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

Barrick MiningAnnouncement

28/12/2018 10:45

RNS Number : 7092L
Morgan Stanley & Co. LLC
28 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:


27 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


 1,182,611


 18.7100 CAD


 18.2198 CAD
 




 common


 SALES


 1,109,369


 18.7000 CAD


 18.2200 CAD
 




 common


 PURCHASES


 2,298,423


 13.7200 USD


 13.2500 USD
 




 common


 SALES


 2,149,809


 13.7100 USD


 13.2500 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


 17.0000


 A


 18/01/2019


 0.0200 USD
 




 common


 CALL


 PURCHASE


 1,000


 17.0000


 A


 18/01/2019


 0.0200 USD
 




 common


 CALL


 PURCHASE


 1,500


 17.0000


 A


 18/01/2019


 0.0300 USD
 




 common


 CALL


 PURCHASE


 1,500


 17.0000


 A


 18/01/2019


 0.0300 USD
 




 common


 CALL


 PURCHASE


 1,000


 15.0000


 A


 04/01/2019


 0.0300 USD
 




 common


 CALL


 PURCHASE


 4,700


 14.0000


 A


 28/12/2018


 0.0300 USD
 




 common


 PUT


 PURCHASE


 700


 12.0000


 A


 18/01/2019


 0.0900 USD
 




 common


 PUT


 PURCHASE


 400


 12.0000


 A


 18/01/2019


 0.1000 USD
 




 common


 CALL


 PURCHASE


 600


 15.0000


 A


 18/01/2019


 0.1300 USD
 




 common


 CALL


 PURCHASE


 200


 15.0000


 A


 18/01/2019


 0.1300 USD
 




 common


 CALL


 PURCHASE


 100


 15.0000


 A


 18/01/2019


 0.1400 USD
 




 common


 CALL


 PURCHASE


 100


 15.0000


 A


 18/01/2019


 0.1400 USD
 




 common


 CALL


 PURCHASE


 100


 15.0000


 A


 18/01/2019


 0.1500 USD
 




 common


 CALL


 PURCHASE


 200


 15.0000


 A


 18/01/2019


 0.1500 USD
 




 common


 CALL


 PURCHASE


 100


 14.0000


 A


 04/01/2019


 0.1500 USD
 




 common


 PUT


 PURCHASE


 500


 13.5000


 A


 28/12/2018


 0.1600 USD
 




 common


 CALL


 PURCHASE


 100


 14.0000


 A


 04/01/2019


 0.1700 USD
 




 common


 CALL


 PURCHASE


 100


 14.0000


 A


 04/01/2019


 0.1800 USD
 




 common


 CALL


 PURCHASE


 900


 13.5000


 A


 28/12/2018


 0.2200 USD
 




 common


 CALL


 PURCHASE


 400


 13.5000


 A


 28/12/2018


 0.2500 USD
 




 common


 PUT


 PURCHASE


 9,600


 13.0000


 A


 18/01/2019


 0.2600 USD
 




 common


 PUT


 PURCHASE


 5,900


 13.0000


 A


 18/01/2019


 0.2600 USD
 




 common


 PUT


 PURCHASE


 900


 13.0000


 A


 18/01/2019


 0.2700 USD
 




 common


 PUT


 PURCHASE


 1,500


 13.0000


 A


 18/01/2019


 0.2700 USD
 




 common


 PUT


 PURCHASE


 14,000


 13.0000


 A


 18/01/2019


 0.2700 USD
 




 common


 PUT


 PURCHASE


 100


 13.0000


 A


 18/01/2019


 0.2700 USD
 




 common


 PUT


 PURCHASE


 2,500


 13.0000


 A


 18/01/2019


 0.2700 USD
 




 common


 PUT


 PURCHASE


 14,100


 13.0000


 A


 18/01/2019


 0.2700 USD
 




 common


 PUT


 PURCHASE


 3,000


 13.0000


 A


 18/01/2019


 0.2700 USD
 




 common


 PUT


 PURCHASE


 600


 13.0000


 A


 18/01/2019


 0.2700 USD
 




 common


 PUT


 PURCHASE


 2,000


 13.0000


 A


