REG - Morgan Stanley&CoLLC Barrick Gold Corp - Form 8.5 (EPT/RI) - Replacement of Barrick
21/12/2018 15:50
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RNS Number : 3380L
Morgan Stanley & Co. LLC
21 December 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: 14 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 153,287 18.6200 CAD 18.2500 CAD
common SALES 162,665 18.7500 CAD 18.2400 CAD
common PURCHASES 1,547,095 14.0200 USD 13.6200 USD
common SALES 1,556,041 14.0200 USD 13.6300 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 300 15.0000 A 04/01/2019 0.0800 USD
common CALL PURCHASE 200 16.0000 A 18/01/2019 0.1200 USD
common CALL PURCHASE 300 16.0000 A 18/01/2019 0.1200 USD
common CALL PURCHASE 100 16.0000 A 18/01/2019 0.1200 USD
common PUT PURCHASE 500 13.5000 A 28/12/2018 0.1600 USD
common PUT PURCHASE 500 13.5000 A 28/12/2018 0.1600 USD
common PUT PURCHASE 1,000 13.5000 A 21/12/2018 0.1900 USD
common CALL PURCHASE 500 14.0000 A 21/12/2018 0.1900 USD
common CALL PURCHASE 1,200 14.0000 A 21/12/2018 0.1900 USD
common CALL PURCHASE 500 14.0000 A 21/12/2018 0.1900 USD
common CALL PURCHASE 1,200 14.0000 A 21/12/2018 0.1900 USD
common CALL PURCHASE 5,000 14.0000 A 21/12/2018 0.2000 USD
common PUT PURCHASE 100 14.0000 A 14/12/2018 0.2300 USD
common PUT PURCHASE 100 14.0000 A 14/12/2018 0.2300 USD
common PUT PURCHASE 2,000 13.0000 A 18/01/2019 0.2700 USD
common CALL PURCHASE 600 13.5000 A 14/12/2018 0.3400 USD
common CALL PURCHASE 400 14.0000 A 04/01/2019 0.3600 USD
common CALL PURCHASE 600 15.0000 A 15/02/2019 0.3700 USD
common CALL PURCHASE 400 13.5000 A 28/12/2018 0.5400 USD
common CALL PURCHASE 300 13.5000 A 28/12/2018 0.5400 USD
common PUT PURCHASE 2,000 12.0000 A 19/07/2019 0.5900 USD
common PUT PURCHASE 1,000 12.0000 A 19/07/2019 0.5900 USD
common PUT PURCHASE 400 14.5000 A 14/12/2018 0.6500 USD
common CALL PURCHASE 500 15.0000 A 18/04/2019 0.6600 USD
common CALL PURCHASE 600 16.0000 A 19/07/2019 0.7000 USD
common PUT PURCHASE 500 14.0000 A 18/01/2019 0.7700 USD
common PUT PURCHASE 500 14.0000 A 18/01/2019 0.7700 USD
common CALL PURCHASE 800 13.0000 A 21/12/2018 0.9500 USD
common CALL PURCHASE 1,200 13.0000 A 21/12/2018 0.9500 USD
common CALL PURCHASE 800 14.0000 A 18/04/2019 1.0000 USD
common PUT PURCHASE 1,000 15.0000 A 18/01/2019 1.2800 USD
common PUT PURCHASE 1,000 15.0000 A 18/01/2019 1.2800 USD
common PUT PURCHASE 300 15.0000 A 15/02/2019 1.4400 USD
common PUT PURCHASE 100 15.0000 A 15/02/2019 1.4400 USD
common CALL PURCHASE 400 12.0000 A 18/04/2019 2.2100 USD
common PUT SALE 100 13.0000 A 21/12/2018 0.0600 USD
common CALL SALE 600 14.5000 A 21/12/2018 0.1000 USD
common CALL SALE 300 14.5000 A 21/12/2018 0.1000 USD
common PUT SALE 1,500 13.5000 A 21/12/2018 0.1300 USD
common PUT SALE 19,900 13.5000 A 21/12/2018 0.1300 USD
common PUT SALE 600 13.5000 A 21/12/2018 0.1300 USD
common PUT SALE 200 13.5000 A 21/12/2018 0.1300 USD
common PUT SALE 17,200 13.5000 A 21/12/2018 0.1300 USD
