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

Barrick MiningAnnouncement

17/12/2018 10:55

RNS Number : 6790K
Morgan Stanley & Co. LLC
17 December 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:


14 DECEMBER 2018




(e) In addition to the company in 1(b) above, is the exempt principal trader making disclosures in respect of any other party to this offer?
     If it is a cash offer or possible cash offer, state "N/A"


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


 153,287


 18.6200 CAD


 18.2500 CAD
 




 common


 SALES


 162,665


 18.7500 CAD


 18.2400 CAD
 




 common


 PURCHASES


 1,547,095


 14.0200 USD


13.6200 USD
 




 common


 SALES


 1,556,041


 14.0200 USD


 13.6300 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


 300


 15.0000


 A


 04/01/2019


 0.0800 USD




 common


 CALL


 PURCHASE


 100


 16.0000


 A


 18/01/2019


 0.1200 USD




 common


 CALL


 PURCHASE


 300


 16.0000


 A


 18/01/2019


 0.1200 USD




 common


 CALL


 PURCHASE


 200


 16.0000


 A


 18/01/2019


 0.1200 USD




 common


 PUT


 PURCHASE


 500


 13.5000


 A


 28/12/2018


 0.1600 USD




 common


 PUT


 PURCHASE


 500


 13.5000


 A


 28/12/2018


 0.1600 USD




 common


 PUT


 PURCHASE


 1,000


 13.5000


 A


 21/12/2018


 0.1900 USD




 common


 CALL


 PURCHASE


 500


 14.0000


 A


 21/12/2018


 0.1900 USD




 common


 CALL


 PURCHASE


 1,200


 14.0000


 A


 21/12/2018


 0.1900 USD




 common


 CALL


 PURCHASE


 500


 14.0000


 A


 21/12/2018


 0.1900 USD




 common


 CALL


 PURCHASE


 1,200


 14.0000


 A


 21/12/2018


 0.1900 USD




 common


 CALL


 PURCHASE


 5,000


 14.0000


 A


 21/12/2018


 0.2000 USD




 common


 PUT


 PURCHASE


 100


 14.0000


 A


 14/12/2018


 0.2300 USD




 common


 PUT


 PURCHASE


 100


 14.0000


 A


 14/12/2018


 0.2300 USD




 common


 PUT


 PURCHASE


 2,000


 13.0000


 A


 18/01/2019


 0.2700 USD




 common


 CALL


 PURCHASE


 600


 13.5000


 A


 14/12/2018


 0.3400 USD




 common


 CALL


 PURCHASE


 400


 14.0000


 A


 04/01/2019


 0.3600 USD




 common


 CALL


 PURCHASE


 600


 15.0000


 A


 15/02/2019


 0.3700 USD




 common


 CALL


 PURCHASE


 400


 13.5000


 A


 28/12/2018


 0.5400 USD




 common


 CALL


 PURCHASE


 300


 13.5000


 A


 28/12/2018


 0.5400 USD




 common


 PUT


 PURCHASE


 2,000


 12.0000


 A


 19/07/2019


 0.5900 USD




 common


 PUT


 PURCHASE


 1,000


 12.0000


 A


 19/07/2019


 0.5900 USD




 common


 PUT


 PURCHASE


 400


 14.5000


 A


 14/12/2018


 0.6500 USD




 common


 CALL


 PURCHASE


 500


 15.0000


 A


 18/04/2019


 0.6600 USD




 common


 CALL


 PURCHASE


 600


 16.0000


 A


 19/07/2019


 0.7000 USD




 common


 PUT


 PURCHASE


 500


 14.0000


 A


 18/01/2019


 0.7700 USD




 common


 PUT


 PURCHASE


 500


 14.0000


 A


 18/01/2019


 0.7700 USD




 common


 CALL


 PURCHASE


 800


 13.0000


 A


 21/12/2018


 0.9500 USD




 common


 CALL


 PURCHASE


 1,200


 13.0000


 A


 21/12/2018


 0.9500 USD




 common


 CALL


 PURCHASE


 800


 14.0000


 A


 18/04/2019


 1.0000 USD




 common


 PUT


 PURCHASE


 1,000


 15.0000


 A


 18/01/2019


