REG - Morgan Stanley&CoLLC Barrick Gold Corp - Form 8.5 (EPT/RI) - Replacement of BARRICK
30/10/2018 14:40
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RNS Number : 7536F
Morgan Stanley & Co. LLC
30 October 2018
AMENDMENT Section (2a)
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: 26 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 75,358 17.3900 CAD 16.6000 CAD
common SALES 60,408 17.3000 CAD 16.6000 CAD
common PURCHASES 3,638,394 13.5000 USD 12.0000 USD
common SALES 3,136,969 14.0000 USD 10.0000 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 3,600 13.5000 A 26/10/2018 0.0100 USD
common PUT PURCHASE 200 13.0000 A 26/10/2018 0.0300 USD
common CALL PURCHASE 16,100 14.0000 A 02/11/2018 0.0400 USD
common CALL PURCHASE 400 14.0000 A 02/11/2018 0.0400 USD
common CALL PURCHASE 200 14.0000 A 02/11/2018 0.0400 USD
common CALL PURCHASE 1,100 14.0000 A 02/11/2018 0.0400 USD
common PUT PURCHASE 800 12.5000 A 02/11/2018 0.0800 USD
common PUT PURCHASE 2,000 12.5000 A 02/11/2018 0.0800 USD
common CALL PURCHASE 600 13.0000 A 26/10/2018 0.0900 USD
common CALL PURCHASE 1,500 13.0000 A 26/10/2018 0.0900 USD
common CALL PURCHASE 1,700 13.0000 A 26/10/2018 0.0900 USD
common CALL PURCHASE 3,000 13.0000 A 26/10/2018 0.0900 USD
common CALL PURCHASE 1,900 13.0000 A 26/10/2018 0.0900 USD
common CALL PURCHASE 1,100 13.0000 A 26/10/2018 0.0900 USD
common CALL PURCHASE 5,000 13.0000 A 26/10/2018 0.0900 USD
common CALL PURCHASE 3,200 13.0000 A 26/10/2018 0.0900 USD
common CALL PURCHASE 21,500 13.0000 A 26/10/2018 0.0900 USD
common CALL PURCHASE 100 13.0000 A 26/10/2018 0.0900 USD
common CALL PURCHASE 14,400 13.0000 A 26/10/2018 0.0900 USD
common CALL PURCHASE 15,000 13.0000 A 26/10/2018 0.0900 USD
common CALL PURCHASE 900 13.0000 A 26/10/2018 0.0900 USD
common CALL PURCHASE 300 13.0000 A 26/10/2018 0.0900 USD
common CALL PURCHASE 100 16.0000 A 21/12/2018 0.1000 USD
common CALL PURCHASE 100 13.5000 A 02/11/2018 0.1000 USD
common PUT PURCHASE 2,000 12.0000 A 09/11/2018 0.1200 USD
common PUT PURCHASE 100 12.0000 A 09/11/2018 0.1200 USD
common PUT PURCHASE 1,900 12.0000 A 16/11/2018 0.1200 USD
common CALL PURCHASE 100 16.0000 A 18/01/2019 0.1500 USD
common CALL PURCHASE 1,500 15.0000 A 21/12/2018 0.1900 USD
common CALL PURCHASE 100 13.0000 A 02/11/2018 0.2100 USD
common CALL PURCHASE 200 13.0000 A 02/11/2018 0.2100 USD
common CALL PURCHASE 2,000 13.0000 A 02/11/2018 0.2300 USD
common CALL PURCHASE 700 13.5000 A 16/11/2018 0.2300 USD
common PUT PURCHASE 200 12.5000 A 16/11/2018 0.2300 USD
common PUT PURCHASE 2,000 13.0000 A 02/11/2018 0.2400 USD
common PUT PURCHASE 2,200 13.0000 A 02/11/2018 0.2500 USD
common PUT PURCHASE 2,200 13.0000 A 02/11/2018 0.3200 USD
common CALL PURCHASE 500 13.0000 A 02/11/2018 0.3300 USD
common CALL PURCHASE 900 13.0000 A 16/11/2018 0.3800 USD
common PUT PURCHASE 200 13.0000 A 16/11/2018 0.4100 USD
