REG - Morgan Stanley&CoLLC Barrick Gold Corp - Form 8.5 (EPT/RI) - Replacement of Barrick Gold
02/11/2018 14:15
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RNS Number : 2235G
Morgan Stanley & Co. LLC
02 November 2018
AMENDMENT Section 2(a)
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 Barrick Gold Corporation
relates:
Use a separate form for each offeror/offeree
(c) Name of the party to the offer with which exempt principal trader is Barrick Gold Corporation
connected:
(d) Date dealing undertaken: 10 OCTOBER 2018
(e) Has the EPT previously disclosed, or is it today disclosing, under the Yes - Randgold Resources Limited
Code in respect of any other party to this offer?
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 110,799 15.1700 CAD 14.4800 CAD
common SALES 110,799 15.1800 CAD 14.4400 CAD
common PURCHASES 1,897,856 11.6229 USD 11.1600 USD
common SALES 1,916,505 11.6268 USD 11.1434 USD
(b) Cash-settled derivative transactions
Class of relevant security Product description Nature of dealing Number of reference securities Price per unit
e.g. CFD e.g. opening/closing a long/short position, increasing/reducing a long/short
position
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 200 12.0000 A 12/10/2018 0.0300 USD
common CALL PURCHASE 600 12.0000 A 19/10/2018 0.0400 USD
common CALL PURCHASE 500 11.5000 A 12/10/2018 0.0500 USD
common PUT PURCHASE 6,900 11.0000 A 19/10/2018 0.0600 USD
common PUT PURCHASE 100 11.0000 A 19/10/2018 0.0600 USD
common CALL PURCHASE 100 16.0000 A 18/01/2019 0.0600 USD
common PUT PURCHASE 100 11.0000 A 19/10/2018 0.0800 USD
common PUT PURCHASE 300 11.0000 A 19/10/2018 0.0800 USD
common PUT PURCHASE 500 11.0000 A 19/10/2018 0.0800 USD
common CALL PURCHASE 2,200 15.0000 A 18/01/2019 0.0900 USD
common CALL PURCHASE 300 15.0000 A 18/01/2019 0.0900 USD
common CALL PURCHASE 3,700 15.0000 A 18/01/2019 0.0900 USD
common CALL PURCHASE 1,200 15.0000 A 18/01/2019 0.0900 USD
common CALL PURCHASE 1,200 15.0000 A 18/01/2019 0.0900 USD
common CALL PURCHASE 1,100 15.0000 A 18/01/2019 0.1000 USD
common CALL PURCHASE 100 12.0000 A 19/10/2018 0.1000 USD
common CALL PURCHASE 1,700 12.0000 A 19/10/2018 0.1000 USD
common CALL PURCHASE 300 12.0000 A 19/10/2018 0.1100 USD
common CALL PURCHASE 300 15.0000 A 18/01/2019 0.1200 USD
common PUT PURCHASE 4,000 11.5000 A 12/10/2018 0.1400 USD
common PUT PURCHASE 1,800 11.0000 A 26/10/2018 0.1800 USD
common CALL PURCHASE 500 14.0000 A 18/01/2019 0.2000 USD
common CALL PURCHASE 300 12.0000 A 26/10/2018 0.2200 USD
common CALL PURCHASE 2,100 13.0000 A 18/01/2019 0.3100 USD
common CALL PURCHASE 1,200 13.0000 A 18/01/2019 0.3500 USD
common CALL PURCHASE 700 13.0000 A 18/01/2019 0.3600 USD
common CALL PURCHASE 2,500 13.0000 A 18/01/2019 0.3600 USD
common CALL PURCHASE 400 13.0000 A 18/04/2019 0.5200 USD
common CALL PURCHASE 1,100 11.0000 A 16/11/2018 0.6000 USD
common CALL PURCHASE 600 11.0000 A 19/10/2018 0.6100 USD
common CALL PURCHASE 1,900 11.0000 A 19/10/2018 0.6200 USD
common CALL PURCHASE 500 11.0000 A 09/11/2018 0.8100 USD
common PUT PURCHASE 100 12.0000 A 23/11/2018 0.8200 USD
common PUT PURCHASE 1,000 12.0000 A 26/10/2018 0.9200 USD
common CALL PURCHASE 100 11.0000 A 18/01/2019 1.1000 USD
common CALL PURCHASE 100 11.0000 A 18/01/2019 1.1100 USD
common CALL PURCHASE 1,500 10.0000 A 12/10/2018 1.5000 USD
