REG - Morgan Stanley&CoLLC Barrick Gold Corp - Form 8.5 (EPT/RI) - Replacement of Barrick Gold
13/11/2018 15:45
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RNS Number : 2372H
Morgan Stanley & Co. LLC
13 November 2018
AMENDMENT Section 2(a) & 2(c)(ii)
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: 09 NOVEMBER 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 67,904 17.1200 CAD 16.8000 CAD
common SALES 66,416 17.1200 CAD 16.7400 CAD
common PURCHASES 1,298,571 12.9700 USD 12.6800 USD
common SALES 1,274,876 12.9700 USD 12.6800 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 PUT PURCHASE 100 12.0000 A 16/11/2018 0.0200 USD
common PUT PURCHASE 1,400 12.0000 A 16/11/2018 0.0200 USD
common PUT PURCHASE 2,500 11.0000 A 21/12/2018 0.0500 USD
common CALL PURCHASE 900 15.0000 A 21/12/2018 0.0600 USD
common CALL PURCHASE 1,000 13.0000 A 16/11/2018 0.1400 USD
common PUT PURCHASE 700 12.5000 A 16/11/2018 0.1500 USD
common PUT PURCHASE 100 12.5000 A 16/11/2018 0.1500 USD
common CALL PURCHASE 1,000 15.0000 A 18/01/2019 0.1600 USD
common CALL PURCHASE 1,000 15.0000 A 18/01/2019 0.1600 USD
common CALL PURCHASE 100 13.0000 A 16/11/2018 0.1900 USD
common PUT PURCHASE 300 13.0000 A 09/11/2018 0.2600 USD
common CALL PURCHASE 1,000 14.0000 A 18/01/2019 0.3100 USD
common CALL PURCHASE 100 15.0000 A 18/04/2019 0.4400 USD
common CALL PURCHASE 100 13.0000 A 21/12/2018 0.4800 USD
common CALL PURCHASE 4,000 13.0000 A 21/12/2018 0.5400 USD
common PUT PURCHASE 14,700 13.0000 A 21/12/2018 0.6200 USD
common CALL PURCHASE 1,500 14.0000 A 18/04/2019 0.6900 USD
common CALL PURCHASE 3,900 14.0000 A 18/04/2019 0.6900 USD
common CALL PURCHASE 100 14.0000 A 18/04/2019 0.6900 USD
common CALL PURCHASE 1,300 14.0000 A 18/04/2019 0.6900 USD
common CALL PURCHASE 600 14.0000 A 18/04/2019 0.6900 USD
common CALL PURCHASE 3,000 14.0000 A 18/04/2019 0.6900 USD
common PUT PURCHASE 300 13.0000 A 18/01/2019 0.8100 USD
common PUT PURCHASE 200 13.0000 A 18/01/2019 0.8100 USD
common CALL PURCHASE 500 13.0000 A 18/04/2019 1.0400 USD
common CALL PURCHASE 1,000 12.0000 A 21/12/2018 1.0600 USD
common CALL PURCHASE 1,000 12.0000 A 21/12/2018 1.0600 USD
common CALL PURCHASE 100 12.0000 A 18/01/2019 1.1700 USD
common PUT PURCHASE 100 13.0000 A 18/04/2019 1.1900 USD
common CALL PURCHASE 100 11.0000 A 16/11/2018 1.8300 USD
common CALL PURCHASE 200 11.0000 A 16/11/2018 1.8300 USD
common CALL PURCHASE 800 13.0000 A 17/01/2020 1.9500 USD
common CALL PURCHASE 100 10.0000 A 18/04/2019 2.9700 USD
common CALL PURCHASE 900 10.0000 A 17/01/2020 3.5700 USD
common CALL PURCHASE 100 10.0000 A 17/01/2020 3.5700 USD
common CALL PURCHASE 100 9.0000 A 18/01/2019 3.9300 USD
common CALL SALE 5,000 13.0000 A 09/11/2018 0.0200 USD
common CALL SALE 2,000 13.0000 A 09/11/2018 0.0300 USD
common CALL SALE 600 13.0000 A 09/11/2018 0.0300 USD
common CALL SALE 1,400 13.0000 A 09/11/2018 0.0300 USD
common CALL SALE 1,800 15.0000 A 30/11/2018 0.0300 USD
common CALL SALE 200 13.0000 A 09/11/2018 0.0400 USD
common CALL SALE 200 14.0000 A 23/11/2018 0.0500 USD
common CALL SALE 1,200 14.0000 A 23/11/2018 0.0500 USD
common PUT SALE 2,700 12.0000 A 16/11/2018 0.0500 USD
common CALL SALE 400 13.5000 A 16/11/2018 0.0500 USD
common CALL SALE 100 16.0000 A 18/01/2019 0.1000 USD
common CALL SALE 2,100 16.0000 A 18/01/2019 0.1000 USD
common CALL SALE 700 16.0000 A 18/01/2019 0.1000 USD
common CALL SALE 400 13.0000 A 16/11/2018 0.1400 USD
common CALL SALE 800 13.0000 A 16/11/2018 0.1600 USD
common CALL SALE 100 13.0000 A 16/11/2018 0.1600 USD
common CALL SALE 2,800 15.0000 A 18/01/2019 0.1600 USD
common CALL SALE 2,700 15.0000 A 18/01/2019 0.1600 USD
common CALL SALE 2,000 13.0000 A 16/11/2018 0.1800 USD
common CALL SALE 1,200 13.0000 A 16/11/2018 0.1800 USD
common CALL SALE 900 14.0000 A 21/12/2018 0.1800 USD
common CALL SALE 400 13.0000 A 23/11/2018 0.2100 USD
common PUT SALE 300 12.0000 A 21/12/2018 0.2300 USD
common CALL SALE 100 14.0000 A 18/01/2019 0.3300 USD
common PUT SALE 300 13.0000 A 16/11/2018 0.3600 USD
common PUT SALE 200 11.0000 A 18/04/2019 0.3700 USD
common PUT SALE 1,100 13.0000 A 16/11/2018 0.4200 USD
common PUT SALE 100 13.0000 A 16/11/2018 0.4300 USD
common CALL SALE 900 13.0000 A 28/12/2018 0.5600 USD
common CALL SALE 1,000 12.0000 A 16/11/2018 0.7800 USD
common PUT SALE 200 13.0000 A 18/01/2019 0.8200 USD
common CALL SALE 100 13.0000 A 18/04/2019 1.1000 USD
common CALL SALE 100 13.0000 A 18/04/2019 1.1000 USD
common CALL SALE 100 12.0000 A 21/12/2018 1.1800 USD
common CALL SALE 900 15.0000 A 17/01/2020 1.2700 USD
common CALL SALE 100 15.0000 A 17/01/2020 1.2700 USD
common CALL SALE 100 15.0000 A 17/01/2020 1.3500 USD
common CALL SALE 100 12.0000 A 18/04/2019 1.5100 USD
common CALL SALE 200 10.0000 A 18/04/2019 3.0300 USD
common CALL SALE 400 10.0000 A 18/04/2019 3.0300 USD
common CALL SALE 100 10.0000 A 15/01/2021 4.1600 USD
(ii) Exercise
Class of relevant security Product description e.g. call option Number of securities Exercise price per unit
common CALL 1,500 9.0000 USD
common CALL 1,100 10.0000 USD
common CALL 1,700 11.0000 USD
common CALL 2,500 12.0000 USD
common PUT 36.200 13.0000 USD
common PUT 100 14.0000 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
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: 13 NOVEMBER 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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