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:
19 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
171,589
18.6900 CAD
17.3400 CAD
common
SALES
171,589
18.6625 CAD
17.3400 CAD
common
PURCHASES
4,011,013
13.9200 USD
12.8000 USD
common
SALES
3,932,091
13.9200 USD
12.8000 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
100
20.0000
A
18/01/2019
0.0100 USD
common
CALL
PURCHASE
600
20.0000
A
18/01/2019
0.0100 USD
common
CALL
PURCHASE
1,100
20.0000
A
18/01/2019
0.0100 USD
common
CALL
PURCHASE
100
20.0000
A
18/01/2019
0.0100 USD
common
CALL
PURCHASE
1,000
20.0000
A
18/01/2019
0.0100 USD
common
CALL
PURCHASE
700
20.0000
A
18/01/2019
0.0100 USD
common
CALL
PURCHASE
100
20.0000
A
18/01/2019
0.0100 USD
common
CALL
PURCHASE
400
14.0000
A
21/12/2018
0.0100 USD
common
CALL
PURCHASE
600
14.0000
A
21/12/2018
0.0100 USD
common
PUT
PURCHASE
4,200
13.0000
A
21/12/2018
0.0200 USD
common
PUT
PURCHASE
100
13.0000
A
21/12/2018
0.0200 USD
common
PUT
PURCHASE
100
12.0000
A
04/01/2019
0.0200 USD
common
CALL
PURCHASE
2,300
14.0000
A
21/12/2018
0.0500 USD
common
CALL
PURCHASE
1,400
14.0000
A
21/12/2018
0.0500 USD
common
CALL
PURCHASE
1,100
14.0000
A
21/12/2018
0.0500 USD
common
CALL
PURCHASE
100
14.0000
A
21/12/2018
0.0500 USD
common
CALL
PURCHASE
200
15.0000
A
18/01/2019
0.0600 USD
common
CALL
PURCHASE
100
15.0000
A
18/01/2019
0.0600 USD
common
CALL
PURCHASE
5,900
15.0000
A
18/01/2019
0.0600 USD
common
CALL
PURCHASE
2,300
15.0000
A
18/01/2019
0.0600 USD
common
CALL
PURCHASE
600
15.0000
A
18/01/2019
0.0600 USD
common
CALL
PURCHASE
700
15.0000
A
18/01/2019
0.0600 USD
common
CALL
PURCHASE
1,700
15.0000
A
18/01/2019
0.0600 USD
common
CALL
PURCHASE
4,700
15.0000
A
18/01/2019
0.0600 USD
common
CALL
PURCHASE
300
15.0000
A
18/01/2019
0.0700 USD
common
CALL
PURCHASE
100
15.0000
A
04/01/2019
0.0700 USD
common
CALL
PURCHASE
5,300
15.0000
A
04/01/2019
0.0700 USD
common
CALL
PURCHASE
4,400
15.0000
A
04/01/2019
0.0700 USD
common
CALL
PURCHASE
1,600
15.0000
A
04/01/2019
0.0700 USD
common
CALL
PURCHASE
300
15.0000
A
04/01/2019
0.0700 USD
common
CALL
PURCHASE
800
15.0000
A
04/01/2019
0.0700 USD
common
CALL
PURCHASE
1,500
15.0000
A
04/01/2019
0.0700 USD
common
CALL
PURCHASE
200
15.0000
A
04/01/2019
0.0700 USD
common
CALL
PURCHASE
100
15.0000
A
25/01/2019
0.0700 USD
common
CALL
PURCHASE
300
15.0000
A
25/01/2019
0.0700 USD
common
PUT
PURCHASE
1,500
13.5000
A
21/12/2018
0.0700 USD
common
PUT
PURCHASE
100
13.5000
A
21/12/2018
0.0700 USD
common
CALL
PURCHASE
5,000
15.0000
A
18/01/2019
0.0800 USD
common
CALL
PURCHASE
1,400
15.0000
A
18/01/2019
0.0800 USD
