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

Barrick MiningAnnouncement

31/12/2018 09:55

RNS Number : 7988L
Morgan Stanley & Co. LLC
31 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:


28 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


 3,853,077


 18.5400 CAD


 17.6300 CAD
 




 common


 SALES


 3,913,243


 18.5300 CAD


 17.6300 CAD
 




 common


 PURCHASES


 4,819,205


 13.6150 USD


 12.9300 USD
 




 common


 SALES


 4,744,205


 13.6100 USD


 12.9300 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


 2,800


 17.0000


 A


 18/01/2019


 0.0100 USD
 




 common


 CALL


 PURCHASE


 3,400


 15.0000


 A


 18/01/2019


 0.0600 USD
 




 common


 CALL


 PURCHASE


 5,000


 14.0000


 A


 04/01/2019


 0.0700 USD
 




 common


 CALL


 PURCHASE


 1,200


 15.0000


 A


 18/01/2019


 0.1100 USD
 




 common


 PUT


 PURCHASE


 100


 12.0000


 A


 18/01/2019


 0.1100 USD
 




 common


 CALL


 PURCHASE


 100


 14.0000


 A


 04/01/2019


 0.1200 USD
 




 common


 CALL


 PURCHASE


 100


 14.0000


 A


 11/01/2019


 0.1300 USD
 




 common


 CALL


 PURCHASE


 100


 14.0000


 A


 04/01/2019


 0.1400 USD
 




 common


 PUT


 PURCHASE


 300


 13.0000


 A


 04/01/2019


 0.1800 USD
 




 common


 PUT


 PURCHASE


 4,900


 13.0000


 A


 04/01/2019


 0.1800 USD
 




 common


 CALL


 PURCHASE


 700


 14.0000


 A


 18/01/2019


 0.1900 USD
 




 common


 PUT


 PURCHASE


 4,000


 13.0000


 A


 04/01/2019


 0.2000 USD
 




 common


 CALL


 PURCHASE


 1,200


 14.0000


 A


 18/01/2019


 0.2500 USD
 




 common


 PUT


 PURCHASE


 100


 13.0000


 A


 11/01/2019


 0.2900 USD
 




 common


 PUT


 PURCHASE


 100


 13.0000


 A


 18/01/2019


 0.3400 USD
 




 common


 PUT


 PURCHASE


 200


 13.0000


 A


 18/01/2019


 0.3600 USD
 




 common


 PUT


 PURCHASE


 100


 13.0000


 A


 18/01/2019


 0.3900 USD
 




 common


 CALL


 PURCHASE


 300


 14.0000


 A


 25/01/2019


 0.4000 USD
 




 common


 CALL


 PURCHASE


 500


 14.0000


 A


 15/02/2019


 0.4900 USD
 




 common


 CALL


 PURCHASE


 600


 13.0000


 A


 28/12/2018


 0.5600 USD
 




 common


 CALL


 PURCHASE


 200


 20.0000


 A


 17/01/2020


 0.5600 USD
 




 common


 CALL


 PURCHASE


 100


 13.0000


 A


 04/01/2019


 0.6000 USD
 




 common


 CALL


 PURCHASE


 100


 13.0000


 A


 18/01/2019


 0.6100 USD
 




 common


 CALL


 PURCHASE


 1,200


 14.0000


 A


 18/04/2019


 0.7700 USD
 




 common


 CALL


 PURCHASE


 1,500


 13.0000


 A


 15/02/2019


 0.8700 USD
 




 common


 PUT


 PURCHASE


 1,100


 13.0000


 A


 18/04/2019


 0.9200 USD
 




 common


 CALL


 PURCHASE


 2,000


 13.0000


 A


 15/02/2019


 1.0600 USD
 




 common


 CALL


 PURCHASE


 100


 12.0000


 A


 18/01/2019


 1.6400 USD
 




 common


 CALL


 PURCHASE


 100


 13.0000


 A


 17/01/2020


 2.1500 USD
 




 common


 CALL


 PURCHASE


 100


 10.0000


 A


 18/01/2019


 3.5600 USD
 




 common


 CALL


 SALE


 2,000


 13.5000


 A


 28/12/2018


 0.0200 USD
 




 common


 CALL


 SALE


 1,000


 13.5000


 A


 28/12/2018


 0.0200 USD
 




 common


 CALL


 SALE


 3,100


