REG - Morgan Stanley&CoLLC Barrick Gold Corp - Form 8.5 (EPT/RI) - Barrick Gold Corporation

Barrick MiningAnnouncement

12/11/2018 10:40

RNS Number : 0577H
Morgan Stanley & Co. LLC
12 November 2018
 


 
 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:


09 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


 68,616


 17.1200 CAD


 16.8000 CAD




 common


 SALES


 67,128


 17.1200 CAD


 16.7400 CAD




 common


 PURCHASES


 1,298,571


 12.9700 USD


 12.6850 USD




 common


 SALES


 1,274,876


 12.9700 USD


 12.6850 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


 PUT


 PURCHASE


 100


 12.0000


 A


 16/11/2018


 0.0200 USD




 common


 PUT


 PURCHASE


 1,400


 12.0000


 A


 16/11/2018


 0.0200 USD




 common


 PUT


 PURCHASE


 2,500


 11.0000


 A


 21/12/2018


 0.0500 USD




 common


 CALL


 PURCHASE


 900


 15.0000


 A


 21/12/2018


 0.0600 USD




 common


 CALL


 PURCHASE


 1,000


 13.0000


 A


 16/11/2018


 0.1400 USD




 common


 PUT


 PURCHASE


 700


 12.5000


 A


 16/11/2018


 0.1500 USD




 common


 PUT


 PURCHASE


 100


 12.5000


 A


 16/11/2018


 0.1500 USD




 common


 CALL


 PURCHASE


 1,000


 15.0000


 A


 18/01/2019


 0.1600 USD




 common


 CALL


 PURCHASE


 1,000


 15.0000


 A


 18/01/2019


 0.1600 USD




 common


 CALL


 PURCHASE


 100


 13.0000


 A


 16/11/2018


 0.1900 USD




 common


 PUT


 PURCHASE


 300


 13.0000


 A


 09/11/2018


 0.2600 USD




 common


 CALL


 PURCHASE


 1,000


 14.0000


 A


 18/01/2019


 0.3100 USD




 common


 CALL


 PURCHASE


 100


 15.0000


 A


 18/04/2019


 0.4400 USD




 common


 CALL


 PURCHASE


 100


 13.0000


 A


 21/12/2018


 0.4800 USD




 common


 CALL


 PURCHASE


 4,000


 13.0000


 A


 21/12/2018


 0.5400 USD




 common


 PUT


 PURCHASE


 14,700


 13.0000


 A


 21/12/2018


 0.6200 USD




 common


 CALL


 PURCHASE


 3,900


 14.0000


 A


 18/04/2019


 0.6900 USD




 common


 CALL


 PURCHASE


 100


 14.0000


 A


 18/04/2019


 0.6900 USD




 common


 CALL


 PURCHASE


 3,000


 14.0000


 A


 18/04/2019


 0.6900 USD




 common


 CALL


 PURCHASE


 1,500


 14.0000


 A


 18/04/2019


 0.6900 USD




 common


 CALL


 PURCHASE


 600


 14.0000


 A


 18/04/2019


 0.6900 USD




 common


 CALL


 PURCHASE


 1,300


 14.0000


 A


 18/04/2019


 0.6900 USD




 common


 PUT


 PURCHASE


 300


 13.0000


 A


 18/01/2019


 0.8100 USD




 common


 PUT


 PURCHASE


 200


 13.0000


 A


 18/01/2019


 0.8100 USD




 common


 CALL


 PURCHASE


 500


 13.0000


 A


 18/04/2019


 1.0400 USD




 common


 CALL


 PURCHASE


 1,000


 12.0000


 A


 21/12/2018


 1.0600 USD




 common


 CALL


 PURCHASE


 1,000


 12.0000


 A


 21/12/2018


 1.0600 USD




 common


 CALL


 PURCHASE


 100


 12.0000


 A


 18/01/2019


 1.1700 USD




 common


 PUT


 PURCHASE


 100


 13.0000


 A


 18/04/2019


 1.1900 USD




 common


 CALL


 PURCHASE


 200


 11.0000


 A


 16/11/2018


 1.8300 USD




 common


 CALL


 PURCHASE


 100


 11.0000


 A


 16/11/2018


 1.8300 USD




 common


 CALL


 PURCHASE


 800


 13.0000


 A


 17/01/2020


 1.9500 USD




 common


 CALL


 PURCHASE


 100


 10.0000


 A


 18/04/2019


 2.9700 USD




 common


 CALL


 PURCHASE


 900


 10.0000


 A


 17/01/2020


 3.5700 USD




 common


 CALL


 PURCHASE


 100


 10.0000


 A


 17/01/2020


 3.5700 USD