common CALL PURCHASE 4,000 13.0000 A 02/11/2018 0.4300 USD
common PUT PURCHASE 1,300 13.0000 A 09/11/2018 0.4400 USD
common PUT PURCHASE 1,100 13.0000 A 09/11/2018 0.4400 USD
common CALL PURCHASE 200 14.0000 A 18/01/2019 0.5300 USD
common CALL PURCHASE 100 14.0000 A 18/01/2019 0.5300 USD
common CALL PURCHASE 400 15.0000 A 18/04/2019 0.5600 USD
common CALL PURCHASE 100 13.0000 A 21/12/2018 0.8100 USD
common PUT PURCHASE 3,000 13.0000 A 18/01/2019 0.8200 USD
common PUT PURCHASE 500 13.0000 A 18/01/2019 0.8400 USD
common PUT PURCHASE 500 13.0000 A 21/12/2018 0.8600 USD
common PUT PURCHASE 200 10.0000 A 15/01/2021 0.8900 USD
common PUT PURCHASE 100 13.0000 A 18/01/2019 0.9200 USD
common PUT PURCHASE 100 13.0000 A 18/01/2019 0.9400 USD
common CALL PURCHASE 4,000 13.0000 A 18/01/2019 1.0100 USD
common PUT PURCHASE 400 14.0000 A 16/11/2018 1.1600 USD
common CALL PURCHASE 100 13.0000 A 18/04/2019 1.2100 USD
common CALL PURCHASE 2,200 12.0000 A 09/11/2018 1.2800 USD
common PUT PURCHASE 2,000 14.0000 A 16/11/2018 1.2900 USD
common PUT PURCHASE 2,000 14.0000 A 16/11/2018 1.2900 USD
common CALL PURCHASE 200 12.0000 A 18/01/2019 1.5500 USD
common PUT PURCHASE 100 14.0000 A 18/04/2019 1.7400 USD
common CALL PURCHASE 300 10.0000 A 18/04/2019 3.2500 USD
common CALL PURCHASE 200 10.0000 A 18/04/2019 3.2500 USD
common CALL PURCHASE 100 10.0000 A 17/01/2020 3.6700 USD
common CALL SALE 1,900 20.0000 A 18/01/2019 0.0400 USD
common CALL SALE 500 20.0000 A 18/01/2019 0.0400 USD
common CALL SALE 1,000 20.0000 A 18/01/2019 0.0400 USD
common CALL SALE 1,900 20.0000 A 18/01/2019 0.0400 USD
common CALL SALE 500 20.0000 A 18/01/2019 0.0400 USD
common CALL SALE 2,100 20.0000 A 18/01/2019 0.0400 USD
common PUT SALE 1,000 13.0000 A 26/10/2018 0.0400 USD
common CALL SALE 500 15.0000 A 09/11/2018 0.0400 USD
common CALL SALE 1,700 16.0000 A 30/11/2018 0.0500 USD
common CALL SALE 1,800 16.0000 A 30/11/2018 0.0500 USD
common CALL SALE 1,200 20.0000 A 18/01/2019 0.0500 USD
common CALL SALE 1,000 15.0000 A 16/11/2018 0.0600 USD
common CALL SALE 13,700 15.0000 A 16/11/2018 0.0600 USD
common CALL SALE 100 17.0000 A 21/12/2018 0.0600 USD
common PUT SALE 500 10.0000 A 18/01/2019 0.0800 USD
common PUT SALE 100 10.0000 A 18/01/2019 0.0800 USD
common CALL SALE 200 13.5000 A 02/11/2018 0.0900 USD
common PUT SALE 1,000 12.0000 A 09/11/2018 0.1100 USD
common PUT SALE 1,000 12.0000 A 09/11/2018 0.1100 USD
common PUT SALE 100 13.0000 A 26/10/2018 0.1100 USD
common PUT SALE 100 11.0000 A 21/12/2018 0.1300 USD
common PUT SALE 100 11.0000 A 21/12/2018 0.1300 USD
common PUT SALE 500 12.5000 A 02/11/2018 0.1300 USD
common PUT SALE 100 12.5000 A 02/11/2018 0.1300 USD
common CALL SALE 2,000 13.0000 A 26/10/2018 0.1400 USD
common PUT SALE 300 12.0000 A 16/11/2018 0.1600 USD
common PUT SALE 2,700 12.0000 A 16/11/2018 0.1600 USD
common PUT SALE 100 12.0000 A 16/11/2018 0.1700 USD
