REG - Morgan Stanley&CoLLC Barrick Gold Corp - Form 8.5 (EPT/RI) - Replacement of BARRICK
27/11/2018 14:15
For best results when printing this announcement, please click on link below:
http://pdf.reuters.com/htmlnews/htmlnews.asp?i=43059c3bf0e37541&u=urn:newsml:reuters.com:20181126:nRSZ6588Ia
RNS Number : 6588I
Morgan Stanley & Co. LLC
27 November 2018
AMENDMENT Section 2(a) & 2c(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: 23 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 4,947 17.8100 CAD 17.2600 CAD
common SALES 4,947 17.7500 CAD 17.2650 CAD
common PURCHASES 957,167 13.4500 USD 13.0250 USD
common SALES 964,518 13.4500 USD 13.0200 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 10,000 16.0000 A 21/12/2018 0.0300 USD
common PUT PURCHASE 1,700 11.0000 A 21/12/2018 0.0300 USD
common PUT PURCHASE 5,200 11.0000 A 21/12/2018 0.0300 USD
common PUT PURCHASE 100 11.0000 A 21/12/2018 0.0300 USD
common PUT PURCHASE 1,100 11.0000 A 21/12/2018 0.0300 USD
common PUT PURCHASE 800 13.0000 A 30/11/2018 0.1500 USD
common PUT PURCHASE 100 13.0000 A 30/11/2018 0.1500 USD
common PUT PURCHASE 100 12.5000 A 14/12/2018 0.1600 USD
common PUT PURCHASE 400 13.0000 A 30/11/2018 0.1900 USD
common CALL PURCHASE 1,100 13.5000 A 07/12/2018 0.2300 USD
common CALL PURCHASE 100 13.5000 A 21/12/2018 0.3600 USD
common PUT PURCHASE 100 13.0000 A 21/12/2018 0.3900 USD
common PUT PURCHASE 1,000 13.5000 A 30/11/2018 0.4100 USD
common PUT PURCHASE 600 13.5000 A 30/11/2018 0.4500 USD
common PUT PURCHASE 1,300 13.5000 A 30/11/2018 0.5000 USD
common CALL PURCHASE 1,100 15.0000 A 18/04/2019 0.5500 USD
common CALL PURCHASE 100 13.0000 A 18/01/2019 0.7000 USD
common CALL PURCHASE 3,700 13.0000 A 18/01/2019 0.7100 USD
common PUT PURCHASE 5,500 12.0000 A 19/07/2019 0.7400 USD
common PUT PURCHASE 100 12.0000 A 19/07/2019 0.7400 USD
common CALL PURCHASE 100 13.0000 A 18/01/2019 0.7500 USD
common CALL PURCHASE 5,300 13.0000 A 18/01/2019 0.7600 USD
common CALL PURCHASE 1,500 13.0000 A 18/01/2019 0.7600 USD
common CALL PURCHASE 4,800 13.0000 A 18/01/2019 0.7600 USD
common CALL PURCHASE 600 13.0000 A 18/01/2019 0.7600 USD
common CALL PURCHASE 200 13.0000 A 18/01/2019 0.7600 USD
common CALL PURCHASE 3,000 13.0000 A 18/01/2019 0.7600 USD
common CALL PURCHASE 600 13.0000 A 18/01/2019 0.8500 USD
common CALL PURCHASE 9,700 13.0000 A 18/01/2019 0.8500 USD
common CALL PURCHASE 2,600 13.0000 A 18/01/2019 0.8500 USD
common CALL PURCHASE 1,000 13.0000 A 18/01/2019 0.8500 USD
common CALL PURCHASE 1,000 13.0000 A 18/01/2019 0.8500 USD
common CALL PURCHASE 3,000 13.0000 A 18/01/2019 0.8500 USD
common CALL PURCHASE 100 13.0000 A 18/01/2019 0.8500 USD
common CALL PURCHASE 200 13.0000 A 18/01/2019 0.8500 USD
common CALL PURCHASE 9,800 13.0000 A 18/01/2019 0.8500 USD