 1.2800 USD




 common


 PUT


 PURCHASE


 1,000


 15.0000


 A


 18/01/2019


 1.2800 USD




 common


 PUT


 PURCHASE


 100


 15.0000


 A


 15/02/2019


 1.4400 USD




 common


 PUT


 PURCHASE


 300


 15.0000


 A


 15/02/2019


 1.4400 USD




 common


 CALL


 PURCHASE


 400


 12.0000


 A


 18/04/2019


 2.2100 USD




 common


 PUT


 SALE


 100


 13.0000


 A


 21/12/2018


 0.0600 USD
 




 common


 CALL


 SALE


 600


 14.5000


 A


 21/12/2018


 0.1000 USD
 




 common


 CALL


 SALE


 300


 14.5000


 A


 21/12/2018


 0.1000 USD
 




 common


 PUT


 SALE


 200


 13.5000


 A


 21/12/2018


 0.1300 USD
 




 common


 PUT


 SALE


 1,500


 13.5000


 A


 21/12/2018


 0.1300 USD
 




 common


 PUT


 SALE


 19,900


 13.5000


 A


 21/12/2018


 0.1300 USD
 




 common


 PUT


 SALE


 600


 13.5000


 A


 21/12/2018


 0.1300 USD
 




 common


 PUT


 SALE


 3,000


 13.5000


 A


 21/12/2018


 0.1300 USD
 




 common


 PUT


 SALE


 17,200


 13.5000


 A


 21/12/2018


 0.1300 USD
 




 common


 CALL


 SALE


 500


 14.0000


 A


 21/12/2018


 0.1600 USD
 




 common


 CALL


 SALE


 300


 14.0000


 A


 21/12/2018


 0.1600 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 21/12/2018


 0.1600 USD
 




 common


 CALL


 SALE


 300


 14.0000


 A


 28/12/2018


 0.2400 USD
 




 common


 CALL


 SALE


 200


 14.0000


 A


 28/12/2018


 0.2400 USD
 




 common


 PUT


 SALE


 1,500


 13.0000


 A


 18/01/2019


 0.2500 USD
 




 common


 PUT


 SALE


 600


 13.0000


 A


 18/01/2019


 0.2500 USD
 




 common


 PUT


 SALE


 15,800


 13.0000


 A


 18/01/2019


 0.2500 USD
 




 common


 PUT


 SALE


 5,300


 13.0000


 A


 18/01/2019


 0.2500 USD
 




 common


 PUT


 SALE


 10,000


 13.0000


 A


 18/01/2019


 0.2500 USD
 




 common


 PUT


 SALE


 2,000


 13.0000


 A


 18/01/2019


 0.2700 USD
 




 common


 PUT


 SALE


 1,000


 13.0000


 A


 18/01/2019


 0.2700 USD
 




 common


 CALL


 SALE


 100


 16.0000


 A


 18/04/2019


 0.4500 USD
 




 common


 CALL


 SALE


 1,500


 15.0000


 A


 15/02/2019


 0.4800 USD
 




 common


 CALL


 SALE


 100


 13.5000


 A


 28/12/2018


 0.5000 USD
 




 common


 CALL


 SALE


 1,000


 17.0000


 A


 19/07/2019


 0.5700 USD
 




 common


 CALL


 SALE


 1,000


 17.0000


 A


 19/07/2019


 0.5700 USD
 




 common


 CALL


 SALE


 2,500


 14.0000


 A


 18/01/2019


 0.5800 USD
 




 common


 CALL


 SALE


 200


 14.0000


 A


 15/02/2019


 0.6700 USD
 




 common


 CALL


 SALE


 200


 14.0000


 A


 15/02/2019


 0.6700 USD
 




 common


 CALL


 SALE


 400


 14.0000


 A


 15/02/2019


 0.6800 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 15/02/2019


 0.6900 USD
 




 common


 CALL


 SALE


 200


 14.0000


 A


 15/02/2019


 0.7000 USD
 




 common


 CALL


 SALE


 300


 14.0000


 A


 15/02/2019


 0.7100 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 15/02/2019


 0.7100 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 15/02/2019


 0.7100 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 15/02/2019


 0.7100 USD
 




 common


 CALL


 SALE


 200


 14.0000


 A


 15/02/2019


 0.7100 USD
 




