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
27 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:
10,435,494
0.89
3,701,184
0.32
(2) Cash-settled derivatives:
0
0.00
0
0.00
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:
0
0.00
112,500
0.01
TOTAL:
10,435,494
0.89
3,813,684
0.33
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
830
11.26 EUR
Common Stock
Purchase
850
11.48 EUR
Common Stock
Purchase
269
11.5 EUR
Common Stock
Purchase
103
11.54 EUR
Common Stock
Purchase
200
11.56 EUR
Common Stock
Purchase
16
12.695 USD
Common Stock
Purchase
2,600
16.913619 CAD
Common Stock
Purchase
19,800
17.0061111111 CAD
Common Stock
Purchase
6,900
17.0889855072 CAD
Common Stock
Sale
-800
11.28 EUR
Common Stock
Sale
-120
11.44 EUR
Common Stock
Sale
-1,634
11.56 EUR
Common Stock
Sale
-100
12.61 USD
Common Stock
Sale
-160
12.660625 USD
Common Stock
Sale
-413
12.669528 USD
Common Stock
Sale
-1,000
12.677 USD
Common Stock
Sale
-4,186
12.688233 USD
Common Stock
Sale
-94
12.707766 USD
Common Stock
Sale
-8,895
12.709474 USD
Common Stock
Sale
-5,500
12.712364 USD
Common Stock
Sale
-7,000
12.715929 USD
Common Stock
Sale
-6,969
12.716913 USD
Common Stock
Sale
-300
12.72 USD
Common Stock
Sale
-104,194
12.720433 USD
Common Stock
Sale
-500
12.728 USD
Common Stock
Sale
-5,400
12.732037 USD
Common Stock
Sale
-1,100
12.732273 USD
Common Stock
Sale
-15,749
12.734671 USD
Common Stock
Sale
-1,936
12.735 USD
Common Stock
Sale
-216
12.74 USD
Common Stock
Sale
-8,600
12.741919 USD
Common Stock
Sale
-2,400
12.745 USD
Common Stock
Sale
-8,000
12.75 USD
Common Stock
Sale
-300
12.755 USD
Common Stock
Sale
-14,577
12.766431 USD
Common Stock
Sale
-311,654
12.778438 USD
Common Stock
Sale
-400
12.78 USD
Common Stock
Sale
-800
12.78375 USD
Common Stock
Sale
-1,005
12.795672 USD
Common Stock
Sale
-305
12.812541 USD
Common Stock
Sale
-1,275
12.827314 USD
Common Stock
Sale
-300
12.836667 USD
Common Stock
Sale
-3,400
12.947941 USD
Common Stock
Sale
-900
13.02 USD
Common Stock
Sale
-6,500
16.9689230769 CAD
Common Stock
Sale
-4,800
17.0033333333 CAD
Common Stock
Sale
-1,000
17.32 CAD
Common Stock
Sale
-1,300
17.3669230769 CAD
Common Stock
Sale
-300
17.37 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
Call Option
Writing
-3
13 USD
American
21/12/2018
0.3 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:
28 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
-25200
13 USD
American
21/12/2018
Common
Put Option
Written
6000
12 USD
American
21/12/2018
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.
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