common CALL PURCHASE 1,100 13.0000 A 18/01/2019 0.8500 USD
common CALL PURCHASE 1,500 13.0000 A 18/01/2019 0.8500 USD
common CALL PURCHASE 1,500 13.0000 A 18/01/2019 0.8500 USD
common PUT SALE 100 13.0000 A 23/11/2018 0.0100 USD
common CALL SALE 1,700 21.0000 A 18/04/2019 0.0700 USD
common CALL SALE 1,500 21.0000 A 18/04/2019 0.0700 USD
common CALL SALE 3,000 21.0000 A 18/04/2019 0.0700 USD
common CALL SALE 2,100 21.0000 A 18/04/2019 0.0700 USD
common PUT SALE 1,000 9.0000 A 18/04/2019 0.0700 USD
common CALL SALE 100 14.5000 A 21/12/2018 0.1400 USD
common PUT SALE 600 12.5000 A 14/12/2018 0.1800 USD
common PUT SALE 100 12.5000 A 14/12/2018 0.1800 USD
common CALL SALE 1,000 13.0000 A 23/11/2018 0.2700 USD
common CALL SALE 500 16.0000 A 18/04/2019 0.3200 USD
common CALL SALE 100 14.0000 A 18/01/2019 0.3600 USD
common CALL SALE 200 14.0000 A 18/01/2019 0.3600 USD
common PUT SALE 300 13.0000 A 18/01/2019 0.5300 USD
common PUT SALE 200 13.0000 A 18/01/2019 0.5300 USD
common PUT SALE 100 13.0000 A 18/01/2019 0.5400 USD
common PUT SALE 5,500 13.0000 A 18/01/2019 0.5400 USD
common PUT SALE 200 13.5000 A 21/12/2018 0.6500 USD
common PUT SALE 3,000 13.0000 A 15/02/2019 0.7500 USD
common PUT SALE 100 13.0000 A 15/02/2019 0.7500 USD
common PUT SALE 600 13.0000 A 15/02/2019 0.7500 USD
common PUT SALE 1,500 13.0000 A 15/02/2019 0.7500 USD
common PUT SALE 4,500 13.0000 A 15/02/2019 0.7500 USD
common PUT SALE 4,400 13.0000 A 15/02/2019 0.7500 USD
common CALL SALE 500 12.0000 A 18/01/2019 1.3000 USD
common CALL SALE 1,900 12.0000 A 18/04/2019 1.7400 USD
common CALL SALE 500 12.0000 A 18/04/2019 1.7600 USD
common CALL SALE 400 15.0000 A 15/01/2021 2.1100 USD
(ii) Exercise
Class of relevant security Product description e.g. call option Number of securities Exercise price per unit
common CALL 1,700 12.0000 USD
common CALL 18,500 13.0000 USD
common CALL 2,000 12.5000 USD
common PUT 3,800 14.0000 USD
common PUT 1,100 13.5000 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: 27 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) .
This information is provided by RNS, the news service of the London Stock Exchange. RNS is approved by the Financial Conduct Authority to act as a Primary Information Provider in the United Kingdom. Terms and conditions relating to the use and distribution of this information may apply. For further information, please contact
rns@lseg.com (mailto:rns@lseg.com)
or visit
www.rns.com (http://www.rns.com/)
.
Recent news on Barrick Mining
See all newsREG - Stock Exch Notice - Admission to ISM - 06/02/2024
AnnouncementRCS - Draslovka a.s. - Draslovka forms Advisory Board
AnnouncementRCS - Draslovka a.s. - Draslovka and Barrick Gold agreement
AnnouncementREG - Scot.Inv.Trust PLC - Half-year Report
AnnouncementREG - Investment Co PLC - Net Asset Value(s)
Announcement