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:
05 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
97,620
13.4462 USD
13.0700 USD
common
SALES
16,861
13.4300 USD
13.0700 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
17.2000 CAD
common
CFD
LONG
9,200
17.2545 CAD
common
CFD
LONG
1,300
17.2576 CAD
common
CFD
LONG
3,300
17.3177 CAD
common
CFD
LONG
600
17.4133 CAD
common
CFD
SHORT
2,235
17.2727 CAD
common
CFD
SHORT
18,600
17.3001 CAD
common
CFD
SHORT
300
17.3100 CAD
common
CFD
SHORT
9,700
17.3364 CAD
common
CFD
LONG
1,590
13.1701 USD
common
CFD
LONG
6,770
13.1784 USD
common
CFD
LONG
400
13.1900 USD
common
CFD
LONG
400
13.1900 USD
common
CFD
LONG
16,361
13.2043 USD
common
CFD
LONG
7,509
13.2300 USD
common
CFD
LONG
70
13.2400 USD
common
CFD
LONG
11
13.2400 USD
common
CFD
LONG
11
13.2400 USD
common
CFD
LONG
400
13.2900 USD
common
CFD
LONG
34,462
17.2993 CAD
common
CFD
SHORT
4,600
13.1620 USD
common
CFD
SHORT
4,845
13.1900 USD
common
CFD
SHORT
70,100
13.1922 USD
common
CFD
SHORT
16,626
13.1968 USD
common
CFD
SHORT
3,255
13.2085 USD
common
CFD
SHORT
600
13.2300 USD
common
CFD
SHORT
3,326
13.2375 USD
common
CFD
SHORT
10,243
13.2608 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:
06 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.ENDFERFKADPKBDDDDK
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