common PUT SALE 3,000 13.5000 A 21/12/2018 0.1300 USD
common CALL SALE 500 14.0000 A 21/12/2018 0.1600 USD
common CALL SALE 300 14.0000 A 21/12/2018 0.1600 USD
common CALL SALE 100 14.0000 A 21/12/2018 0.1600 USD
common CALL SALE 300 14.0000 A 28/12/2018 0.2400 USD
common CALL SALE 200 14.0000 A 28/12/2018 0.2400 USD
common PUT SALE 600 13.0000 A 18/01/2019 0.2500 USD
common PUT SALE 1,500 13.0000 A 18/01/2019 0.2500 USD
common PUT SALE 15,800 13.0000 A 18/01/2019 0.2500 USD
common PUT SALE 5,300 13.0000 A 18/01/2019 0.2500 USD
common PUT SALE 10,000 13.0000 A 18/01/2019 0.2500 USD
common PUT SALE 2,000 13.0000 A 18/01/2019 0.2700 USD
common PUT SALE 1,000 13.0000 A 18/01/2019 0.2700 USD
common CALL SALE 100 16.0000 A 18/04/2019 0.4500 USD
common CALL SALE 1,500 15.0000 A 15/02/2019 0.4800 USD
common CALL SALE 100 13.5000 A 28/12/2018 0.5000 USD
common CALL SALE 1,000 17.0000 A 19/07/2019 0.5700 USD
common CALL SALE 1,000 17.0000 A 19/07/2019 0.5700 USD
common CALL SALE 2,500 14.0000 A 18/01/2019 0.5800 USD
common CALL SALE 200 14.0000 A 15/02/2019 0.6700 USD
common CALL SALE 200 14.0000 A 15/02/2019 0.6700 USD
common CALL SALE 400 14.0000 A 15/02/2019 0.6800 USD
common CALL SALE 100 14.0000 A 15/02/2019 0.6900 USD
common CALL SALE 200 14.0000 A 15/02/2019 0.7000 USD
common CALL SALE 100 14.0000 A 15/02/2019 0.7100 USD
common CALL SALE 500 14.0000 A 15/02/2019 0.7100 USD
common CALL SALE 200 14.0000 A 15/02/2019 0.7100 USD
common CALL SALE 200 14.0000 A 15/02/2019 0.7100 USD
common CALL SALE 300 14.0000 A 15/02/2019 0.7100 USD
common CALL SALE 100 14.0000 A 15/02/2019 0.7100 USD
common CALL SALE 100 14.0000 A 15/02/2019 0.7100 USD
common CALL SALE 300 14.0000 A 15/02/2019 0.7100 USD
common CALL SALE 100 14.0000 A 15/02/2019 0.7100 USD
common CALL SALE 200 14.0000 A 15/02/2019 0.7100 USD
common CALL SALE 200 14.0000 A 15/02/2019 0.7100 USD
common CALL SALE 300 14.0000 A 15/02/2019 0.7100 USD
common CALL SALE 100 14.0000 A 15/02/2019 0.7100 USD
common CALL SALE 100 14.0000 A 15/02/2019 0.7100 USD
common CALL SALE 100 14.0000 A 15/02/2019 0.7200 USD
common CALL SALE 300 14.0000 A 15/02/2019 0.7200 USD
common CALL SALE 300 14.0000 A 15/02/2019 0.7200 USD
common CALL SALE 200 14.0000 A 15/02/2019 0.7200 USD
common CALL SALE 100 14.0000 A 15/02/2019 0.7200 USD
common CALL SALE 1,000 14.0000 A 15/02/2019 0.7300 USD
common CALL SALE 400 14.0000 A 15/02/2019 0.7300 USD
common CALL SALE 100 14.0000 A 15/02/2019 0.7300 USD
common CALL SALE 200 14.0000 A 15/02/2019 0.7300 USD
common CALL SALE 200 14.0000 A 15/02/2019 0.7300 USD
common CALL SALE 200 14.0000 A 15/02/2019 0.7300 USD
common CALL SALE 500 14.0000 A 15/02/2019 0.7300 USD
common CALL SALE 100 14.0000 A 15/02/2019 0.7300 USD
common CALL SALE 100 14.0000 A 15/02/2019 0.7300 USD
common CALL SALE 300 14.0000 A 15/02/2019 0.7300 USD
common CALL SALE 500 14.0000 A 15/02/2019 0.7300 USD
common CALL SALE 400 14.0000 A 15/02/2019 0.7300 USD