common
CALL
PURCHASE
100
15.0000
A
18/01/2019
0.1100 USD
common
CALL
PURCHASE
5,000
22.0000
A
19/07/2019
0.1200 USD
common
CALL
PURCHASE
5,000
22.0000
A
19/07/2019
0.1200 USD
common
CALL
PURCHASE
100
18.0000
A
18/04/2019
0.1300 USD
common
CALL
PURCHASE
600
13.0000
A
21/12/2018
0.1400 USD
common
CALL
PURCHASE
400
15.0000
A
18/01/2019
0.1500 USD
common
CALL
PURCHASE
500
14.0000
A
18/01/2019
0.1900 USD
common
CALL
PURCHASE
500
14.0000
A
18/01/2019
0.1900 USD
common
CALL
PURCHASE
100
15.0000
A
15/02/2019
0.2000 USD
common
PUT
PURCHASE
100
14.0000
A
21/12/2018
0.2800 USD
common
PUT
PURCHASE
3,000
13.0000
A
18/01/2019
0.2800 USD
common
PUT
PURCHASE
600
13.0000
A
18/01/2019
0.2800 USD
common
PUT
PURCHASE
900
13.0000
A
18/01/2019
0.2800 USD
common
PUT
PURCHASE
400
13.0000
A
18/01/2019
0.2800 USD
common
PUT
PURCHASE
1,100
13.0000
A
18/01/2019
0.2800 USD
common
PUT
PURCHASE
2,500
13.0000
A
18/01/2019
0.2800 USD
common
PUT
PURCHASE
11,800
13.0000
A
18/01/2019
0.2800 USD
common
PUT
PURCHASE
1,500
13.0000
A
18/01/2019
0.2800 USD
common
PUT
PURCHASE
2,400
13.0000
A
18/01/2019
0.2800 USD
common
PUT
PURCHASE
7,700
13.0000
A
18/01/2019
0.2800 USD
common
PUT
PURCHASE
600
13.0000
A
18/01/2019
0.2800 USD
common
CALL
PURCHASE
100
14.0000
A
18/01/2019
0.3100 USD
common
CALL
PURCHASE
100
14.0000
A
18/01/2019
0.3100 USD
common
CALL
PURCHASE
2,700
14.0000
A
15/02/2019
0.4000 USD
common
PUT
PURCHASE
100
14.0000
A
21/12/2018
0.4300 USD
common
CALL
PURCHASE
1,000
13.0000
A
18/01/2019
0.4400 USD
common
PUT
PURCHASE
100
14.0000
A
21/12/2018
0.4600 USD
common
CALL
PURCHASE
500
13.0000
A
18/01/2019
0.5200 USD
common
CALL
PURCHASE
600
13.0000
A
18/01/2019
0.5200 USD
common
PUT
PURCHASE
2,000
13.0000
A
18/01/2019
0.5700 USD
common
PUT
PURCHASE
200
14.0000
A
21/12/2018
0.6000 USD
common
PUT
PURCHASE
300
14.0000
A
21/12/2018
0.6000 USD
common
CALL
PURCHASE
100
13.0000
A
21/12/2018
0.6300 USD
common
CALL
PURCHASE
1,000
13.0000
A
21/12/2018
0.6300 USD
common
CALL
PURCHASE
500
15.0000
A
18/04/2019
0.6600 USD
common
CALL
PURCHASE
100
14.0000
A
15/02/2019
0.7100 USD
common
CALL
PURCHASE
100
15.0000
A
19/07/2019
0.7800 USD
common
CALL
PURCHASE
500
15.0000
A
19/07/2019
0.7800 USD
common
CALL
PURCHASE
100
15.0000
A
19/07/2019
0.7800 USD
common
CALL
PURCHASE
100
15.0000
A
19/07/2019
0.7800 USD
common
PUT
PURCHASE
300
14.0000
A
18/01/2019
0.9400 USD
common
PUT
PURCHASE
300
14.0000
A
18/01/2019
0.9400 USD
common
CALL
PURCHASE
100
14.0000
A
18/04/2019
0.9800 USD
common
CALL
PURCHASE
1,200
12.0000
A
18/01/2019
1.0000 USD
common
CALL
PURCHASE
100
13.0000
A
18/01/2019
1.0100 USD
