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
07 December, 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:
9,421,575
0.81
3,310,449
0.28
(2) Cash-settled derivatives:
0
0.00
0
0.00
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:
0
0.00
115,800
0.01
TOTAL:
9,421,575
0.81
3,426,249
0.29
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
200
11.82 EUR
Common Stock
Purchase
200
11.9 EUR
Common Stock
Purchase
400
11.92 EUR
Common Stock
Purchase
1,676
11.93 EUR
Common Stock
Purchase
875
11.99 EUR
Common Stock
Purchase
2,328
13.496723 USD
Common Stock
Purchase
572
13.496731 USD
Common Stock
Purchase
600
13.54 USD
Common Stock
Purchase
244
13.600574 USD
Common Stock
Purchase
67,710
13.604327 USD
Common Stock
Purchase
156,245
13.604328 USD
Common Stock
Purchase
34,303
13.604329 USD
Common Stock
Purchase
41
13.604356 USD
Common Stock
Purchase
166
13.604375 USD
Common Stock
Purchase
1,112
13.606295 USD
Common Stock
Purchase
356
13.608034 USD
Common Stock
Purchase
737
13.612354 USD
Common Stock
Purchase
701
13.614422 USD
Common Stock
Purchase
4,358
13.615718 USD
Common Stock
Purchase
208
13.615962 USD
Common Stock
Purchase
19,448
13.622061 USD
Common Stock
Purchase
2,799
13.623898 USD
Common Stock
Purchase
2,043
13.62963 USD
Common Stock
Purchase
1,354
13.630953 USD
Common Stock
Purchase
3,960
13.631106 USD
Common Stock
Purchase
1,696
13.635598 USD
Common Stock
Purchase
2,257
13.639287 USD
Common Stock
Purchase
9,451
13.641476 USD
Common Stock
Purchase
8,743
13.643558 USD
Common Stock
Purchase
5,981
13.646832 USD
Common Stock
Purchase
8,657
13.647819 USD
Common Stock
Purchase
3,493
13.648989 USD
Common Stock
Purchase
5,546
13.651044 USD
Common Stock
Purchase
15,645
13.65215 USD
Common Stock
Purchase
7,108
13.655105 USD
Common Stock
Purchase
35,737
13.656154 USD
Common Stock
Purchase
1,357
13.660597 USD
Common Stock
Purchase
98
13.661276 USD
Common Stock
Purchase
243
13.664897 USD
Common Stock
Purchase
300
13.665 USD
Common Stock
Purchase
749
13.665895 USD
Common Stock
Purchase
600
13.670833 USD
Common Stock
Purchase
300
13.695 USD
Common Stock
Purchase
2,900
13.698793 USD
Common Stock
Purchase
1,094
13.701316 USD
Common Stock
Purchase
4,605
13.70135 USD
Common Stock
Purchase
840
13.703095 USD
Common Stock
Purchase
1,000
13.705 USD
Common Stock
Purchase
1,619
13.707412 USD
Common Stock
Purchase
400
13.71 USD
Common Stock
Purchase
605
13.712421 USD
Common Stock
Purchase
496
13.718952 USD
Common Stock
Purchase
2,004
13.720259 USD
Common Stock
Purchase
100
13.73 USD
Common Stock
Purchase
14,700
18.1304761905 CAD
Common Stock
Purchase
900
18.131111 CAD
Common Stock
Purchase
6,300
18.2003174603 CAD
Common Stock
Sale
-289
11.83 EUR
Common Stock
Sale
-1,200
11.84 EUR
Common Stock
Sale
-1,200
11.86 EUR
Common Stock
Sale
-431
11.88 EUR
Common Stock
Sale
-2
11.96 EUR
Common Stock
Sale
-1,369
12 EUR
Common Stock
Sale
-300
13.535 USD
Common Stock
Sale
-204
13.561667 USD
Common Stock
Sale
-1,600
13.578438 USD
Common Stock
Sale
-500
13.583 USD
Common Stock
Sale
-6,820
13.602187 USD
Common Stock
Sale
-400
13.6075 USD
Common Stock
Sale
-700
13.613571 USD
Common Stock
Sale
-100
13.63 USD
Common Stock
Sale
-3,901
13.630972 USD
Common Stock
Sale
-1,220
13.641311 USD
Common Stock
Sale
-16
13.643125 USD
Common Stock
Sale
-400
13.645 USD
Common Stock
Sale
-100
13.66 USD
Common Stock
Sale
-100
13.685 USD
Common Stock
Sale
-200
18.04 CAD
Common Stock
Sale
-3,400
18.0611764706 CAD
Common Stock
Sale
-15,600
18.1892628205 CAD
Common Stock
Sale
-20,400
18.2068872549 CAD
Common Stock
Sale
-100
18.34 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:
10 December, 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
-28500
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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