common CALL SALE 200 14.0000 A 15/02/2019 0.7300 USD
common CALL SALE 300 14.0000 A 15/02/2019 0.7300 USD
common CALL SALE 400 14.0000 A 15/02/2019 0.7300 USD
common CALL SALE 400 14.0000 A 15/02/2019 0.7300 USD
common CALL SALE 600 14.0000 A 15/02/2019 0.7300 USD
common CALL SALE 600 14.0000 A 15/02/2019 0.7300 USD
common CALL SALE 100 14.0000 A 15/02/2019 0.7300 USD
common CALL SALE 100 14.0000 A 15/02/2019 0.7400 USD
common CALL SALE 200 14.0000 A 15/02/2019 0.7400 USD
common CALL SALE 2,500 14.0000 A 15/02/2019 0.7400 USD
common CALL SALE 100 14.0000 A 15/02/2019 0.7400 USD
common CALL SALE 200 14.0000 A 15/02/2019 0.7500 USD
common CALL SALE 200 14.0000 A 15/02/2019 0.7600 USD
common CALL SALE 400 14.0000 A 15/02/2019 0.7600 USD
common CALL SALE 100 14.0000 A 15/02/2019 0.7600 USD
common CALL SALE 800 14.0000 A 15/02/2019 0.7600 USD
common CALL SALE 100 14.0000 A 15/02/2019 0.7700 USD
common CALL SALE 200 14.0000 A 15/02/2019 0.7700 USD
common CALL SALE 100 14.0000 A 15/02/2019 0.7700 USD
common CALL SALE 300 14.0000 A 15/02/2019 0.7800 USD
common CALL SALE 100 14.0000 A 15/02/2019 0.7800 USD
common CALL SALE 300 14.0000 A 15/02/2019 0.7800 USD
common CALL SALE 100 14.0000 A 15/02/2019 0.7800 USD
common CALL SALE 100 14.0000 A 15/02/2019 0.7800 USD
common CALL SALE 100 14.0000 A 15/02/2019 0.7900 USD
common CALL SALE 500 14.0000 A 15/02/2019 0.7900 USD
common CALL SALE 100 14.0000 A 15/02/2019 0.8000 USD
common CALL SALE 400 14.0000 A 15/02/2019 0.8000 USD
common CALL SALE 200 14.0000 A 15/02/2019 0.8100 USD
common CALL SALE 1,000 14.0000 A 15/02/2019 0.8100 USD
common CALL SALE 100 14.0000 A 15/02/2019 0.8100 USD
common CALL SALE 100 14.0000 A 15/02/2019 0.8100 USD
common CALL SALE 1,000 14.0000 A 15/02/2019 0.8100 USD
common CALL SALE 200 14.0000 A 15/02/2019 0.8200 USD
common CALL SALE 400 14.0000 A 15/02/2019 0.8400 USD
common CALL SALE 200 13.0000 A 15/02/2019 1.2500 USD
common CALL SALE 400 13.0000 A 15/02/2019 1.3000 USD
common PUT SALE 3,000 15.0000 A 18/01/2019 1.5000 USD
common CALL SALE 100 13.0000 A 17/01/2020 2.5000 USD
common PUT SALE 100 18.0000 A 18/04/2019 4.3000 USD
common PUT SALE 100 18.0000 A 18/04/2019 4.3000 USD
common PUT SALE 200 18.0000 A 18/04/2019 4.3000 USD
common PUT SALE 100 18.0000 A 18/04/2019 4.3000 USD
common PUT SALE 200 18.0000 A 18/04/2019 4.3000 USD
common PUT SALE 200 20.0000 A 28/12/2018 6.3000 USD
common PUT SALE 2,500 22.0000 A 18/01/2019 8.2500 USD
common PUT SALE 3,000 24.0000 A 18/01/2019 10.3000 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 1,200 3.0000 USD
common CALL Exercising 600 13.0000 USD
common PUT Exercising 2,800 14.0000 USD
common CALL Exercising 4,700 12.5000 USD
common CALL Exercising 5,900 13.5000 USD
common PUT Exercising 400 14.5000 USD
common CALL Exercised 1,000 12.0000 USD
against
(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: 21 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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