common
CALL
PURCHASE
100
13.0000
A
18/01/2019
1.0100 USD
common
CALL
PURCHASE
300
13.0000
A
18/04/2019
1.0700 USD
common
CALL
PURCHASE
4,000
13.0000
A
18/04/2019
1.1400 USD
common
CALL
PURCHASE
2,000
13.0000
A
18/04/2019
1.1400 USD
common
CALL
PURCHASE
300
12.0000
A
18/01/2019
1.1400 USD
common
CALL
PURCHASE
400
12.0000
A
18/01/2019
1.1400 USD
common
CALL
PURCHASE
1,500
20.0000
A
15/01/2021
1.2100 USD
common
CALL
PURCHASE
1,500
20.0000
A
15/01/2021
1.2100 USD
common
PUT
PURCHASE
100
15.0000
A
17/01/2020
2.7500 USD
common
CALL
PURCHASE
500
10.0000
A
18/04/2019
3.1200 USD
common
CALL
PURCHASE
500
10.0000
A
18/04/2019
3.1200 USD
common
CALL
PURCHASE
100
9.0000
A
18/01/2019
3.9600 USD
common
CALL
PURCHASE
100
9.0000
A
18/01/2019
3.9600 USD
common
CALL
SALE
1,500
15.0000
A
21/12/2018
0.0100 USD
common
CALL
SALE
1,200
14.0000
A
21/12/2018
0.0200 USD
common
CALL
SALE
1,300
14.0000
A
21/12/2018
0.0200 USD
common
PUT
SALE
200
11.0000
A
18/01/2019
0.0300 USD
common
CALL
SALE
600
14.0000
A
21/12/2018
0.0400 USD
common
PUT
SALE
100
12.5000
A
28/12/2018
0.0400 USD
common
CALL
SALE
1,000
13.5000
A
21/12/2018
0.0400 USD
common
CALL
SALE
200
13.5000
A
21/12/2018
0.0400 USD
common
CALL
SALE
600
13.5000
A
21/12/2018
0.0500 USD
common
CALL
SALE
800
13.5000
A
21/12/2018
0.0500 USD
common
CALL
SALE
4,000
14.0000
A
28/12/2018
0.0500 USD
common
CALL
SALE
100
14.0000
A
21/12/2018
0.0500 USD
common
CALL
SALE
800
14.0000
A
21/12/2018
0.0500 USD
common
CALL
SALE
800
14.0000
A
21/12/2018
0.0500 USD
common
CALL
SALE
800
14.0000
A
21/12/2018
0.0500 USD
common
CALL
SALE
100
14.0000
A
21/12/2018
0.0600 USD
common
CALL
SALE
1,000
14.0000
A
21/12/2018
0.0600 USD
common
CALL
SALE
200
14.0000
A
21/12/2018
0.0700 USD
common
CALL
SALE
2,500
14.0000
A
21/12/2018
0.0700 USD
common
CALL
SALE
3,000
14.0000
A
21/12/2018
0.0700 USD
common
CALL
SALE
200
14.0000
A
21/12/2018
0.0800 USD
common
PUT
SALE
100
12.0000
A
18/01/2019
0.0800 USD
common
PUT
SALE
700
12.0000
A
18/01/2019
0.0800 USD
common
CALL
SALE
100
15.0000
A
18/01/2019
0.0800 USD
common
CALL
SALE
100
15.0000
A
18/01/2019
0.0800 USD
common
CALL
SALE
1,100
15.0000
A
18/01/2019
0.0800 USD
common
PUT
SALE
2,000
13.0000
A
21/12/2018
0.1100 USD
common
CALL
SALE
1,000
14.0000
A
28/12/2018
0.1200 USD
common
CALL
SALE
4,400
14.0000
A
28/12/2018
0.1300 USD
common
CALL
SALE
4,200
14.0000
A
28/12/2018
0.1300 USD
common
CALL
SALE
700
14.0000
A
28/12/2018
0.1300 USD
common
PUT
SALE
1,900
12.0000
A
18/01/2019
0.1300 USD
common
PUT
SALE
100
12.0000
A
18/01/2019
0.1300 USD
common
PUT
SALE
100
12.0000
A
18/01/2019
0.1300 USD