 18/01/2019


 0.2900 USD
 




 common


 PUT


 PURCHASE


 200


 13.0000


 A


 18/01/2019


 0.3300 USD
 




 common


 PUT


 PURCHASE


 100


 13.0000


 A


 18/01/2019


 0.3300 USD
 




 common


 PUT


 PURCHASE


 3,000


 13.0000


 A


 18/01/2019


 0.3400 USD
 




 common


 PUT


 PURCHASE


 600


 13.0000


 A


 18/01/2019


 0.3400 USD
 




 common


 CALL


 PURCHASE


 100


 14.0000


 A


 18/01/2019


 0.3900 USD
 




 common


 CALL


 PURCHASE


 200


 14.0000


 A


 18/01/2019


 0.3900 USD
 




 common


 CALL


 PURCHASE


 700


 14.0000


 A


 15/02/2019


 0.6200 USD
 




 common


 CALL


 PURCHASE


 100


 14.0000


 A


 15/02/2019


 0.6200 USD
 




 common


 CALL


 PURCHASE


 2,000


 14.0000


 A


 15/02/2019


 0.6600 USD
 




 common


 CALL


 PURCHASE


 100


 15.0000


 A


 18/04/2019


 0.7000 USD
 




 common


 CALL


 PURCHASE


 500


 15.0000


 A


 18/04/2019


 0.7000 USD
 




 common


 PUT


 PURCHASE


 200


 13.0000


 A


 15/03/2019


 0.7100 USD
 




 common


 CALL


 PURCHASE


 300


 13.0000


 A


 04/01/2019


 0.7500 USD
 




 common


 CALL


 PURCHASE


 700


 16.0000


 A


 19/07/2019


 0.7600 USD
 




 common


 PUT


 PURCHASE


 500


 10.0000


 A


 15/01/2021


 0.8200 USD
 




 common


 CALL


 PURCHASE


 200


 17.0000


 A


 17/01/2020


 1.0500 USD
 




 common


 CALL


 PURCHASE


 400


 14.0000


 A


 18/04/2019


 1.0700 USD
 




 common


 CALL


 PURCHASE


 900


 12.0000


 A


 18/01/2019


 1.5300 USD
 




 common


 CALL


 PURCHASE


 100


 15.0000


 A


 17/01/2020


 1.6500 USD
 




 common


 PUT


 PURCHASE


 500


 12.0000


 A


 15/01/2021


 1.6700 USD
 




 common


 CALL


 PURCHASE


 1,100


 17.0000


 A


 15/01/2021


 1.8300 USD
 




 common


 CALL


 PURCHASE


 300


 11.0000


 A


 18/01/2019


 2.6100 USD
 




 common


 CALL


 PURCHASE


 100


 11.0000


 A


 18/01/2019


 2.7100 USD
 




 common


 CALL


 PURCHASE


 200


 11.0000


 A


 18/01/2019


 2.7100 USD
 




 common


 PUT


 PURCHASE


 1,300


 16.0000


 A


 19/07/2019


 3.1000 USD
 




 common


 CALL


 PURCHASE


 200


 10.0000


 A


 18/04/2019


 3.8700 USD
 




 common


 CALL


 PURCHASE


 200


 10.0000


 A


 18/04/2019


 3.8700 USD
 




 common


 CALL


 PURCHASE


 1,100


 10.0000


 A


 17/01/2020


 4.2000 USD
 




 common


 CALL


 SALE


 200


 25.0000


 A


 18/01/2019


 0.0100 USD
 




 common


 CALL


 SALE


 1,000


 20.0000


 A


 18/01/2019


 0.0100 USD
 




 common


 CALL


 SALE


 200


 25.0000


 A


 18/01/2019


 0.0100 USD
 




 common


 CALL


 SALE


 200


 17.0000


 A


 18/01/2019


 0.0300 USD
 




 common


 PUT


 SALE


 2,900


 13.5000


 A


 28/12/2018


 0.0700 USD
 




 common


 PUT


 SALE


 7,700


 13.5000


 A


 28/12/2018


 0.0700 USD
 




 common


 PUT


 SALE


 2,000


 13.5000


 A


 28/12/2018


 0.0800 USD
 




 common


 PUT


 SALE


 1,000


 12.0000


 A


 18/01/2019


 0.1100 USD
 




 common


 CALL


 SALE


 100


 15.0000


 A


 11/01/2019


 0.1100 USD
 




