REG - Morgan Stanley&CoLLC Barrick Gold Corp - Form 8.5 (EPT/RI) - Replacement of Barrick
05/12/2018 14:30
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RNS Number : 5636J
Morgan Stanley & Co. LLC
05 December 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: 03 DECEMBER 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 73,450 17.2500 CAD 16.7800 CAD
common SALES 73,068 17.2400 CAD 16.7700 CAD
common PURCHASES 1,652,670 13.0400 USD 12.7000 USD
common SALES 1,672,988 13.0400 USD 12.7000 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 2,200 11.0000 A 21/12/2018 0.0200 USD
common PUT PURCHASE 2,400 11.0000 A 21/12/2018 0.0200 USD
common PUT PURCHASE 1,000 11.0000 A 21/12/2018 0.0200 USD
common PUT PURCHASE 300 11.0000 A 21/12/2018 0.0200 USD
common PUT PURCHASE 600 11.0000 A 21/12/2018 0.0200 USD
common PUT PURCHASE 1,100 11.0000 A 21/12/2018 0.0200 USD
common PUT PURCHASE 5,600 11.0000 A 21/12/2018 0.0200 USD
common PUT PURCHASE 1,000 11.0000 A 21/12/2018 0.0200 USD
common PUT PURCHASE 2,100 11.0000 A 21/12/2018 0.0200 USD
common PUT PURCHASE 100 11.0000 A 21/12/2018 0.0200 USD
common CALL PURCHASE 2,900 17.0000 A 18/01/2019 0.0300 USD
common CALL PURCHASE 2,400 15.0000 A 18/01/2019 0.0800 USD
common PUT PURCHASE 1,100 12.5000 A 07/12/2018 0.0800 USD
common CALL PURCHASE 1,800 15.0000 A 18/01/2019 0.0900 USD
common CALL PURCHASE 600 15.0000 A 18/01/2019 0.0900 USD
common CALL PURCHASE 5,800 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 3,000 15.0000 A 18/01/2019 0.0900 USD
common CALL PURCHASE 600 15.0000 A 18/01/2019 0.0900 USD
common CALL PURCHASE 100 13.0000 A 07/12/2018 0.1000 USD
common CALL PURCHASE 100 16.0000 A 15/02/2019 0.1100 USD
common CALL PURCHASE 100 13.0000 A 07/12/2018 0.1200 USD
common CALL PURCHASE 100 13.0000 A 07/12/2018 0.1200 USD
common CALL PURCHASE 300 13.0000 A 07/12/2018 0.1800 USD
common CALL PURCHASE 100 13.0000 A 07/12/2018 0.1800 USD
common CALL PURCHASE 300 13.0000 A 07/12/2018 0.1800 USD
common CALL PURCHASE 4,000 13.0000 A 07/12/2018 0.1800 USD
common CALL PURCHASE 200 13.0000 A 07/12/2018 0.1900 USD
common CALL PURCHASE 1,400 13.0000 A 07/12/2018 0.2000 USD
common CALL PURCHASE 100 13.0000 A 14/12/2018 0.2100 USD
common PUT PURCHASE 100 13.0000 A 14/12/2018 0.3300 USD
common PUT PURCHASE 700 13.0000 A 14/12/2018 0.3300 USD
common CALL PURCHASE 100 13.0000 A 21/12/2018 0.3500 USD
common CALL PURCHASE 200 14.0000 A 15/02/2019 0.3600 USD
common CALL PURCHASE 100 14.0000 A 15/02/2019 0.3600 USD
common CALL PURCHASE 2,500 13.0000 A 21/12/2018 0.3800 USD
common CALL PURCHASE 200 15.0000 A 18/04/2019 0.3900 USD
common PUT PURCHASE 500 12.0000 A 15/02/2019 0.3900 USD
common PUT PURCHASE 1,000 11.0000 A 19/07/2019 0.4300 USD
common CALL PURCHASE 2,700 12.5000 A 14/12/2018 0.5000 USD
common CALL PURCHASE 200 14.0000 A 18/04/2019 0.5900 USD
common CALL PURCHASE 16,600 14.0000 A 18/04/2019 0.6000 USD
common CALL PURCHASE 1,800 14.0000 A 18/04/2019 0.6000 USD
common CALL PURCHASE 6,600 14.0000 A 18/04/2019 0.6000 USD
common CALL PURCHASE 700 14.0000 A 18/04/2019 0.6000 USD
common CALL PURCHASE 2,100 14.0000 A 18/04/2019 0.6000 USD
common CALL PURCHASE 100 14.0000 A 18/04/2019 0.6000 USD
common CALL PURCHASE 600 14.0000 A 18/04/2019 0.6000 USD
common CALL PURCHASE 200 13.0000 A 15/02/2019 0.7100 USD
common CALL PURCHASE 6,800 13.0000 A 15/02/2019 0.7100 USD
common CALL PURCHASE 6,800 13.0000 A 15/02/2019 0.7100 USD
common CALL PURCHASE 600 13.0000 A 15/02/2019 0.7100 USD
common PUT PURCHASE 900 12.0000 A 19/07/2019 0.7700 USD
common PUT PURCHASE 100 12.0000 A 19/07/2019 0.7700 USD
common PUT PURCHASE 100 12.0000 A 19/07/2019 0.8600 USD
common CALL PURCHASE 1,000 12.0000 A 18/01/2019 1.1500 USD
common CALL PURCHASE 5,900 10.0000 A 18/01/2019 2.9700 USD
common CALL PURCHASE 4,300 10.0000 A 18/01/2019 2.9800 USD