common
PUT
SALE
1,900
12.0000
A
18/01/2019
0.1300 USD
common
CALL
SALE
2,000
13.5000
A
21/12/2018
0.1400 USD
common
CALL
SALE
1,500
13.5000
A
21/12/2018
0.1400 USD
common
PUT
SALE
100
13.0000
A
21/12/2018
0.1400 USD
common
PUT
SALE
100
13.0000
A
21/12/2018
0.1400 USD
common
CALL
SALE
500
13.5000
A
21/12/2018
0.1500 USD
common
CALL
SALE
100
13.5000
A
21/12/2018
0.1500 USD
common
CALL
SALE
500
13.5000
A
21/12/2018
0.1500 USD
common
CALL
SALE
2,000
13.5000
A
21/12/2018
0.1500 USD
common
CALL
SALE
2,000
13.5000
A
21/12/2018
0.1500 USD
common
CALL
SALE
100
15.0000
A
18/01/2019
0.1500 USD
common
CALL
SALE
500
30.0000
A
17/01/2020
0.1500 USD
common
CALL
SALE
2,000
13.5000
A
21/12/2018
0.1600 USD
common
CALL
SALE
100
13.0000
A
21/12/2018
0.1700 USD
common
CALL
SALE
100
14.0000
A
18/01/2019
0.1700 USD
common
PUT
SALE
2,900
13.0000
A
21/12/2018
0.2000 USD
common
PUT
SALE
100
13.0000
A
04/01/2019
0.2100 USD
common
CALL
SALE
300
13.5000
A
21/12/2018
0.2200 USD
common
CALL
SALE
400
14.0000
A
04/01/2019
0.2300 USD
common
CALL
SALE
300
14.0000
A
04/01/2019
0.2300 USD
common
PUT
SALE
5,000
13.0000
A
18/01/2019
0.2600 USD
common
CALL
SALE
5,000
14.0000
A
18/01/2019
0.2800 USD
common
CALL
SALE
1,000
14.0000
A
18/01/2019
0.2900 USD
common
CALL
SALE
13,000
14.0000
A
18/01/2019
0.3000 USD
common
CALL
SALE
700
14.0000
A
18/01/2019
0.3000 USD
common
CALL
SALE
12,100
14.0000
A
18/01/2019
0.3000 USD
common
PUT
SALE
500
13.5000
A
28/12/2018
0.3000 USD
common
PUT
SALE
500
13.5000
A
28/12/2018
0.3000 USD
common
PUT
SALE
600
13.0000
A
18/01/2019
0.3100 USD
common
PUT
SALE
400
13.0000
A
18/01/2019
0.3100 USD
common
PUT
SALE
300
13.0000
A
18/01/2019
0.3100 USD
common
PUT
SALE
100
13.0000
A
18/01/2019
0.3100 USD
common
PUT
SALE
800
13.0000
A
18/01/2019
0.3100 USD
common
PUT
SALE
300
13.0000
A
18/01/2019
0.3100 USD
common
PUT
SALE
600
13.0000
A
18/01/2019
0.3100 USD
common
PUT
SALE
300
13.0000
A
18/01/2019
0.3100 USD
common
PUT
SALE
400
13.0000
A
18/01/2019
0.3100 USD
common
PUT
SALE
500
13.0000
A
18/01/2019
0.3100 USD
common
PUT
SALE
400
13.0000
A
18/01/2019
0.3100 USD
common
PUT
SALE
200
13.0000
A
18/01/2019
0.3100 USD
common
PUT
SALE
200
13.0000
A
18/01/2019
0.3100 USD
common
CALL
SALE
3,000
13.5000
A
28/12/2018
0.3200 USD
common
PUT
SALE
1,100
12.0000
A
15/02/2019
0.3400 USD
common
PUT
SALE
2,100
12.0000
A
15/02/2019
0.3400 USD
common
CALL
SALE
100
13.5000
A
28/12/2018
0.3500 USD
common
CALL
SALE
2,900
13.5000
A
28/12/2018
0.3500 USD
common
CALL
SALE
100
13.5000
A
28/12/2018
0.3500 USD
common
CALL
SALE
100
14.0000
A
15/02/2019
0.4000 USD
common
CALL
