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:
21 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
550,921
18.1900 CAD
17.7800 CAD
common
SALES
533,106
18.1900 CAD
17.7300 CAD
common
PURCHASES
3,322,995
13.4200 USD
13.0700 USD
common
SALES
3,154,428
13.4200 USD
13.0700 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
600
17.0000
A
18/01/2019
0.0200 USD
common
CALL
PURCHASE
600
17.0000
A
18/01/2019
0.0200 USD
common
CALL
PURCHASE
600
17.0000
A
18/01/2019
0.0200 USD
common
CALL
PURCHASE
1,900
17.0000
A
18/01/2019
0.0200 USD
common
CALL
PURCHASE
3,100
17.0000
A
18/01/2019
0.0200 USD
common
CALL
PURCHASE
3,000
17.0000
A
18/01/2019
0.0200 USD
common
CALL
PURCHASE
3,000
17.0000
A
18/01/2019
0.0200 USD
common
CALL
PURCHASE
2,300
17.0000
A
18/01/2019
0.0200 USD
common
CALL
PURCHASE
2,600
17.0000
A
18/01/2019
0.0200 USD
common
CALL
PURCHASE
5,700
17.0000
A
18/01/2019
0.0200 USD
common
CALL
PURCHASE
1,500
17.0000
A
18/01/2019
0.0200 USD
common
CALL
PURCHASE
1,500
17.0000
A
18/01/2019
0.0200 USD
common
CALL
PURCHASE
400
14.0000
A
04/01/2019
0.1300 USD
common
CALL
PURCHASE
400
14.0000
A
04/01/2019
0.1300 USD
common
PUT
PURCHASE
200
12.0000
A
18/01/2019
0.1500 USD
common
PUT
PURCHASE
400
12.0000
A
18/01/2019
0.1500 USD
common
CALL
PURCHASE
100
13.0000
A
21/12/2018
0.1900 USD
common
CALL
PURCHASE
600
14.0000
A
18/01/2019
0.2400 USD
common
CALL
PURCHASE
500
14.0000
A
18/01/2019
0.2400 USD
common
PUT
PURCHASE
100
13.5000
A
21/12/2018
0.2500 USD
common
CALL
PURCHASE
500
13.0000
A
28/12/2018
0.3100 USD
common
CALL
PURCHASE
500
13.0000
A
28/12/2018
0.3100 USD
common
CALL
PURCHASE
100
14.0000
A
15/02/2019
0.4800 USD
common
CALL
PURCHASE
100
14.0000
A
15/02/2019
0.4800 USD
common
CALL
PURCHASE
1,000
14.0000
A
15/02/2019
0.4800 USD
common
PUT
PURCHASE
1,400
13.5000
A
28/12/2018
0.4900 USD
common
PUT
PURCHASE
300
13.5000
A
28/12/2018
0.5200 USD
common
PUT
PURCHASE
200
14.0000
A
18/01/2019
1.0800 USD
common
PUT
PURCHASE
100
14.0000
A
18/01/2019
1.1000 USD
common
CALL
PURCHASE
100
10.0000
A
18/04/2019
3.4200 USD
common
CALL
PURCHASE
400
10.0000
A
17/01/2020
3.9200 USD
common
CALL
PURCHASE
100
9.0000
A
18/01/2019
4.1200 USD
common
CALL
SALE
500
14.0000
A
21/12/2018
0.0100 USD
common
CALL
SALE
500
14.0000
A
21/12/2018
0.0100 USD
common
CALL
SALE
2,400
14.0000
A
21/12/2018
0.0100 USD
common
PUT
SALE
2,000
13.0000
A
21/12/2018
0.0200 USD
common
CALL
SALE
800
15.0000
A
04/01/2019
0.0400 USD
common
CALL
SALE
3,000
15.0000
A
04/01/2019
0.0400 USD
common
CALL
SALE
1,000
14.0000
A
28/12/2018
0.0500 USD
common
CALL
SALE
300
16.0000
A
15/02/2019
0.1600 USD
common
CALL
SALE
300
16.0000
A
15/02/2019
0.1600 USD
common
CALL
SALE
500
13.0000
A
21/12/2018
0.2300 USD
common
CALL
SALE
500
14.0000
A
18/01/2019
0.2400 USD
common
CALL
SALE
500
14.0000
A
18/01/2019
0.2500 USD
common
CALL
SALE
2,500
14.0000
A
01/02/2019
0.3800 USD
common
CALL
SALE
2,500
14.0000
A
01/02/2019
0.3800 USD
common
CALL
SALE
300
14.0000
A
15/02/2019
0.4700 USD
common
CALL
SALE
500
13.0000
A
04/01/2019
0.4800 USD
common
CALL
SALE
500
14.0000
A
15/02/2019
0.4900 USD
common
PUT
SALE
2,500
14.0000
A
21/12/2018
0.6500 USD
common
PUT
SALE
100
14.0000
A
18/01/2019
1.0800 USD
common
CALL
SALE
700
12.0000
A
18/04/2019
1.7700 USD
common
CALL
SALE
800
12.0000
A
18/04/2019
1.7700 USD
common
CALL
SALE
200
10.0000
A
17/01/2020
3.8500 USD
common
CALL
SALE
300
10.0000
A
17/01/2020
3.8500 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:
24 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.ENDFERLLFFLFSLSFIT
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