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
11 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:
9,603,855
0.82
3,019,927
0.26
(2) Cash-settled derivatives:
0
0.00
0
0.00
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:
0
0.00
110,100
0.01
TOTAL:
9,603,855
0.82
3,130,027
0.27
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
459
12.19 EUR
Common Stock
Purchase
230
12.3 EUR
Common Stock
Purchase
1,362
12.42 EUR
Common Stock
Purchase
850
12.44 EUR
Common Stock
Purchase
850
12.48 EUR
Common Stock
Purchase
250
12.54 EUR
Common Stock
Purchase
200
12.56 EUR
Common Stock
Purchase
400
13.6025 USD
Common Stock
Purchase
578
13.604619 USD
Common Stock
Purchase
600
13.606667 USD
Common Stock
Purchase
108
13.615 USD
Common Stock
Purchase
146,306
13.637398 USD
Common Stock
Purchase
400
13.655 USD
Common Stock
Purchase
197
13.659695 USD
Common Stock
Purchase
803
13.660075 USD
Common Stock
Purchase
68
13.677721 USD
Common Stock
Purchase
2,000
13.6855 USD
Common Stock
Purchase
401
13.690287 USD
Common Stock
Purchase
3,000
13.69325 USD
Common Stock
Purchase
445
13.69718 USD
Common Stock
Purchase
1,818
13.6972 USD
Common Stock
Purchase
600
13.7025 USD
Common Stock
Purchase
5,723
13.70694 USD
Common Stock
Purchase
1,100
13.722273 USD
Common Stock
Purchase
864
13.724022 USD
Common Stock
Purchase
2,248
13.724057 USD
Common Stock
Purchase
552
13.72413 USD
Common Stock
Purchase
700
13.73 USD
Common Stock
Purchase
100
13.735 USD
Common Stock
Purchase
12,214
13.748439 USD
Common Stock
Purchase
100
13.75 USD
Common Stock
Purchase
100
13.755 USD
Common Stock
Purchase
94,822
13.755464 USD
Common Stock
Purchase
100
13.76 USD
Common Stock
Purchase
700
13.775 USD
Common Stock
Purchase
730
13.788603 USD
Common Stock
Purchase
2,970
13.78866 USD
Common Stock
Purchase
200
13.7925 USD
Common Stock
Purchase
18,122
13.80568 USD
Common Stock
Purchase
513
13.81922 USD
Common Stock
Purchase
2,087
13.819233 USD
Common Stock
Purchase
200
13.82 USD
Common Stock
Purchase
500
13.822 USD
Common Stock
Purchase
16,009
13.828754 USD
Common Stock
Purchase
100
13.83 USD
Common Stock
Purchase
2,200
13.885 USD
Common Stock
Purchase
11,400
18.3771929825 CAD
Common Stock
Purchase
39,000
18.4066410256 CAD
Common Stock
Purchase
100
18.49 CAD
Common Stock
Purchase
1,800
18.593867 CAD
Common Stock
Sale
-626
12.26 EUR
Common Stock
Sale
-268
12.34 EUR
Common Stock
Sale
-2,550
12.36 EUR
Common Stock
Sale
-60
12.44 EUR
Common Stock
Sale
-1,300
12.48 EUR
Common Stock
Sale
-25
12.54 EUR
Common Stock
Sale
-650
12.56 EUR
Common Stock
Sale
-96
13.60474 USD
Common Stock
Sale
-19,882
13.604845 USD
Common Stock
Sale
-129,806
13.604846 USD
Common Stock
Sale
-23
13.605 USD
Common Stock
Sale
-47
13.640532 USD
Common Stock
Sale
-9,704
13.640745 USD
Common Stock
Sale
-58,652
13.640746 USD
Common Stock
Sale
-4,706
13.640751 USD
Common Stock
Sale
-11
13.640909 USD
Common Stock
Sale
-500
13.648 USD
Common Stock
Sale
-10
13.68 USD
Common Stock
Sale
-1,415
13.691979 USD
Common Stock
Sale
-876
13.89649 USD
Common Stock
Sale
-300
13.91 USD
Common Stock
Sale
-1,000
18.386 CAD
Common Stock
Sale
-2,600
18.428935 CAD
Common Stock
Sale
-200
18.53 CAD
Common Stock
Sale
-800
18.61125 CAD
Common Stock
Sale
-5,000
18.6206 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
14 USD
American
21/12/2018
0.2 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:
12 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
Call Option
Written
-300
14 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.ENDRETGGGCAPUPRUBP
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