 15.0000


 A


 04/01/2019


 0.0200 USD
 




 common


 CALL


 SALE


 2,000


 14.0000


 A


 04/01/2019


 0.0400 USD
 




 common


 CALL


 SALE


 5,000


 15.0000


 A


 18/01/2019


 0.0900 USD
 




 common


 CALL


 SALE


 200


 13.5000


 A


 28/12/2018


 0.1100 USD
 




 common


 CALL


 SALE


 2,400


 13.5000


 A


 28/12/2018


 0.1100 USD
 




 common


 PUT


 SALE


 3,000


 13.5000


 A


 28/12/2018


 0.1100 USD
 




 common


 PUT


 SALE


 1,500


 13.5000


 A


 28/12/2018


 0.1100 USD
 




 common


 PUT


 SALE


 3,200


 13.5000


 A


 28/12/2018


 0.1100 USD
 




 common


 PUT


 SALE


 5,200


 13.5000


 A


 28/12/2018


 0.1100 USD
 




 common


 PUT


 SALE


 600


 13.5000


 A


 28/12/2018


 0.1100 USD
 




 common


 CALL


 SALE


 20,000


 15.0000


 A


 18/01/2019


 0.1200 USD
 




 common


 PUT


 SALE


 200


 13.5000


 A


 28/12/2018


 0.1600 USD
 




 common


 PUT


 SALE


 300


 13.5000


 A


 28/12/2018


 0.1600 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 11/01/2019


 0.1800 USD
 




 common


 CALL


 SALE


 1,000


 14.0000


 A


 18/01/2019


 0.2000 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 18/01/2019


 0.2000 USD
 




 common


 CALL


 SALE


 300


 18.0000


 A


 18/04/2019


 0.2000 USD
 




 common


 PUT


 SALE


 100


 13.5000


 A


 28/12/2018


 0.2100 USD
 




 common


 CALL


 SALE


 600


 13.0000


 A


 28/12/2018


 0.2100 USD
 




 common


 CALL


 SALE


 1,900


 14.0000


 A


 18/01/2019


 0.2200 USD
 




 common


 CALL


 SALE


 500


 14.0000


 A


 18/01/2019


 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


 0.2400 USD
 




 common


 CALL


 SALE


 5,000


 14.0000


 A


 18/01/2019


 0.2500 USD
 




 common


 CALL


 SALE


 100


 15.0000


 A


 15/02/2019


 0.2500 USD
 




 common


 CALL


 SALE


 400


 15.0000


 A


 15/02/2019


 0.2500 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 11/01/2019


 0.2500 USD
 




 common


 CALL


 SALE


 400


 14.0000


 A


 18/01/2019


 0.2600 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 18/01/2019


 0.2800 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 18/01/2019


 0.2800 USD
 




 common


 CALL


 SALE


 4,300


 14.0000


 A


 18/01/2019


 0.2900 USD
 




 common


 CALL


 SALE


 1,000


 14.0000


 A


 18/01/2019


 0.2900 USD
 




 common


 CALL


 SALE


 700


 14.0000


 A


 18/01/2019


 0.2900 USD
 




 common


 PUT


 SALE


 100


 13.0000


 A


 18/01/2019


 0.2900 USD
 




 common


 CALL


 SALE


 300


 14.0000


 A


 18/01/2019


 0.3000 USD
 




 common


 CALL


 SALE


 400


 14.0000


 A


 18/01/2019


 0.3000 USD
 




 common


 CALL


 SALE


 200


 14.0000


 A


 18/01/2019


 0.3000 USD
 




 common


 CALL


 SALE


 1,100


 14.0000


 A


 18/01/2019


 0.3200 USD
 




 common


 CALL


 SALE


 900


 14.0000


 A


 18/01/2019


 0.3200 USD
 




 common


 PUT


 SALE


 1,000


 13.0000


 A


 18/01/2019


 0.3300 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 18/01/2019


 0.3400 USD
 




 common


 CALL


 SALE


 300


 14.0000


 A


 18/01/2019


 0.3400 USD
 




 common


 CALL


 SALE


 300


 14.0000