 common


 CALL


 SALE


 300


 14.0000


 A


 15/02/2019


 0.7100 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 15/02/2019


 0.7100 USD
 




 common


 CALL


 SALE


 200


 14.0000


 A


 15/02/2019


 0.7100 USD
 




 common


 CALL


 SALE


 200


 14.0000


 A


 15/02/2019


 0.7100 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 15/02/2019


 0.7100 USD
 




 common


 CALL


 SALE


 500


 14.0000


 A


 15/02/2019


 0.7100 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 15/02/2019


 0.7100 USD
 




 common


 CALL


 SALE


 300


 14.0000


 A


 15/02/2019


 0.7100 USD
 




 common


 CALL


 SALE


 200


 14.0000


 A


 15/02/2019


 0.7100 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 15/02/2019


 0.7200 USD
 




 common


 CALL


 SALE


 300


 14.0000


 A


 15/02/2019


 0.7200 USD
 




 common


 CALL


 SALE


 300


 14.0000


 A


 15/02/2019


 0.7200 USD
 




 common


 CALL


 SALE


 200


 14.0000


 A


 15/02/2019


 0.7200 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 15/02/2019


 0.7200 USD
 




 common


 CALL


 SALE


 1,000


 14.0000


 A


 15/02/2019


 0.7300 USD
 




 common


 CALL


 SALE


 400


 14.0000


 A


 15/02/2019


 0.7300 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 15/02/2019


 0.7300 USD
 




 common


 CALL


 SALE


 200


 14.0000


 A


 15/02/2019


 0.7300 USD
 




 common


 CALL


 SALE


 200


 14.0000


 A


 15/02/2019


 0.7300 USD
 




 common


 CALL


 SALE


 200


 14.0000


 A


 15/02/2019


 0.7300 USD
 




 common


 CALL


 SALE


 500


 14.0000


 A


 15/02/2019


 0.7300 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 15/02/2019


 0.7300 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 15/02/2019


 0.7300 USD
 




 common


 CALL


 SALE


 400


 14.0000


 A


 15/02/2019


 0.7300 USD
 




 common


 CALL


 SALE


 400


 14.0000


 A


 15/02/2019


 0.7300 USD
 




 common


 CALL


 SALE


 600


 14.0000


 A


 15/02/2019


 0.7300 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 15/02/2019


 0.7300 USD
 




 common


 CALL


 SALE


 600


 14.0000


 A


 15/02/2019


 0.7300 USD
 




 common


 CALL


 SALE


 300


 14.0000


 A


 15/02/2019


 0.7300 USD
 




 common


 CALL


 SALE


 500


 14.0000


 A


 15/02/2019


 0.7300 USD
 




 common


 CALL


 SALE


 400


 14.0000


 A


 15/02/2019


 0.7300 USD
 




 common


 CALL


 SALE


 200


 14.0000


 A


 15/02/2019


 0.7300 USD
 




 common


 CALL


 SALE


 300


 14.0000


 A


 15/02/2019


 0.7300 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 15/02/2019


 0.7400 USD
 




 common


 CALL


 SALE


 200


 14.0000


 A


 15/02/2019


 0.7400 USD
 




 common


 CALL


 SALE


 2,500


 14.0000


 A


 15/02/2019


 0.7400 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 15/02/2019


 0.7400 USD
 




 common


 CALL


 SALE


 200


 14.0000


 A


 15/02/2019


 0.7500 USD
 




 common


 CALL


 SALE


 400


 14.0000


 A


 15/02/2019


 0.7600 USD
 




 common


 CALL


 SALE


 200


 14.0000


 A


 15/02/2019


 0.7600 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 15/02/2019


 0.7600 USD
 




 common


 CALL


 SALE


 800


 14.0000


 A


 15/02/2019


 0.7600 USD
 