common CALL PURCHASE 3,700 10.0000 A 12/10/2018 1.5000 USD
common CALL PURCHASE 5,200 10.0000 A 12/10/2018 1.5000 USD
common CALL PURCHASE 3,000 10.0000 A 12/10/2018 1.5000 USD
common CALL PURCHASE 1,500 10.0000 A 23/11/2018 1.5400 USD
common CALL PURCHASE 200 10.0000 A 19/10/2018 1.5400 USD
common CALL PURCHASE 100 10.0000 A 19/10/2018 1.5400 USD
common CALL PURCHASE 1,500 10.0000 A 18/01/2019 1.8000 USD
common CALL PURCHASE 2,000 10.0000 A 18/01/2019 1.8000 USD
common CALL PURCHASE 400 12.0000 A 15/01/2021 2.2100 USD
common CALL PURCHASE 100 12.0000 A 15/01/2021 2.2100 USD
common CALL PURCHASE 500 9.0000 A 18/01/2019 2.6000 USD
common PUT SALE 100 10.0000 A 26/10/2018 0.0500 USD
common PUT SALE 600 10.0000 A 26/10/2018 0.0500 USD
common PUT SALE 400 11.0000 A 19/10/2018 0.0800 USD
common PUT SALE 600 11.0000 A 19/10/2018 0.0900 USD
common PUT SALE 6,200 11.0000 A 19/10/2018 0.0900 USD
common PUT SALE 9,900 11.0000 A 19/10/2018 0.0900 USD
common PUT SALE 5,300 11.0000 A 19/10/2018 0.0900 USD
common PUT SALE 2,300 11.0000 A 19/10/2018 0.0900 USD
common PUT SALE 500 11.0000 A 19/10/2018 0.0900 USD
common PUT SALE 1,100 8.0000 A 18/04/2019 0.0900 USD
common PUT SALE 3,000 8.0000 A 18/04/2019 0.0900 USD
common PUT SALE 1,600 8.0000 A 18/04/2019 0.0900 USD
common PUT SALE 1,100 9.0000 A 18/01/2019 0.1000 USD
common PUT SALE 4,800 11.0000 A 19/10/2018 0.1200 USD
common PUT SALE 100 11.0000 A 19/10/2018 0.1200 USD
common PUT SALE 100 10.0000 A 18/01/2019 0.2200 USD
common CALL SALE 1,200 12.0000 A 26/10/2018 0.2600 USD
common CALL SALE 1,100 11.0000 A 12/10/2018 0.3300 USD
common PUT SALE 400 11.0000 A 16/11/2018 0.3700 USD
common PUT SALE 2,000 11.0000 A 16/11/2018 0.4000 USD
common PUT SALE 900 10.0000 A 18/04/2019 0.4800 USD
common PUT SALE 3,000 11.0000 A 18/01/2019 0.6400 USD
common PUT SALE 2,400 11.0000 A 18/01/2019 0.6400 USD
common PUT SALE 1,100 11.0000 A 18/01/2019 0.6400 USD
common CALL SALE 100 11.0000 A 19/10/2018 0.6400 USD
common CALL SALE 200 11.0000 A 19/10/2018 0.6400 USD
common PUT SALE 100 10.0000 A 17/01/2020 0.8500 USD
common CALL SALE 1,000 11.0000 A 18/01/2019 1.1000 USD
common CALL SALE 1,000 10.0000 A 16/11/2018 1.5600 USD
common CALL SALE 1,100 10.0000 A 16/11/2018 1.5600 USD
common CALL SALE 2,100 10.0000 A 16/11/2018 1.5600 USD
common CALL SALE 1,000 10.0000 A 16/11/2018 1.5600 USD
common CALL SALE 1,600 10.0000 A 16/11/2018 1.5600 USD
common CALL SALE 1,100 10.0000 A 16/11/2018 1.5600 USD
common CALL SALE 1,000 10.0000 A 16/11/2018 1.5600 USD
common CALL SALE 100 10.0000 A 18/01/2019 1.7700 USD
common CALL SALE 400 10.0000 A 18/01/2019 1.7700 USD
(ii) Exercise
Class of relevant security Product description e.g. call option Number of securities Exercise price per unit
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
The currency of all prices and other monetary amounts should be stated.
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.
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:
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 OCTOBER 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 and must also be emailed to the Takeover Panel at
monitoring@disclosure.org.uk (mailto:monitoring@disclosure.org.uk) . 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
(http://www.thetakeoverpanel.org.uk) .
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