 common


 PUT


 SALE


 700


 12.0000


 A


 18/01/2019


 0.1200 USD
 




 common


 CALL


 SALE


 100


 15.0000


 A


 18/01/2019


 0.1300 USD
 




 common


 CALL


 SALE


 100


 15.0000


 A


 18/01/2019


 0.1300 USD
 




 common


 CALL


 SALE


 400


 14.0000


 A


 04/01/2019


 0.1300 USD
 




 common


 CALL


 SALE


 700


 14.0000


 A


 04/01/2019


 0.1300 USD
 




 common


 CALL


 SALE


 200


 14.0000


 A


 04/01/2019


 0.1300 USD
 




 common


 CALL


 SALE


 1,100


 14.0000


 A


 04/01/2019


 0.1500 USD
 




 common


 CALL


 SALE


 500


 15.0000


 A


 18/01/2019


 0.1500 USD
 




 common


 CALL


 SALE


 2,900


 15.0000


 A


 18/01/2019


 0.1600 USD
 




 common


 CALL


 SALE


 200


 15.0000


 A


 18/01/2019


 0.1600 USD
 




 common


 CALL


 SALE


 4,400


 15.0000


 A


 18/01/2019


 0.1600 USD
 




 common


 CALL


 SALE


 100


 13.5000


 A


 28/12/2018


 0.1700 USD
 




 common


 CALL


 SALE


 600


 13.5000


 A


 28/12/2018


 0.1700 USD
 




 common


 PUT


 SALE


 2,000


 13.0000


 A


 04/01/2019


 0.1800 USD
 




 common


 PUT


 SALE


 100


 13.0000


 A


 18/01/2019


 0.2500 USD
 




 common


 PUT


 SALE


 100


 13.0000


 A


 18/01/2019


 0.2500 USD
 




 common


 PUT


 SALE


 500


 13.0000


 A


 18/01/2019


 0.2500 USD
 




 common


 PUT


 SALE


 500


 13.0000


 A


 18/01/2019


 0.2600 USD
 




 common


 CALL


 SALE


 1,000


 14.0000


 A


 18/01/2019


 0.3600 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 08/02/2019


 0.5900 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 15/02/2019


 0.6400 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 15/02/2019


 0.6400 USD
 




 common


 CALL


 SALE


 500


 13.0000


 A


 18/01/2019


 0.8600 USD
 




 common


 CALL


 SALE


 500


 13.0000


 A


 18/01/2019


 0.8600 USD
 




 common


 CALL


 SALE


 2,000


 14.0000


 A


 18/04/2019


 1.0800 USD
 




 common


 CALL


 SALE


 100


 13.0000


 A


 15/02/2019


 1.0900 USD
 




 common


 CALL


 SALE


 100


 13.0000


 A


 15/02/2019


 1.2300 USD
 




 common


 CALL


 SALE


 100


 13.0000


 A


 15/02/2019


 1.2500 USD
 




 common


 CALL


 SALE


 800


 15.0000


 A


 17/01/2020


 1.5900 USD
 




 common


 PUT


 SALE


 500


 13.0000


 A


 17/01/2020


 1.6400 USD
 




 common


 CALL


 SALE


 100


 15.0000


 A


 17/01/2020


 1.7300 USD
 




 common


 CALL


 SALE


 100


 12.0000


 A


 19/07/2019


 2.4300 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


Exercising


 5,100


 8.0000 USD
 




 common


 CALL


Exercising


 16,800


 9.0000 USD
 




 common


 CALL


Exercising


 1,200


 12.0000 USD
 




 common


 CALL


Exercising


 100


 13.0000 USD
 




 common


 CALL


Exercising


 600


 12.5000 USD
 




 common


 CALL


Exercising


 1,600


 11.0000 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  
 



 
 
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:


 28 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
 
 
FERLLFSIFLLTFIT