REG - Morgan Stanley Cap Barrick Gold Corp - Form 8.5 (EPT/RI) - Barrick Gold Corporation
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:
02 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
SALES
155,214
17.2800 CAD
17.2800 CAD
common
PURCHASES
46,472
13.3200 USD
13.0284 USD
common
SALES
14,826
13.1900 USD
13.0200 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
600
17.1467 CAD
common
CFD
LONG
2,500
17.1468 CAD
common
CFD
LONG
2,873
17.1843 CAD
common
CFD
LONG
3,200
17.2000 CAD
common
CFD
LONG
26,600
17.2158 CAD
common
CFD
LONG
16,200
17.2174 CAD
common
CFD
LONG
6,600
17.2413 CAD
common
CFD
LONG
1,200
17.2508 CAD
common
CFD
LONG
1,800
17.2700 CAD
common
CFD
LONG
3,900
17.2800 CAD
common
CFD
LONG
155,214
17.2800 CAD
common
CFD
SHORT
9,800
17.1773 CAD
common
CFD
SHORT
3,600
17.2116 CAD
common
CFD
SHORT
400
17.4400 CAD
common
CFD
LONG
6,830
13.0956 USD
common
CFD
LONG
14,546
13.1128 USD
common
CFD
LONG
7,716
13.1281 USD
common
CFD
LONG
220
13.1800 USD
common
CFD
LONG
3,353
17.2172 CAD
common
CFD
SHORT
4,000
13.1099 USD
common
CFD
SHORT
6,700
13.1149 USD
common
CFD
SHORT
2,000
13.1162 USD
common
CFD
SHORT
400
13.1275 USD
common
CFD
SHORT
7,633
13.1390 USD
common
CFD
SHORT
11
13.1400 USD
common
CFD
SHORT
28,463
13.1413 USD
common
CFD
SHORT
3
13.1600 USD
common
CFD
SHORT
431
13.1700 USD
common
CFD
SHORT
431
13.1700 USD
common
CFD
SHORT
16,018
13.1706 USD
common
CFD
SHORT
1,400
13.1900 USD
common
CFD
SHORT
7,716
13.1900 USD
common
CFD
SHORT
1,400
13.1900 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:
05 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.
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.ENDFERFKPDNCBDKADK
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