REG - Morgan Stanley Cap Barrick Gold Corp - Form 8.5 (EPT/RI) - Barrick Gold Corporation

Barrick MiningAnnouncement

02/11/2018 09:55

RNS Number : 1793G
Morgan Stanley Capital Services LLC
02 November 2018
 


 
 FORM 8.5 (EPT/RI)
PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH RECOGNISED INTERMEDIARY STATUS DEALING IN A CLIENT-SERVING CAPACITY
Rule 8.5 of the Takeover Code (the "Code")
 
1.         KEY INFORMATION
 



(a) Name of exempt principal trader:


Morgan Stanley Capital Services LLC




(b) Name of offeror/offeree in relation to whose relevant securities this form relates:
     Use a separate form for each offeror/offeree


Barrick Gold Corporation




(c) Name of the party to the offer with which exempt principal trader is connected:
 


Barrick Gold Corporation




(d) Date dealing undertaken:


01 NOVEMBER 2018




(e) Has the EPT previously disclosed, or is it today  disclosing, under the Code in respect of any other party to this offer?


Yes -  Randgold Resources Limited
 



 
2.         DEALINGS BY THE EXEMPT PRINCIPAL TRADER
 
Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(b), copy table 2(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


 Purchases/sales


 Total   number of securities


 Highest price per unit paid/received


 Lowest price per unit paid/received




 common


 PURCHASES


 24,716


 13.4300 USD


 12.8200 USD




 common


 SALES


 36,267


 13.4400 USD


 12.8400 USD



 
 
(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




 common


 CFD


 LONG


 19,000


 17.0833 CAD




 common


 CFD


 LONG


 6,400


 17.3804 CAD




 common


 CFD


 LONG


 19,100


 17.4284 CAD




 common


 CFD


 LONG


 6,500


 17.5112 CAD




 common


 CFD


 LONG


 1,700


 17.5150 CAD




 common


 CFD


 SHORT


 1,000


 16.8010 CAD




 common


 CFD


 SHORT


 900


 16.9877 CAD




 common


 CFD


 SHORT


 8,100


 17.0888 CAD




 common


 CFD


 SHORT


 600


 17.1050 CAD




 common


 CFD


 SHORT


 2,100


 17.1771 CAD




 common


 CFD


 SHORT


 2,665


 17.2544 CAD




 common


 CFD


 SHORT


 2,100


 17.3248 CAD




 common


 CFD


 SHORT


 2,400


 17.4583 CAD




 common


 CFD


 SHORT


 2,300


 17.5000 CAD




 common


 CFD


 LONG


 1,200


 12.8400 USD




 common


 CFD


 LONG


 1,200


 12.8400 USD




 common


 CFD


 LONG


 362


 12.8400 USD




 common


 CFD


 LONG


 783


 12.9700 USD




 common


 CFD


 LONG


 2,517


 12.9700 USD




 common


 CFD


 LONG


 4,900


 13.1840 USD




 common


 CFD


 LONG


 12,075


 13.1848 USD




 common


 CFD


 LONG


 1,200


 13.1933 USD




 common


 CFD


 LONG


 31,337


 13.2558 USD




 common


 CFD


 LONG


 430


 13.3400 USD




 common


 CFD


 LONG


 430


 13.3400 USD




 common


 CFD


 LONG


 7,300


 13.3621 USD




 common


 CFD


 LONG


 5,500


 13.3754 USD




 common


 CFD


 LONG


 11,353


 17.2554 USD




 common


 CFD


 SHORT


 7,702


 12.9818 USD




 common


 CFD


 SHORT


 900


 13.0477 USD




 common


 CFD


 SHORT


 362


 13.1361 USD




 common


 CFD


 SHORT


 10,500


 13.1361 USD




 common


 CFD


 SHORT


 17,014


 13.1974 USD




 common


 CFD


 SHORT


 100


 13.3400 USD




 common


 CFD


 SHORT


 5,144


 13.3500 USD




 common


 CFD


 SHORT


 8


 13.3700 USD



 
 
(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




 N/A


 N/A


 N/A


 N/A


 N/A


 N/A


 N/A


 N/A



 
(ii)        Exercise
 



 Class of relevant security


 Product description            e.g. call option


 Number of securities


 Exercise price per unit




 N/A


 N/A


 N/A


 N/A



 
(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)




 N/A


 N/A


 N/A


 N/A



 
The currency of all prices and other monetary amounts should be stated.
 
Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(b), copy table 2(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.
 
 
 
3.         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 exempt principal trader making the disclosure and any party to the offer or any person acting in concert with a party to the offer:
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 exempt principal trader 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
 



 
 
 



Date of disclosure:


02 NOVEMBER 2018




Contact name:


Craig Horsley




Telephone number:


+44(141) 245 7736



 
Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also be emailed to the Takeover Panel at monitoring@disclosure.org.uk.  The Panel's Market Surveillance Unit is available for consultation in relation to the Code's dealing 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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