
Common Stock
Sale
-100
12.89 USD
Common Stock
Sale
-15,000
16.6832666667 CAD
Common Stock
Sale
-8,100
16.7386419753 CAD
Common Stock
Sale
-100
17.11 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:
15 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
Call Option
Written
-10200
13 USD
American
21/12/2018
Common
Put Option
Written
6000
12 USD
American
21/12/2018
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.ENDRETGGGGGGUPRGUA
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