SALE
200
14.0000
A
15/02/2019
0.4100 USD
common
CALL
SALE
1,800
13.0000
A
18/01/2019
0.4600 USD
common
CALL
SALE
1,800
13.0000
A
18/01/2019
0.4600 USD
common
CALL
SALE
10,000
13.5000
A
28/12/2018
0.4700 USD
common
CALL
SALE
500
13.5000
A
28/12/2018
0.4900 USD
common
CALL
SALE
2,500
13.5000
A
28/12/2018
0.4900 USD
common
CALL
SALE
600
13.0000
A
18/01/2019
0.4900 USD
common
CALL
SALE
100
14.0000
A
15/02/2019
0.5400 USD
common
CALL
SALE
200
14.0000
A
15/02/2019
0.5400 USD
common
PUT
SALE
4,000
13.5000
A
21/12/2018
0.5400 USD
common
PUT
SALE
600
13.5000
A
21/12/2018
0.5400 USD
common
PUT
SALE
3,000
13.5000
A
21/12/2018
0.5400 USD
common
PUT
SALE
600
13.5000
A
21/12/2018
0.5400 USD
common
PUT
SALE
200
13.5000
A
21/12/2018
0.5400 USD
common
PUT
SALE
1,100
13.5000
A
21/12/2018
0.5400 USD
common
PUT
SALE
1,500
13.5000
A
21/12/2018
0.5400 USD
common
PUT
SALE
2,400
13.5000
A
21/12/2018
0.5400 USD
common
CALL
SALE
500
15.0000
A
18/04/2019
0.5700 USD
common
CALL
SALE
300
15.0000
A
18/04/2019
0.5700 USD
common
CALL
SALE
400
15.0000
A
18/04/2019
0.5700 USD
common
PUT
SALE
1,500
13.5000
A
21/12/2018
0.6100 USD
common
PUT
SALE
1,500
13.5000
A
21/12/2018
0.6100 USD
common
CALL
SALE
600
14.0000
A
15/02/2019
0.6400 USD
common
CALL
SALE
400
14.0000
A
15/02/2019
0.7000 USD
common
CALL
SALE
2,000
13.0000
A
18/01/2019
0.7200 USD
common
PUT
SALE
600
13.0000
A
18/04/2019
0.7400 USD
common
PUT
SALE
100
13.0000
A
18/04/2019
0.7400 USD
common
PUT
SALE
100
14.0000
A
18/01/2019
0.9400 USD
common
CALL
SALE
100
12.0000
A
15/02/2019
1.2700 USD
common
CALL
SALE
500
13.0000
A
18/04/2019
1.5300 USD
common
CALL
SALE
200
12.0000
A
18/04/2019
1.5500 USD
common
CALL
SALE
1,000
12.0000
A
15/02/2019
1.6000 USD
common
PUT
SALE
100
15.0000
A
18/01/2019
1.7000 USD
common
PUT
SALE
400
15.0000
A
18/01/2019
1.7000 USD
common
PUT
SALE
1,400
15.0000
A
21/12/2018
2.0900 USD
common
CALL
SALE
100
13.0000
A
17/01/2020
2.2200 USD
common
CALL
SALE
100
10.0000
A
18/04/2019
3.1400 USD
common
PUT
SALE
300
17.0000
A
18/01/2019
3.5700 USD
common
PUT
SALE
200
17.0000
A
18/01/2019
3.5700 USD
common
PUT
SALE
4,000
17.0000
A
17/01/2020
4.3800 USD
common
PUT
SALE
3,000
17.0000
A
17/01/2020
4.3800 USD
(ii) Exercise
Class of
relevant
security
Product description
e.g. call option
Exercising/
exercised
against
Number of securities
Exercise price
per unit
N/A
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
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:
20 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.ENDFERLLFFIFLLIFIT
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