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

Barrick MiningAnnouncement

26/11/2018 10:10

RNS Number : 4688I
Morgan Stanley & Co. LLC
26 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:


23 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


 4,947


 17.8100 CAD


 17.2600 CAD




 common


 SALES


 4,947


 17.7500 CAD


 17.2650 CAD




 common


 PURCHASES


 957,167


 13.4500 USD


 13.0250 USD




 common


 SALES


 964,518


 13.4500 USD


 13.0200 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


 10,000


 16.0000


 A


 21/12/2018


 0.0300 USD




 common


 PUT


 PURCHASE


 5,200


 11.0000


 A


 21/12/2018


 0.0300 USD




 common


 PUT


 PURCHASE


 1,700


 11.0000


 A


 21/12/2018


 0.0300 USD




 common


 PUT


 PURCHASE


 100


 11.0000


 A


 21/12/2018


 0.0300 USD




 common


 PUT


 PURCHASE


 1,100


 11.0000


 A


 21/12/2018


 0.0300 USD




 common


 PUT


 PURCHASE


 800


 13.0000


 A


 30/11/2018


 0.1500 USD




 common


 PUT


 PURCHASE


 100


 13.0000


 A


 30/11/2018


 0.1500 USD




 common


 PUT


 PURCHASE


 100


 12.5000


 A


 14/12/2018


 0.1600 USD




 common


 PUT


 PURCHASE


 400


 13.0000


 A


 30/11/2018


 0.1900 USD




 common


 CALL


 PURCHASE


 1,100


 13.5000


 A


 07/12/2018


 0.2300 USD




 common


 CALL


 PURCHASE


 100


 13.5000


 A


 21/12/2018


 0.3600 USD




 common


 PUT


 PURCHASE


 100


 13.0000


 A


 21/12/2018


 0.3900 USD




 common


 PUT


 PURCHASE


 1,000


 13.5000


 A


 30/11/2018


 0.4100 USD




 common


 PUT


 PURCHASE


 600


 13.5000


 A


 30/11/2018


 0.4500 USD




 common


 PUT


 PURCHASE


 1,300


 13.5000


 A


 30/11/2018


 0.5000 USD




 common


 CALL


 PURCHASE


 1,100


 15.0000


 A


 18/04/2019


 0.5500 USD




 common


 CALL


 PURCHASE


 100


 13.0000


 A


 18/01/2019


 0.7000 USD




 common


 CALL


 PURCHASE


 3,700


 13.0000


 A


 18/01/2019


 0.7100 USD




 common


 PUT


 PURCHASE


 5,500


 12.0000


 A


 19/07/2019


 0.7400 USD




 common


 PUT


 PURCHASE


 100


 12.0000


 A


 19/07/2019


 0.7400 USD




 common


 CALL


 PURCHASE


 100


 13.0000


 A


 18/01/2019


 0.7500 USD




 common


 CALL


 PURCHASE


 600


 13.0000


 A


 18/01/2019


 0.7600 USD




 common


 CALL


 PURCHASE


 3,000


 13.0000


 A


 18/01/2019


 0.7600 USD




 common


 CALL


 PURCHASE


 5,300


 13.0000


 A


 18/01/2019


 0.7600 USD




 common


 CALL


 PURCHASE


 200


 13.0000


 A


 18/01/2019


 0.7600 USD




 common


 CALL


 PURCHASE


 4,800


 13.0000


 A


 18/01/2019


 0.7600 USD




 common


 CALL


 PURCHASE


 1,500


 13.0000


 A


 18/01/2019


 0.7600 USD




 common


 CALL


 PURCHASE


 600


 13.0000


 A


 18/01/2019


 0.8500 USD




 common


 CALL


 PURCHASE


 100


 13.0000


 A


 18/01/2019


 0.8500 USD




 common


 CALL


 PURCHASE


 200


 13.0000


 A


 18/01/2019


 0.8500 USD




 common


 CALL


 PURCHASE


 1,000


 13.0000


 A


 18/01/2019


 0.8500 USD




 common


 CALL


 PURCHASE


 1,000


 13.0000


 A


 18/01/2019


 0.8500 USD




 common


 CALL


 PURCHASE


 2,600


 13.0000


 A


