REG - Morgan Stanley&CoLLC 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 & Co. 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:
07 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
46,839
17.3400 CAD
17.0000 CAD
common
SALES
39,748
17.3400 CAD
17.0000 CAD
common
PURCHASES
1,742,001
13.4900 USD
12.9700 USD
common
SALES
1,742,150
13.4900 USD
12.9700 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
N/A
N/A
N/A
N/A
N/A
(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
CALL
PURCHASE
3,200
14.0000
A
16/11/2018
0.0400 USD
common
CALL
PURCHASE
2,400
14.0000
A
16/11/2018
0.0400 USD
common
PUT
PURCHASE
600
12.5000
A
16/11/2018
0.0900 USD
common
PUT
PURCHASE
600
13.0000
A
09/11/2018
0.1100 USD
common
PUT
PURCHASE
5,000
13.0000
A
09/11/2018
0.1100 USD
common
PUT
PURCHASE
1,200
13.0000
A
09/11/2018
0.1100 USD
common
PUT
PURCHASE
1,200
13.0000
A
09/11/2018
0.1100 USD
common
PUT
PURCHASE
100
13.0000
A
09/11/2018
0.1100 USD
common
PUT
PURCHASE
1,000
13.0000
A
09/11/2018
0.1100 USD
common
PUT
PURCHASE
600
13.0000
A
09/11/2018
0.1100 USD
common
CALL
PURCHASE
6,200
18.0000
A
18/04/2019
0.1700 USD
common
CALL
PURCHASE
1,500
18.0000
A
18/04/2019
0.1700 USD
common
CALL
PURCHASE
3,000
18.0000
A
18/04/2019
0.1700 USD
common
CALL
PURCHASE
5,200
18.0000
A
18/04/2019
0.1700 USD
common
PUT
PURCHASE
1,200
13.0000
A
16/11/2018
0.2300 USD
common
PUT
PURCHASE
300
13.0000
A
16/11/2018
0.2300 USD
common
CALL
PURCHASE
10,700
17.0000
A
18/04/2019
0.2400 USD
common
CALL
PURCHASE
1,500
17.0000
A
18/04/2019
0.2400 USD
common
CALL
PURCHASE
11,900
17.0000
A
18/04/2019
0.2400 USD
common
PUT
PURCHASE
200
13.0000
A
23/11/2018
0.3000 USD
common
CALL
PURCHASE
200
13.0000
A
23/11/2018
0.3400 USD
common
CALL
PURCHASE
500
13.0000
A
16/11/2018
0.3800 USD
common
CALL
PURCHASE
300
20.0000
A
17/01/2020
0.4900 USD
common
CALL
PURCHASE
100
20.0000
A
17/01/2020
0.4900 USD
common
PUT
PURCHASE
200
13.5000
A
16/11/2018
0.5500 USD
common
CALL
PURCHASE
3,400
13.0000
A
21/12/2018
0.5600 USD
common
PUT
PURCHASE
100
14.0000
A
09/11/2018
0.9300 USD
common
CALL
PURCHASE
300
12.0000
A
21/12/2018
1.2300 USD
common
CALL
PURCHASE
500
15.0000
A
17/01/2020
1.3000 USD
common
CALL
PURCHASE
100
10.0000
A
18/04/2019
3.3200 USD
common
CALL
PURCHASE
100
10.0000
A
18/04/2019
3.3200 USD
common
PUT
SALE
1,000
9.0000
A
18/01/2019
0.0200 USD
common
PUT
SALE
1,300
10.0000
A
18/01/2019
0.0300 USD
common
PUT
SALE
500
12.5000
A
16/11/2018
0.0900 USD
common
CALL
SALE
200
16.0000
A
18/01/2019
0.1200 USD
common
CALL
SALE
1,700
16.0000
A
18/01/2019
0.1200 USD
common
CALL
SALE
500
16.0000
A
18/01/2019
0.1200 USD
common
CALL
SALE
200
13.5000
A
16/11/2018
0.1400 USD
common
CALL
SALE
2,500
13.5000
A
16/11/2018
0.1600 USD
common
CALL
SALE
2,000
13.5000
A
16/11/2018
0.1600 USD
common
CALL
SALE
1,000
13.0000
A
09/11/2018
0.1600 USD
common
CALL
SALE
3,500
13.0000
A
09/11/2018
0.1600 USD
common
CALL
SALE
3,400
13.0000
A
09/11/2018
0.1600 USD
common
CALL
SALE
6,000
13.0000
A
09/11/2018
0.1600 USD
common
CALL
SALE
2,400
13.0000
A
09/11/2018
0.1600 USD
common
CALL
SALE
14,200
13.0000
A
09/11/2018
0.1600 USD
common
CALL
SALE
7,400
13.0000
A
09/11/2018
0.1600 USD
common
CALL
SALE
500
13.0000
A
09/11/2018
0.1600 USD
common
PUT
SALE
3,000
13.0000
A
16/11/2018
0.2400 USD
common
PUT
SALE
1,500
13.0000
A
16/11/2018
0.2400 USD
common
PUT
SALE
600
13.0000
A
16/11/2018
0.2400 USD
common
PUT
SALE
100
13.0000
A
16/11/2018
0.2400 USD
common
PUT
SALE
1,000
13.0000
A
16/11/2018
0.2400 USD
common
CALL
SALE
1,500
14.0000
A
21/12/2018
0.2600 USD
common
CALL
SALE
1,500
14.0000
A
21/12/2018
0.2600 USD
common
CALL
SALE
200
16.0000
A
18/04/2019
0.3700 USD
common
CALL
SALE
100
14.0000
A
18/01/2019
0.4700 USD
common
CALL
SALE
1,900
15.0000
A
18/04/2019
0.5500 USD
common
PUT
SALE
100
12.0000
A
18/04/2019
0.6000 USD
common
PUT
SALE
100
12.0000
A
18/04/2019
0.6000 USD
common
CALL
SALE
100
14.0000
A
18/04/2019
0.8900 USD
common
CALL
SALE
200
14.0000
A
18/04/2019
0.8900 USD
common
PUT
SALE
3,400
14.0000
A
23/11/2018
1.0100 USD
common
PUT
SALE
100
13.0000
A
18/04/2019
1.0300 USD
common
CALL
SALE
3,400
12.0000
A
16/11/2018
1.0400 USD
common
PUT
SALE
1,000
14.0000
A
18/01/2019
1.3300 USD
common
CALL
SALE
400
12.0000
A
18/04/2019
1.7700 USD
common
CALL
SALE
500
12.0000
A
18/04/2019
1.7700 USD
common
CALL
SALE
1,200
10.0000
A
16/11/2018
3.2100 USD
common
CALL
SALE
1,300
10.0000
A
16/11/2018
3.2100 USD
common
PUT
SALE
500
22.0000
A
15/01/2021
9.1400 USD
common
PUT
SALE
500
22.0000
A
15/01/2021
9.1400 USD
(ii) Exercise
Class of relevant security
Product description e.g. call option
Number of securities
Exercise price per unit
common
PUT
10,000
15.0000 USD
(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:
08 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.ENDFERLLFVILRLTIIT
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