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:
08 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
54,239
17.3900 CAD
17.0300 CAD
common
SALES
49,276
17.3900 CAD
17.0300 CAD
common
PURCHASES
2,057,543
13.2700 USD
12.9600 USD
common
SALES
2,058,771
13.2750 USD
12.9600 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
500
14.0000
A
16/11/2018
0.0400 USD
common
PUT
PURCHASE
3,300
13.0000
A
09/11/2018
0.0500 USD
common
PUT
PURCHASE
100
13.0000
A
09/11/2018
0.0500 USD
common
PUT
PURCHASE
3,500
12.5000
A
16/11/2018
0.0500 USD
common
PUT
PURCHASE
17,000
12.5000
A
16/11/2018
0.0500 USD
common
CALL
PURCHASE
900
15.0000
A
21/12/2018
0.0800 USD
common
CALL
PURCHASE
1,200
20.0000
A
18/04/2019
0.0900 USD
common
CALL
PURCHASE
500
13.5000
A
16/11/2018
0.1200 USD
common
CALL
PURCHASE
4,000
13.5000
A
16/11/2018
0.1300 USD
common
PUT
PURCHASE
1,900
13.0000
A
16/11/2018
0.2100 USD
common
PUT
PURCHASE
100
13.0000
A
23/11/2018
0.2200 USD
common
PUT
PURCHASE
300
13.0000
A
23/11/2018
0.2200 USD
common
PUT
PURCHASE
900
13.0000
A
23/11/2018
0.2300 USD
common
PUT
PURCHASE
100
13.0000
A
23/11/2018
0.2300 USD
common
CALL
PURCHASE
600
14.0000
A
21/12/2018
0.2300 USD
common
PUT
PURCHASE
700
13.0000
A
23/11/2018
0.2400 USD
common
PUT
PURCHASE
300
13.0000
A
23/11/2018
0.2400 USD
common
PUT
PURCHASE
100
13.0000
A
23/11/2018
0.2400 USD
common
PUT
PURCHASE
300
13.0000
A
23/11/2018
0.2400 USD
common
PUT
PURCHASE
300
13.0000
A
23/11/2018
0.2400 USD
common
CALL
PURCHASE
100
14.0000
A
21/12/2018
0.2600 USD
common
CALL
PURCHASE
100
13.0000
A
16/11/2018
0.2900 USD
common
CALL
PURCHASE
800
13.0000
A
16/11/2018
0.3500 USD
common
CALL
PURCHASE
200
13.0000
A
23/11/2018
0.3600 USD
common
CALL
PURCHASE
1,500
16.0000
A
18/04/2019
0.3700 USD
common
CALL
PURCHASE
500
13.0000
A
16/11/2018
0.4200 USD
common
CALL
PURCHASE
3,000
13.0000
A
16/11/2018
0.4200 USD
common
CALL
PURCHASE
200
13.0000
A
16/11/2018
0.4200 USD
common
PUT
PURCHASE
5,000
13.5000
A
16/11/2018
0.4600 USD
common
CALL
PURCHASE
200
15.0000
A
18/04/2019
0.5200 USD
common
CALL
PURCHASE
4,100
13.0000
A
21/12/2018
0.5900 USD
common
CALL
PURCHASE
1,300
13.0000
A
21/12/2018
0.5900 USD
common
PUT
PURCHASE
1,500
13.0000
A
18/01/2019
0.6600 USD
common
PUT
PURCHASE
1,000
13.0000
A
18/01/2019
0.6600 USD
common
PUT
PURCHASE
3,600
13.0000
A
18/01/2019
0.6600 USD
common
PUT
PURCHASE
3,000
13.0000
A
18/01/2019
0.6600 USD
common
PUT
PURCHASE
2,100
13.0000
A
18/01/2019
0.6600 USD
common
PUT
PURCHASE
600
13.0000
A
18/01/2019
0.6600 USD
common
PUT
PURCHASE
600
13.0000
A
18/01/2019
0.6600 USD
common
CALL
PURCHASE
300
13.0000
A
18/01/2019
0.8000 USD
common
CALL
PURCHASE
200
13.0000
A