 18/01/2019


 0.8500 USD




 common


 CALL


 PURCHASE


 9,700


 13.0000


 A


 18/01/2019


 0.8500 USD




 common


 CALL


 PURCHASE


 3,000


 13.0000


 A


 18/01/2019


 0.8500 USD




 common


 CALL


 PURCHASE


 9,800


 13.0000


 A


 18/01/2019


 0.8500 USD




 common


 CALL


 PURCHASE


 1,100


 13.0000


 A


 18/01/2019


 0.8500 USD




 common


 CALL


 PURCHASE


 1,500


 13.0000


 A


 18/01/2019


 0.8500 USD




 common


 CALL


 PURCHASE


 1,500


 13.0000


 A


 18/01/2019


 0.8500 USD




 common


 PUT


 SALE


 100


 13.0000


 A


 23/11/2018


 0.0100 USD




 common


 CALL


 SALE


 1,700


 21.0000


 A


 18/04/2019


 0.0700 USD




 common


 CALL


 SALE


 1,500


 21.0000


 A


 18/04/2019


 0.0700 USD




 common


 CALL


 SALE


 2,100


 21.0000


 A


 18/04/2019


 0.0700 USD




 common


 CALL


 SALE


 3,000


 21.0000


 A


 18/04/2019


 0.0700 USD




 common


 PUT


 SALE


 1,000


 9.0000


 A


 18/04/2019


 0.0700 USD




 common


 CALL


 SALE


 100


 14.5000


 A


 21/12/2018


 0.1400 USD




 common


 PUT


 SALE


 600


 12.5000


 A


 14/12/2018


 0.1800 USD




 common


 PUT


 SALE


 100


 12.5000


 A


 14/12/2018


 0.1800 USD




 common


 CALL


 SALE


 1,000


 13.0000


 A


 23/11/2018


 0.2700 USD




 common


 CALL


 SALE


 500


 16.0000


 A


 18/04/2019


 0.3200 USD




 common


 CALL


 SALE


 100


 14.0000


 A


 18/01/2019


 0.3600 USD




 common


 CALL


 SALE


 200


 14.0000


 A


 18/01/2019


 0.3600 USD




 common


 PUT


 SALE


 200


 13.0000


 A


 18/01/2019


 0.5300 USD




 common


 PUT


 SALE


 300


 13.0000


 A


 18/01/2019


 0.5300 USD




 common


 PUT


 SALE


 100


 13.0000


 A


 18/01/2019


 0.5400 USD




 common


 PUT


 SALE


 5,500


 13.0000


 A


 18/01/2019


 0.5400 USD




 common


 PUT


 SALE


 200


 13.5000


 A


 21/12/2018


 0.6500 USD




 common


 PUT


 SALE


 4,400


 13.0000


 A


 15/02/2019


 0.7500 USD




 common


 PUT


 SALE


 1,500


 13.0000


 A


 15/02/2019


 0.7500 USD




 common


 PUT


 SALE


 3,000


 13.0000


 A


 15/02/2019


 0.7500 USD




 common


 PUT


 SALE


 100


 13.0000


 A


 15/02/2019


 0.7500 USD




 common


 PUT


 SALE


 600


 13.0000


 A


 15/02/2019


 0.7500 USD




 common


 PUT


 SALE


 4,500


 13.0000


 A


 15/02/2019


 0.7500 USD




 common


 CALL


 SALE


 500


 12.0000


 A


 18/01/2019


 1.3000 USD




 common


 CALL


 SALE


 1,900


 12.0000


 A


 18/04/2019


 1.7400 USD




 common


 CALL


 SALE


 500


 12.0000


 A


 18/04/2019


 1.7600 USD




 common


 CALL


 SALE


 400


 15.0000


 A


 15/01/2021


 2.1100 USD



 
(ii)        Exercise
 



 Class of relevant security


 Product description            e.g. call option


 Number of securities


 Exercise price per unit




 common


 CALL


 1,700


 12.0000 USD




 common


 CALL


 18,500


 13.0000 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:


26 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.
 




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END
 
 
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