 A


 18/01/2019


 0.3400 USD
 




 common


 CALL


 SALE


 2,000


 13.0000


 A


 04/01/2019


 0.3400 USD
 




 common


 CALL


 SALE


 500


 13.0000


 A


 04/01/2019


 0.3400 USD
 




 common


 CALL


 SALE


 1,200


 14.0000


 A


 18/01/2019


 0.3600 USD
 




 common


 CALL


 SALE


 1,300


 14.0000


 A


 18/01/2019


 0.3600 USD
 




 common


 CALL


 SALE


 500


 15.0000


 A


 15/03/2019


 0.4100 USD
 




 common


 PUT


 SALE


 40,000


 13.0000


 A


 18/01/2019


 0.4100 USD
 




 common


 CALL


 SALE


 1,200


 14.0000


 A


 01/02/2019


 0.4600 USD
 




 common


 CALL


 SALE


 100


 14.0000


 A


 15/02/2019


 0.4700 USD
 




 common


 CALL


 SALE


 600


 14.0000


 A


 15/02/2019


 0.4700 USD
 




 common


 PUT


 SALE


 300


 10.0000


 A


 17/01/2020


 0.4900 USD
 




 common


 PUT


 SALE


 100


 10.0000


 A


 17/01/2020


 0.4900 USD
 




 common


 CALL


 SALE


 1,000


 13.0000


 A


 18/01/2019


 0.6300 USD
 




 common


 CALL


 SALE


 5,000


 13.0000


 A


 18/01/2019


 0.6300 USD
 




 common


 CALL


 SALE


 600


 14.0000


 A


 15/02/2019


 0.6300 USD
 




 common


 CALL


 SALE


 100


 13.0000


 A


 18/01/2019


 0.6400 USD
 




 common


 CALL


 SALE


 100


 13.0000


 A


 18/01/2019


 0.6400 USD
 




 common


 PUT


 SALE


 400


 13.0000


 A


 15/02/2019


 0.6600 USD
 




 common


 CALL


 SALE


 800


 13.0000


 A


 18/01/2019


 0.6800 USD
 




 common


 CALL


 SALE


 400


 14.0000


 A


 18/04/2019


 0.8100 USD
 




 common


 CALL


 SALE


 500


 13.0000


 A


 15/03/2019


 1.0500 USD
 




 common


 PUT


 SALE


 1,100


 14.0000


 A


 15/03/2019


 1.3100 USD
 




 common


 CALL


 SALE


 800


 12.0000


 A


 18/01/2019


 1.3700 USD
 




 common


 CALL


 SALE


 200


 15.0000


 A


 17/01/2020


 1.4300 USD
 




 common


 CALL


 SALE


 200


 13.0000


 A


 19/07/2019


 1.5900 USD
 




 common


 PUT


 SALE


 200


 13.0000


 A


 17/01/2020


 1.6100 USD
 




 common


 PUT


 SALE


 2,500


 17.0000


 A


 17/01/2020


 4.2500 USD
 




 common


 PUT


 SALE


 2,500


 17.0000


 A


 17/01/2020


 4.2500 USD
 



 
(ii)        Exercise
 



 Class of
relevant
security


 Product description
e.g. call option


 Exercising/
exercised
against


 Number of securities


 Exercise price
per unit




 common


 PUT


Exercising


 200


 14.0000 USD
 




 common


 PUT


Exercising


 400


 14.5000 USD
 




 common


 PUT


Exercising


 2,500


 18.0000 USD
 




 common


 PUT


Exercising


 1,500


 16.0000 USD
 




 common


 PUT


Exercising


 2,500


 17.0000 USD
 




 common


 PUT


Exercising


 700


 25.0000 USD
 




 common


 PUT


Exercising


 200


 18.0000 USD
 




 common


 PUT


Exercising


 700


 20.0000 USD
 




 common


 PUT


Exercising


 2,100


 20.0000 USD
 




 common


 PUT


Exercising


 200


 21.0000 USD
 




 common


 PUT


Exercising


 4,900


 17.0000 USD
 




 common


 PUT


Exercising


 1,900


 19.0000 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:


 31 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.
 




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END
 
 
FERLIFEAFFLLVIT