18/04/2019
1.2400 USD
common
CALL
PURCHASE
1,100
13.0000
A
18/04/2019
1.2400 USD
common
CALL
PURCHASE
200
15.0000
A
17/01/2020
1.3500 USD
common
PUT
PURCHASE
100
13.0000
A
17/01/2020
1.6500 USD
common
PUT
PURCHASE
1,100
13.0000
A
17/01/2020
1.6500 USD
common
PUT
PURCHASE
100
13.0000
A
17/01/2020
1.6500 USD
common
PUT
PURCHASE
100
15.0000
A
16/11/2018
1.9200 USD
common
CALL
PURCHASE
1,000
15.0000
A
15/01/2021
2.0900 USD
common
CALL
PURCHASE
200
10.0000
A
18/01/2019
3.1000 USD
common
CALL
PURCHASE
100
10.0000
A
18/04/2019
3.2500 USD
common
CALL
PURCHASE
300
10.0000
A
18/04/2019
3.2500 USD
common
PUT
SALE
1,900
12.0000
A
16/11/2018
0.0300 USD
common
PUT
SALE
100
10.0000
A
18/01/2019
0.0300 USD
common
PUT
SALE
500
10.0000
A
18/01/2019
0.0300 USD
common
CALL
SALE
500
14.0000
A
16/11/2018
0.0500 USD
common
CALL
SALE
8,500
17.0000
A
18/01/2019
0.0700 USD
common
CALL
SALE
100
17.0000
A
18/01/2019
0.0700 USD
common
PUT
SALE
700
11.0000
A
18/01/2019
0.0800 USD
common
CALL
SALE
200
14.0000
A
23/11/2018
0.0900 USD
common
CALL
SALE
1,300
14.0000
A
23/11/2018
0.1000 USD
common
CALL
SALE
500
14.0000
A
23/11/2018
0.1000 USD
common
PUT
SALE
600
13.0000
A
16/11/2018
0.1900 USD
common
CALL
SALE
100
15.0000
A
18/01/2019
0.2200 USD
common
CALL
SALE
100
13.0000
A
09/11/2018
0.2400 USD
common
CALL
SALE
1,300
14.0000
A
21/12/2018
0.2400 USD
common
CALL
SALE
4,400
14.0000
A
21/12/2018
0.2400 USD
common
CALL
SALE
900
14.0000
A
21/12/2018
0.2400 USD
common
PUT
SALE
200
12.0000
A
18/01/2019
0.2500 USD
common
PUT
SALE
600
12.0000
A
18/01/2019
0.2500 USD
common
CALL
SALE
1,600
14.0000
A
21/12/2018
0.2800 USD
common
PUT
SALE
800
11.0000
A
18/04/2019
0.2900 USD
common
CALL
SALE
3,500
15.0000
A
18/04/2019
0.5600 USD
common
CALL
SALE
600
15.0000
A
18/04/2019
0.5600 USD
common
CALL
SALE
1,900
15.0000
A
18/04/2019
0.5600 USD
common
PUT
SALE
1,500
13.0000
A
18/01/2019
0.6500 USD
common
PUT
SALE
300
13.0000
A
18/01/2019
0.6500 USD
common
PUT
SALE
300
13.0000
A
18/01/2019
0.6500 USD
common
PUT
SALE
1,600
13.0000
A
18/01/2019
0.6500 USD
common
PUT
SALE
200
13.0000
A
18/01/2019
0.6500 USD
common
CALL
SALE
2,000
14.0000
A
18/04/2019
0.8300 USD
common
CALL
SALE
400
17.0000
A
17/01/2020
0.9200 USD
common
CALL
SALE
1,000
15.0000
A
17/01/2020
1.3700 USD
common
CALL
SALE
100
10.0000
A
18/04/2019
3.3000 USD
common
CALL
SALE
100
10.0000
A
18/04/2019
3.3000 USD
common
CALL
SALE
100
10.0000
A
18/04/2019
3.3500 USD
common
CALL
SALE
400
10.0000
A
18/04/2019
3.4000 USD
(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:
09 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.ENDFERLLFFILALAIIT
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