common PUT SALE 400 13.0000 A 26/10/2018 0.1700 USD
common PUT SALE 1,100 13.0000 A 26/10/2018 0.1700 USD
common PUT SALE 1,300 13.0000 A 26/10/2018 0.1800 USD
common PUT SALE 300 11.0000 A 18/01/2019 0.1800 USD
common PUT SALE 600 11.0000 A 18/01/2019 0.1900 USD
common PUT SALE 200 12.0000 A 16/11/2018 0.2000 USD
common PUT SALE 1,800 12.0000 A 16/11/2018 0.2100 USD
common CALL SALE 100 15.0000 A 21/12/2018 0.2400 USD
common CALL SALE 1,000 13.0000 A 02/11/2018 0.2500 USD
common CALL SALE 100 14.0000 A 30/11/2018 0.2500 USD
common CALL SALE 100 15.0000 A 18/01/2019 0.2900 USD
common CALL SALE 200 13.5000 A 16/11/2018 0.3000 USD
common PUT SALE 600 12.5000 A 16/11/2018 0.3300 USD
common PUT SALE 1,400 12.5000 A 16/11/2018 0.3300 USD
common CALL SALE 300 13.5000 A 16/11/2018 0.3700 USD
common PUT SALE 1,600 12.0000 A 21/12/2018 0.4000 USD
common PUT SALE 100 12.0000 A 21/12/2018 0.4000 USD
common PUT SALE 500 13.0000 A 09/11/2018 0.4400 USD
common CALL SALE 400 13.0000 A 16/11/2018 0.4800 USD
common PUT SALE 4,600 12.0000 A 18/01/2019 0.4800 USD
common PUT SALE 600 12.0000 A 18/01/2019 0.4800 USD
common PUT SALE 1,900 12.0000 A 18/01/2019 0.4800 USD
common CALL SALE 200 13.0000 A 09/11/2018 0.5300 USD
common CALL SALE 1,000 14.0000 A 18/01/2019 0.5800 USD
common CALL SALE 500 14.0000 A 18/01/2019 0.6000 USD
common CALL SALE 100 14.0000 A 18/01/2019 0.6000 USD
common CALL SALE 100 13.0000 A 07/12/2018 0.6000 USD
common CALL SALE 100 13.0000 A 07/12/2018 0.6000 USD
common PUT SALE 800 12.0000 A 18/04/2019 0.6800 USD
common CALL SALE 300 13.0000 A 18/01/2019 0.8100 USD
common CALL SALE 200 13.0000 A 18/01/2019 0.8700 USD
common PUT SALE 400 13.0000 A 18/01/2019 0.8800 USD
common PUT SALE 100 13.0000 A 18/01/2019 0.9400 USD
common CALL SALE 2,000 17.0000 A 17/01/2020 0.9700 USD
common CALL SALE 1,000 17.0000 A 17/01/2020 1.0000 USD
common CALL SALE 1,200 12.0000 A 02/11/2018 1.0100 USD
common CALL SALE 1,300 12.0000 A 02/11/2018 1.0100 USD
common CALL SALE 700 12.0000 A 16/11/2018 1.0300 USD
common CALL SALE 300 14.0000 A 18/04/2019 1.0500 USD
common PUT SALE 100 14.0000 A 21/12/2018 1.2300 USD
common CALL SALE 100 12.0000 A 21/12/2018 1.2700 USD
common CALL SALE 2,200 12.0000 A 30/11/2018 1.4100 USD
common CALL SALE 700 12.0000 A 18/01/2019 1.4500 USD
common CALL SALE 100 12.0000 A 18/04/2019 1.8000 USD
common PUT SALE 32,800 13.0000 A 17/01/2020 1.8400 USD
common CALL SALE 1,000 13.0000 A 17/01/2020 2.0300 USD
common PUT SALE 100 16.0000 A 18/01/2019 2.9700 USD
(ii) Exercise
Class of relevant security Product description e.g. call option Number of securities Exercise price per unit
common CALL 48,900 12.0000 USD
common PUT 200 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: 30 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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