REG - Morgan Stanley&CoLLC Barrick Gold Corp - Form 8.5 (EPT/RI) - Replacement of Barrick Gold
27/12/2018 07:05
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RNS Number : 4868L
Morgan Stanley & Co. LLC
27 December 2018
AMENDMENT Section (2a & 2cii)
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: 21 DECEMBER 2018
(e) In addition to the company in 1(b) above, is the exempt principal trader Yes - Randgold Resources Limited
making disclosures in respect of any other party to this offer?
If it is a cash offer or possible cash offer, state "N/A"
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 Purchases/ Total number Highest price Lowest price
relevant sales of securities per unit paid/received per unit paid/received
security
common PURCHASES 549,386 18.1900 CAD 17.7800 CAD
common SALES 531,571 18.1900 CAD 17.7300 CAD
common PURCHASES 3,322,995 13.0700 USD 13.4200 USD
common SALES 3,154,428 13.0700 USD 13.4200 USD
(b) Cash-settled derivative transactions
Class of Product description Nature of dealing Number of reference securities Price per
relevant e.g. CFD e.g. opening/closing a long/short position, increasing/reducing a long/short unit
position
security
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 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
relevant security
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 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 1,900 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 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 1,000 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 100 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 2,400 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 500 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 800 12.0000 A 18/04/2019 1.7700 USD
common CALL SALE 700 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 Product description Exercising/ Number of securities Exercise price
relevant e.g. call option exercised per unit
security against
common CALL Exercising 12,300 11.0000 USD
common CALL Exercising 3,000 12.0000 USD
common CALL Exercising Against 7,100 12.5000 USD
common CALL Exercising Against 39,200 13.0000 USD
common PUT Exercising Against 15,100 13.5000 USD
common PUT Exercising 34,600 14.0000 USD
common PUT Exercising 500 14.5000 USD
common PUT Exercising Against 4,000 15.0000 USD
common PUT Exercising Against 1,100 16.0000 USD
(d) Other dealings (including subscribing for new securities)
Class of relevant security Nature of dealing Details Price per unit (if applicable)
e.g. subscription, conversion
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: 27 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
(http://www.thetakeoverpanel.org.uk) .
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