REG - D E Shaw & Co LP Randgold Resources Barrick Gold Corp - Form 8.3 - Barrick Gold Corporation

Barrick MiningAnnouncement

02/01/2019 07:00

RNS Number : 8577L
D E Shaw & Co LP
31 December 2018
 


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:


D. E. Shaw & Co., L.P.




(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


December 28, 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"


Yes: Randgold Resources Limited



 
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




 
 


Interests


Short positions








Number


%


Number


%




(1) Relevant securities owned and/or controlled:


509,681


0.04


6,703,166


0.57




(2) Cash-settled derivatives:


-


-


-


-




(3) Stock-settled derivatives (including options) and agreements to purchase/sell:


477,900


0.04


5,750,600


0.49




     TOTAL:


987,581


0.08


12,453,766


1.06



 
 
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


Purchase/sale
 


Number of securities


Price per unit




common


Purchase


492,100


CAD 17.63




common


Purchase


1,300


CAD 18.01




common


Purchase


6,700


CAD 18.02




common


Purchase


1,100


CAD 18.04




common


Sale


300


CAD 17.86




common


Sale


500


CAD 17.92




common


Sale


300


CAD 17.93




common


Sale


300


CAD 17.94




common


Sale


51,100


CAD 17.95




common


Sale


500


CAD 17.96




common


Sale


300


CAD 17.97




common


Sale


300


CAD 17.98




common


Sale


12,900


CAD 17.99




common


Sale


6,700


CAD 18.00




common


Sale


13,200


CAD 18.01




common


Sale


6,200


CAD 18.02




common


Sale


9,400


CAD 18.03




common


Sale


5,600


CAD 18.04




common


Sale


7,300


CAD 18.05




common


Sale


5,800


CAD 18.06




common


Sale


20,900


CAD 18.07




common


Sale


12,800


CAD 18.08




common


Sale


8,000


CAD 18.09




common


Sale


127,100


CAD 18.10




common


Sale


58,100


CAD 18.11




common


Sale


159,400


CAD 18.12




common


Sale


4,300


CAD 18.13




common


Sale


1,000


CAD 18.14




common


Sale


900


CAD 18.15




common


Sale


1,500


CAD 18.16




common


Sale


8,100


CAD 18.17




common


Sale


81,100


CAD 18.18




common


Sale


8,700


CAD 18.20




common


Sale


400


CAD 18.47




common


Purchase


800


USD 13.08




common


Purchase


300


USD 13.09




common


Purchase


200


USD 13.10




common


Purchase


5,704


USD 13.11




common


Purchase


700


USD 13.12




common


Purchase


19,183


USD 13.14




common


Purchase


3,300


USD 13.15




common


Purchase


1,000


USD 13.16




common


Purchase


200


USD 13.17




common


Purchase


600


USD 13.18




common


Purchase


500


USD 13.19




common


Purchase


1,400


USD 13.20




common


Purchase


8,900


USD 13.21




common


Purchase


11,422


USD 13.22




common


Purchase


3,722


USD 13.23




common


Purchase


7,464


USD 13.24




common


Purchase


6,300


USD 13.25




common


Purchase


11,650


USD 13.26




common


Purchase


8,327


USD 13.27




common


Purchase


3,400


USD 13.28




common


Purchase


3,800


USD 13.29




common


Purchase


1,224


USD 13.30




common


Purchase


2,500


USD 13.31




common


Purchase


6,234


USD 13.32




common


Purchase


1,300


USD 13.33




common


Purchase


1,800


USD 13.34




common


Purchase


1,855


USD 13.35




common


Purchase


3,224


USD 13.36




common


Purchase


2,100


USD 13.37




common


Purchase


1,326


USD 13.38




common


Purchase


3,500


USD 13.39




common


Purchase


2,400


USD 13.40




common


Purchase


1,100


USD 13.41




common


Purchase


700


USD 13.44




common


Purchase


2,100


USD 13.45




common


Purchase


2,900


USD 13.46




common


Purchase


2,700


USD 13.47




common


Purchase


400


USD 13.48




common


Purchase


1,800


USD 13.49




common


Purchase


1,800


USD 13.50




common


Purchase


4,000


USD 13.51




common


Purchase


3,200


USD 13.52




common


Purchase


1,100


USD 13.53




common


Purchase


5,400


USD 13.54




common


Purchase


1,000


USD 13.55




common


Purchase


1,900


USD 13.56




common


Purchase


100


USD 13.57




common


Sale


481


USD 13.08




common


Sale


6,541


USD 13.09




common


Sale


300


USD 13.10




common


Sale


1,064


USD 13.11




common


Sale


600


USD 13.12




common


Sale


1,700


USD 13.14




common


Sale


2,196


USD 13.15




common


Sale


800


USD 13.16




common


Sale


1,823


USD 13.17




common


Sale


2,100


USD 13.19




common


Sale


17,677


USD 13.20




common


Sale


2,300


USD 13.21




common


Sale


2,400


USD 13.22




common


Sale


1,100


USD 13.23




common


Sale


2,300


USD 13.24




common


Sale


2,500


USD 13.25




common


Sale


2,500


USD 13.26




common


Sale


2,900


USD 13.27




common


Sale


1,500


USD 13.28




common


Sale


1,300


USD 13.29




common


Sale


500


USD 13.31




common


Sale


500


USD 13.32




common


Sale


600


USD 13.33




common


Sale


1,100


USD 13.34




common


Sale


500


USD 13.35




common


Sale


900


USD 13.36




common


Sale


1,400


USD 13.37




common


Sale


800


USD 13.39




