REG - Morgan Stanley Cap Barrick Gold Corp - Form 8.5 (EPT/RI) - Replacement of Barrick
05/11/2018 14:30
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RNS Number : 3820G
Morgan Stanley Capital Services LLC
05 November 2018
AMENDMENT Section (2b)
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 Barrick Gold Corporation
relates:
Use a separate form for each offeror/offeree
(c) Name of the party to the offer with which exempt principal trader is Barrick Gold Corporation
connected:
(d) Date dealing undertaken: 01 NOVEMBER 2018
(e) Has the EPT previously disclosed, or is it today disclosing, under the Yes - Randgold Resources Limited
Code in respect of any other party to this offer?
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 Nature of dealing Number of reference securities Price per unit
e.g. CFD e.g. opening/closing a long/short position, increasing/reducing a long/short
position
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 38,599 12.5500 USD
common CFD LONG 1,200 12.8400 USD
common CFD LONG 362 12.8400 USD
common CFD LONG 1,200 12.8400 USD
common CFD LONG 2,517 12.9700 USD
common CFD LONG 783 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 CAD
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: 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 (mailto: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
(http://www.thetakeoverpanel.org.uk) .
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