common CALL PURCHASE 3,000 10.0000 A 18/01/2019 2.9900 USD
common CALL PURCHASE 3,900 10.0000 A 18/01/2019 2.9900 USD
common CALL PURCHASE 5,500 10.0000 A 18/01/2019 2.9900 USD
common CALL PURCHASE 2,800 10.0000 A 18/01/2019 2.9900 USD
common CALL PURCHASE 2,900 10.0000 A 18/01/2019 2.9900 USD
common CALL PURCHASE 2,900 10.0000 A 18/01/2019 2.9900 USD
common CALL PURCHASE 3,300 10.0000 A 18/01/2019 2.9900 USD
common CALL PURCHASE 3,800 10.0000 A 18/01/2019 2.9900 USD
common CALL PURCHASE 2,900 10.0000 A 18/01/2019 2.9900 USD
common CALL PURCHASE 100 5.0000 A 17/01/2020 0.7720 USD
common CALL SALE 100 25.0000 A 18/01/2019 0.0200 USD
common CALL SALE 1,100 13.5000 A 07/12/2018 0.0300 USD
common CALL SALE 3,800 15.0000 A 21/12/2018 0.0300 USD
common CALL SALE 1,200 17.0000 A 18/01/2019 0.0400 USD
common CALL SALE 3,000 17.0000 A 18/01/2019 0.0400 USD
common CALL SALE 600 14.0000 A 21/12/2018 0.0800 USD
common PUT SALE 2,000 12.5000 A 07/12/2018 0.0800 USD
common PUT SALE 1,000 12.5000 A 07/12/2018 0.0800 USD
common CALL SALE 200 13.5000 A 28/12/2018 0.2100 USD
common CALL SALE 400 13.5000 A 28/12/2018 0.2100 USD
common CALL SALE 500 13.5000 A 28/12/2018 0.2100 USD
common CALL SALE 400 13.0000 A 07/12/2018 0.2200 USD
common CALL SALE 1,000 13.0000 A 14/12/2018 0.2300 USD
common PUT SALE 100 13.0000 A 07/12/2018 0.3700 USD
common CALL SALE 300 13.0000 A 18/01/2019 0.4600 USD
common CALL SALE 2,300 13.0000 A 18/01/2019 0.4700 USD
common CALL SALE 1,100 13.0000 A 18/01/2019 0.4700 USD
common PUT SALE 100 10.0000 A 17/01/2020 0.5500 USD
common CALL SALE 900 13.0000 A 18/01/2019 0.5600 USD
common CALL SALE 1,100 13.0000 A 18/01/2019 0.5600 USD
common CALL SALE 1,100 13.0000 A 18/01/2019 0.5600 USD
common PUT SALE 4,100 13.0000 A 18/01/2019 0.5600 USD
common PUT SALE 3,000 13.0000 A 18/01/2019 0.5600 USD
common PUT SALE 600 13.0000 A 18/01/2019 0.5600 USD
common PUT SALE 9,900 13.0000 A 18/01/2019 0.5600 USD
common PUT SALE 100 13.0000 A 18/01/2019 0.5600 USD
common PUT SALE 300 13.0000 A 18/01/2019 0.5600 USD
common PUT SALE 10,900 13.0000 A 18/01/2019 0.5600 USD
common CALL SALE 1,100 13.0000 A 18/01/2019 0.5700 USD
common CALL SALE 1,100 13.0000 A 18/01/2019 0.5700 USD
common CALL SALE 300 14.0000 A 18/04/2019 0.6000 USD
common CALL SALE 600 14.0000 A 18/04/2019 0.6000 USD
common CALL SALE 200 14.0000 A 18/04/2019 0.6300 USD
common CALL SALE 600 14.0000 A 18/04/2019 0.6300 USD
common CALL SALE 1,400 14.0000 A 18/04/2019 0.6300 USD
common PUT SALE 900 13.0000 A 18/04/2019 0.9800 USD
common PUT SALE 100 13.0000 A 18/04/2019 0.9800 USD
common PUT SALE 6,800 14.0000 A 18/01/2019 1.3500 USD
common PUT SALE 3,000 14.0000 A 18/01/2019 1.3500 USD
common PUT SALE 6,200 14.0000 A 18/01/2019 1.3500 USD
common PUT SALE 1,000 13.0000 A 17/01/2020 1.7800 USD
common CALL SALE 200 13.0000 A 17/01/2020 1.9000 USD
common CALL SALE 2,500 11.0000 A 18/01/2019 1.9700 USD
common CALL SALE 1,000 11.0000 A 21/12/2018 1.9800 USD
common CALL SALE 900 11.0000 A 21/12/2018 1.9800 USD
common CALL SALE 5,900 10.0000 A 15/01/2021 4.2300 USD
common CALL SALE 4,300 10.0000 A 15/01/2021 4.2400 USD
common CALL SALE 2,900 10.0000 A 15/01/2021 4.2600 USD
common CALL SALE 2,900 10.0000 A 15/01/2021 4.2600 USD
common CALL SALE 3,300 10.0000 A 15/01/2021 4.2600 USD
common CALL SALE 5,500 10.0000 A 15/01/2021 4.2600 USD
common CALL SALE 2,900 10.0000 A 15/01/2021 4.2600 USD
common CALL SALE 3,800 10.0000 A 15/01/2021 4.2600 USD
common CALL SALE 2,800 10.0000 A 15/01/2021 4.2600 USD
common CALL SALE 3,000 10.0000 A 15/01/2021 4.2600 USD
common CALL SALE 3,900 10.0000 A 15/01/2021 4.2600 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: 05 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 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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