 common


 CALL


 SALE


 200


 14.0000


 A


 15/02/2019


 0.7700 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 15/02/2019


 0.7700 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 15/02/2019


 0.7700 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 15/02/2019


 0.7800 USD
 




 common


 CALL


 SALE


 300


 14.0000


 A


 15/02/2019


 0.7800 USD
 




 common


 CALL


 SALE


 300


 14.0000


 A


 15/02/2019


 0.7800 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 15/02/2019


 0.7800 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 15/02/2019


 0.7800 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 15/02/2019


 0.7900 USD
 




 common


 CALL


 SALE


 500


 14.0000


 A


 15/02/2019


 0.7900 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 15/02/2019


 0.8000 USD
 




 common


 CALL


 SALE


 400


 14.0000


 A


 15/02/2019


 0.8000 USD
 




 common


 CALL


 SALE


 200


 14.0000


 A


 15/02/2019


 0.8100 USD
 




 common


 CALL


 SALE


 1,000


 14.0000


 A


 15/02/2019


 0.8100 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 15/02/2019


 0.8100 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 15/02/2019


 0.8100 USD
 




 common


 CALL


 SALE


 1,000


 14.0000


 A


 15/02/2019


 0.8100 USD
 




 common


 CALL


 SALE


 200


 14.0000


 A


 15/02/2019


 0.8200 USD
 




 common


 CALL


 SALE


 400


 14.0000


 A


 15/02/2019


 0.8400 USD
 




 common


 CALL


 SALE


 200


 13.0000


 A


 15/02/2019


 1.2500 USD
 




 common


 CALL


 SALE


 400


 13.0000


 A


 15/02/2019


 1.3000 USD
 




 common


 PUT


 SALE


 3,000


 15.0000


 A


 18/01/2019


 1.5000 USD
 




 common


 CALL


 SALE


 100


 13.0000


 A


 17/01/2020


 2.5000 USD
 




 common


 PUT


 SALE


 100


 18.0000


 A


 18/04/2019


 4.3000 USD
 




 common


 PUT


 SALE


 100


 18.0000


 A


 18/04/2019


 4.3000 USD
 




 common


 PUT


 SALE


 200


 18.0000


 A


 18/04/2019


 4.3000 USD
 




 common


 PUT


 SALE


 100


 18.0000


 A


 18/04/2019


 4.3000 USD
 




 common


 PUT


 SALE


 200


 18.0000


 A


 18/04/2019


 4.3000 USD
 




 common


 PUT


 SALE


 200


 20.0000


 A


 28/12/2018


 6.3000 USD
 




 common


 PUT


 SALE


 2,500


 22.0000


 A


 18/01/2019


 8.2500 USD
 




 common


 PUT


 SALE


 3,000


 24.0000


 A


 18/01/2019


 10.3000 USD
 



 
(ii)        Exercise
 



 Class of
relevant
security


 Product description
e.g. call option


 Exercising/
exercised
against


 Number of securities


 Exercise price
per unit




 common


 CALL


 N/A


 1,200


 3.0000 USD




 common


 CALL


 N/A


 600


 13.0000 USD




 common


 PUT


 N/A


 2,800


 14.0000 USD




 common


 CALL


 N/A


 4,700


 12.5000 USD




 common


 CALL


 N/A


 5,900


 13.5000 USD




 common


 PUT


 N/A


 400


 14.5000 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  
 



 
 
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:
Irrevocable commitments and letters of intent should not be included.  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:


 17 DECEMBER 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.
 
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
 
 
FERLLFEIFILDLIT