 common


 CALL


 PURCHASE


 100


 9.0000


 A


 18/01/2019


 3.9300 USD




 common


 CALL


 SALE


 5,000


 13.0000


 A


 09/11/2018


 0.0200 USD




 common


 CALL


 SALE


 1,400


 13.0000


 A


 09/11/2018


 0.0300 USD




 common


 CALL


 SALE


 600


 13.0000


 A


 09/11/2018


 0.0300 USD




 common


 CALL


 SALE


 2,000


 13.0000


 A


 09/11/2018


 0.0300 USD




 common


 CALL


 SALE


 1,800


 15.0000


 A


 30/11/2018


 0.0300 USD




 common


 CALL


 SALE


 200


 13.0000


 A


 09/11/2018


 0.0400 USD




 common


 PUT


 SALE


 2,700


 12.0000


 A


 16/11/2018


 0.0500 USD




 common


 CALL


 SALE


 400


 13.5000


 A


 16/11/2018


 0.0500 USD




 common


 CALL


 SALE


 200


 14.0000


 A


 23/11/2018


 0.0500 USD




 common


 CALL


 SALE


 1,200


 14.0000


 A


 23/11/2018


 0.0500 USD




 common


 CALL


 SALE


 2,100


 16.0000


 A


 18/01/2019


 0.1000 USD




 common


 CALL


 SALE


 700


 16.0000


 A


 18/01/2019


 0.1000 USD




 common


 CALL


 SALE


 100


 16.0000


 A


 18/01/2019


 0.1000 USD




 common


 CALL


 SALE


 400


 13.0000


 A


 16/11/2018


 0.1400 USD




 common


 CALL


 SALE


 800


 13.0000


 A


 16/11/2018


 0.1600 USD




 common


 CALL


 SALE


 100


 13.0000


 A


 16/11/2018


 0.1600 USD




 common


 CALL


 SALE


 2,800


 15.0000


 A


 18/01/2019


 0.1600 USD




 common


 CALL


 SALE


 2,700


 15.0000


 A


 18/01/2019


 0.1600 USD




 common


 CALL


 SALE


 2,000


 13.0000


 A


 16/11/2018


 0.1800 USD




 common


 CALL


 SALE


 1,200


 13.0000


 A


 16/11/2018


 0.1800 USD




 common


 CALL


 SALE


 900


 14.0000


 A


 21/12/2018


 0.1800 USD




 common


 CALL


 SALE


 400


 13.0000


 A


 23/11/2018


 0.2100 USD




 common


 PUT


 SALE


 300


 12.0000


 A


 21/12/2018


 0.2300 USD




 common


 CALL


 SALE


 100


 14.0000


 A


 18/01/2019


 0.3300 USD




 common


 PUT


 SALE


 300


 13.0000


 A


 16/11/2018


 0.3600 USD




 common


 PUT


 SALE


 200


 11.0000


 A


 18/04/2019


 0.3700 USD




 common


 PUT


 SALE


 1,100


 13.0000


 A


 16/11/2018


 0.4200 USD




 common


 PUT


 SALE


 100


 13.0000


 A


 16/11/2018


 0.4300 USD




 common


 CALL


 SALE


 900


 13.0000


 A


 28/12/2018


 0.5600 USD




 common


 CALL


 SALE


 1,000


 12.0000


 A


 16/11/2018


 0.7800 USD




 common


 PUT


 SALE


 200


 13.0000


 A


 18/01/2019


 0.8200 USD




 common


 CALL


 SALE


 100


 13.0000


 A


 18/04/2019


 1.1000 USD




 common


 CALL


 SALE


 100


 13.0000


 A


 18/04/2019


 1.1000 USD




 common


 CALL


 SALE


 100


 12.0000


 A


 21/12/2018


 1.1800 USD




 common


 CALL


 SALE


 100


 15.0000


 A


 17/01/2020


 1.2700 USD




 common


 CALL


 SALE


 900


 15.0000


 A


 17/01/2020


 1.2700 USD




 common


 CALL


 SALE


 100


 15.0000


 A


 17/01/2020


 1.3500 USD




 common


 CALL


 SALE


 100


 12.0000


 A


 18/04/2019


 1.5100 USD




 common


 CALL


 SALE


 400


 10.0000


 A


 18/04/2019


 3.0300 USD




 common


 CALL


 SALE


 200


 10.0000


 A


 18/04/2019


 3.0300 USD




 common


 CALL


 SALE


 100


 10.0000


 A


 15/01/2021


 4.1600 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:


12 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.
 
END
 
 
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