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
10 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:
9,417,542
0.81
2,969,686
0.25
(2) Cash-settled derivatives:
0
0.00
0
0.00
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:
0
0.00
109,800
0.01
TOTAL:
9,417,542
0.81
3,079,486
0.26
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
1,300
11.98 EUR
Common Stock
Purchase
240
12.04 EUR
Common Stock
Purchase
117
12.1 EUR
Common Stock
Purchase
792
12.27 EUR
Common Stock
Purchase
600
12.42 EUR
Common Stock
Purchase
500
13.69 USD
Common Stock
Purchase
700
13.695 USD
Common Stock
Purchase
1,000
13.702 USD
Common Stock
Purchase
700
13.705 USD
Common Stock
Purchase
5,549
13.709173 USD
Common Stock
Purchase
1,200
13.715 USD
Common Stock
Purchase
3,000
13.723333 USD
Common Stock
Purchase
2,800
13.725 USD
Common Stock
Purchase
2,901
13.725655 USD
Common Stock
Purchase
21,713
13.741919 USD
Common Stock
Purchase
200
13.785 USD
Common Stock
Purchase
300
13.791667 USD
Common Stock
Purchase
1,847
13.792783 USD
Common Stock
Purchase
453
13.793002 USD
Common Stock
Purchase
400
13.825 USD
Common Stock
Purchase
2,400
13.826771 USD
Common Stock
Purchase
1,150
13.833043 USD
Common Stock
Purchase
3,291
13.834108 USD
Common Stock
Purchase
809
13.834302 USD
Common Stock
Purchase
2,714
13.839471 USD
Common Stock
Purchase
665
13.839556 USD
Common Stock
Purchase
651
13.840983 USD
Common Stock
Purchase
2,649
13.84108 USD
Common Stock
Purchase
6,988
13.847942 USD
Common Stock
Purchase
2,400
13.849375 USD
Common Stock
Purchase
100
13.865 USD
Common Stock
Purchase
3,157
13.875236 USD
Common Stock
Purchase
776
13.875335 USD
Common Stock
Purchase
51
13.88 USD
Common Stock
Purchase
200
13.885 USD
Common Stock
Purchase
307
13.89 USD
Common Stock
Purchase
2,994
13.900407 USD
Common Stock
Purchase
25,130
13.900457 USD
Common Stock
Purchase
6,174
13.90046 USD
Common Stock
Purchase
12,188
13.900461 USD
Common Stock
Purchase
30
13.903833 USD
Common Stock
Purchase
56,370
13.924078 USD
Common Stock
Purchase
144,784
13.92408 USD
Common Stock
Purchase
13,849
13.924081 USD
Common Stock
Purchase
139
13.9248 USD
Common Stock
Purchase
1,751
13.925862 USD
Common Stock
Purchase
7,126
13.92596 USD
Common Stock
Purchase
32
13.928594 USD
Common Stock
Purchase
891
13.931992 USD
Common Stock
Purchase
3,632
13.932054 USD
Common Stock
Purchase
1,718
13.993539 USD
Common Stock
Purchase
422
13.993602 USD
Common Stock
Purchase
8,800
18.5193181818 CAD
Common Stock
Purchase
500
18.574 CAD
Common Stock
Purchase
31,500
18.5995873016 CAD
Common Stock
Sale
-250
11.94 EUR
Common Stock
Sale
-410
12 EUR
Common Stock
Sale
-1,185
12.06 EUR
Common Stock
Sale
-90
12.09 EUR
Common Stock
Sale
-850
12.18 EUR
Common Stock
Sale
-792
12.21 EUR
Common Stock
Sale
-2,005
13.84 USD
Common Stock
Sale
-3,148
13.959632 USD
Common Stock
Sale
-961
13.972612 USD
Common Stock
Sale
-200
13.98 USD
Common Stock
Sale
-700
14 USD
Common Stock
Sale
-542
14.007648 USD
Common Stock
Sale
-6,292
14.010342 USD
Common Stock
Sale
-139
14.010612 USD
Common Stock
Sale
-200
14.02 USD
Common Stock
Sale
-456
14.020164 USD
Common Stock
Sale
-600
14.025 USD
Common Stock
Sale
-100
14.045 USD
Common Stock
Sale
-5,000
18.4032 CAD
Common Stock
Sale
-300
18.43 CAD
Common Stock
Sale
-200
18.48 CAD
Common Stock
Sale
-5,600
18.4994642857 CAD
Common Stock
Sale
-5,400
18.5261111111 CAD
Common Stock
Sale
-7,400
18.5551351351 CAD
Common Stock
Sale
-13,000
18.580776 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
Put Option
Writing
-60
14 USD
American
18/01/2019
0.6 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:
11 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
28000
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.ENDRETGGGCUPUPRGUG
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