common


Sale


200


USD 13.40




common


Sale


2,500


USD 13.41




common


Sale


2,200


USD 13.42




common


Sale


500


USD 13.43




common


Sale


1,600


USD 13.45




common


Sale


1,300


USD 13.46




common


Sale


2,600


USD 13.47




common


Sale


700


USD 13.49




common


Sale


1,200


USD 13.50




common


Sale


900


USD 13.51




common


Sale


300


USD 13.52




common


Sale


300


USD 13.53




common


Sale


600


USD 13.54




common


Sale


600


USD 13.55




common


Sale


600


USD 13.56




common


Sale


700


USD 13.57




common


Sale


800


USD 13.59




common


Sale


100


USD 13.60



 
 
(b)        Cash-settled derivative transactions
 



Class of relevant security


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




common


Listed Call Option


Purchasing


100


USD 13.0


American


20190118


USD 0.55




common


Listed Call Option


Purchasing


6,900


USD 13.0


American


20190118


USD 0.58




common


Listed Put Option


Purchasing


28,300


USD 13.0


American


20190118


USD 0.29




common


Listed Put Option


Purchasing


23,200


USD 13.0


American


20190118


USD 0.31




common


Listed Put Option


Purchasing


7,200


USD 13.0


American


20190118


USD 0.32




common


Listed Put Option


Purchasing


11,800


USD 13.0


American


20190118


USD 0.34




common


Listed Put Option


Purchasing


3,000


USD 13.0


American


20190118


USD 0.35




common


Listed Put Option


Purchasing


12,300


USD 13.0


American


20190118


USD 0.36




common


Listed Put Option


Purchasing


13,000


USD 13.0


American


20190118


USD 0.37




common


Listed Put Option


Purchasing


13,500


USD 13.0


American


20190118


USD 0.39




common


Listed Put Option


Purchasing


1,800


USD 13.0


American


20190118


USD 0.41




common


Listed Put Option


Purchasing


100


USD 13.0


American


20190118


USD 0.42



 
* in equivalent shares interests
 
(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:


December 31, 2018




Contact name:


Kevin Krist (Compliance Department)




Telephone number:


+44 (0) 20 7409 4420



 
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.
 
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:


D. E. Shaw & Co., L.P.




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


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


Listed Call Option


Purchased


8,900


USD 12.0


American


20190118




common


Listed Call Option


Purchased


300,000


USD 13.0


American


20190215




common


Listed Call Option


Purchased


1,000


USD 12.0


American


20190418




common


Listed Call Option


Purchased


11,000


USD 11.0


American


20190418




common


Listed Call Option


Purchased


7,000


USD 13.0


American


20190118




common


Listed Call Option


Written


-80,000


USD 27.0


American


20190118




common


Listed Call Option


Written


-145,100


USD 25.0


American


20200117




common


Listed Call Option


Written


-90,000


USD 27.0


American


20200117




common


Listed Call Option


Written


-186,400


USD 20.0


American


20190118




common


Listed Call Option


Written


-70,000


USD 22.0


American


20190118




common


Listed Call Option


Written


-150,000


USD 25.0


American


20190118




common


Listed Call Option


Written


-10,000


USD 30.0


American


20190118




common


Listed Call Option


Written


-180,000


USD 35.0


American


20190118




common


Listed Call Option


Written


-229,500


USD 15.0


American


20200117




common


Listed Call Option


Written


-80,000


USD 20.0


American


20210115




common


Listed Call Option


Written


-128,200


USD 17.0


American


20210115




common


Listed Call Option


Written


-200,000


USD 15.0


American


20190719




common


Listed Call Option


Written


-280,000


USD 22.0


American


20200117




common


Listed Call Option


Written


-500,000


USD 20.0


American


20200117




common


Listed Put Option


Purchased


-77,200


USD 11.0


American


20190118




common


Listed Put Option


Purchased


-134,400


USD 12.0


American


20190118




common


Listed Put Option


Purchased


-624,200


USD 13.0


American


20190118




common


Listed Put Option


Purchased


-50,000


USD 13.0


American


20200117




common


Listed Put Option


Purchased


-1,050,000


USD 10.0


American


20200117




common


Listed Put Option


Purchased


-22,700


USD 9.0


American


20190118




common


Listed Put Option


Purchased


-599,200


USD 10.0


American


20190118




common


Listed Put Option


Purchased


-288,700


USD 10.0


American


20190418




common


Listed Put Option


Purchased


-340,000


USD 9.0


American


20190418




common


Listed Put Option


Purchased


-115,000


USD 11.0


American


20190418




common


Listed Put Option


Purchased


-120,000


USD 8.0


American


20200117




common


Listed Put Option


Written


150,000


USD 15.0


American


20200117



 
* in equivalent shares interests
 
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:




 
None
 
 
 



 
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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