REG - Morgan Stanley&CoLLC Barrick Gold Corp - Form 8.5 (EPT/RI) - Replacement of Barrick
28/12/2018 14:05
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RNS Number : 7456L
Morgan Stanley & Co. LLC
28 December 2018
AMENDMENT Section 2 (c) (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: 26 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 2,431,138 13.8700 USD 13.4300 USD
common SALES 2,400,195 13.8700 USD 13.4400 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 700 20.0000 A 18/01/2019 0.0100 USD
common CALL PURCHASE 200 20.0000 A 18/01/2019 0.0100 USD
common PUT PURCHASE 300 12.0000 A 04/01/2019 0.0100 USD
common PUT PURCHASE 100 12.0000 A 04/01/2019 0.0100 USD
common PUT PURCHASE 100 12.0000 A 04/01/2019 0.0100 USD
common CALL PURCHASE 3,200 14.5000 A 28/12/2018 0.0300 USD
common CALL PURCHASE 100 14.0000 A 28/12/2018 0.0600 USD
common PUT PURCHASE 1,000 12.0000 A 18/01/2019 0.0900 USD
common PUT PURCHASE 6,300 12.0000 A 18/01/2019 0.0900 USD
common PUT PURCHASE 4,000 12.0000 A 18/01/2019 0.0900 USD
common PUT PURCHASE 9,400 12.0000 A 18/01/2019 0.0900 USD
common PUT PURCHASE 3,200 12.0000 A 18/01/2019 0.0900 USD
common PUT PURCHASE 1,700 12.0000 A 18/01/2019 0.1000 USD
common PUT PURCHASE 1,300 12.0000 A 18/01/2019 0.1000 USD
common PUT PURCHASE 1,000 12.0000 A 18/01/2019 0.1000 USD
common PUT PURCHASE 3,000 12.0000 A 18/01/2019 0.1000 USD
common CALL PURCHASE 1,600 14.0000 A 28/12/2018 0.1100 USD
common CALL PURCHASE 1,600 14.0000 A 28/12/2018 0.1100 USD
common CALL PURCHASE 600 14.0000 A 28/12/2018 0.1100 USD
common CALL PURCHASE 2,500 14.0000 A 28/12/2018 0.1100 USD
common CALL PURCHASE 3,000 14.0000 A 28/12/2018 0.1100 USD
common CALL PURCHASE 11,000 14.0000 A 28/12/2018 0.1100 USD
common CALL PURCHASE 1,300 14.0000 A 28/12/2018 0.1100 USD
common CALL PURCHASE 1,100 14.0000 A 28/12/2018 0.1100 USD
common CALL PURCHASE 8,000 14.0000 A 28/12/2018 0.1100 USD
common CALL PURCHASE 10,200 14.0000 A 28/12/2018 0.1100 USD
common CALL PURCHASE 500 13.5000 A 28/12/2018 0.1500 USD
common CALL PURCHASE 1,700 15.0000 A 18/01/2019 0.1500 USD
common CALL PURCHASE 200 15.0000 A 18/01/2019 0.1500 USD
common CALL PURCHASE 400 15.0000 A 18/01/2019 0.1500 USD
common CALL PURCHASE 6,200 15.0000 A 18/01/2019 0.1500 USD
common CALL PURCHASE 300 15.0000 A 18/01/2019 0.1500 USD
common CALL PURCHASE 300 15.0000 A 18/01/2019 0.1500 USD
common CALL PURCHASE 1,400 15.0000 A 18/01/2019 0.1700 USD
common CALL PURCHASE 300 15.0000 A 18/01/2019 0.1700 USD
common CALL PURCHASE 400 15.0000 A 18/01/2019 0.1700 USD
common CALL PURCHASE 1,100 15.0000 A 18/01/2019 0.1700 USD
common CALL PURCHASE 500 13.5000 A 28/12/2018 0.1700 USD
common PUT PURCHASE 4,100 13.5000 A 28/12/2018 0.1800 USD
common PUT PURCHASE 1,500 13.5000 A 28/12/2018 0.1800 USD
common CALL PURCHASE 1,000 15.0000 A 18/01/2019 0.1800 USD
common CALL PURCHASE 400 16.0000 A 15/02/2019 0.1900 USD
common CALL PURCHASE 3,000 13.5000 A 28/12/2018 0.1900 USD
common CALL PURCHASE 200 14.0000 A 04/01/2019 0.2000 USD
common CALL PURCHASE 200 14.0000 A 04/01/2019 0.2000 USD
common CALL PURCHASE 100 14.0000 A 04/01/2019 0.2000 USD
common CALL PURCHASE 100 14.0000 A 04/01/2019 0.2300 USD
common CALL PURCHASE 500 16.0000 A 15/02/2019 0.2400 USD
common PUT PURCHASE 600 12.0000 A 15/02/2019 0.2700 USD
common PUT PURCHASE 100 12.0000 A 15/02/2019 0.2700 USD
common PUT PURCHASE 100 12.0000 A 15/02/2019 0.2700 USD
common CALL PURCHASE 1,500 20.0000 A 19/07/2019 0.2800 USD
common CALL PURCHASE 3,000 20.0000 A 19/07/2019 0.2800 USD
common CALL PURCHASE 1,400 20.0000 A 19/07/2019 0.2800 USD
common CALL PURCHASE 300 20.0000 A 19/07/2019 0.2800 USD
common CALL PURCHASE 600 20.0000 A 19/07/2019 0.2800 USD
common CALL PURCHASE 1,400 20.0000 A 19/07/2019 0.2800 USD
common CALL PURCHASE 1,100 20.0000 A 19/07/2019 0.2800 USD
common CALL PURCHASE 5,300 20.0000 A 19/07/2019 0.2900 USD
common CALL PURCHASE 200 13.5000 A 28/12/2018 0.2900 USD
common CALL PURCHASE 100 14.0000 A 11/01/2019 0.2900 USD
common PUT PURCHASE 1,400 13.0000 A 18/01/2019 0.3000 USD
common CALL PURCHASE 600 14.0000 A 18/01/2019 0.3400 USD
common CALL PURCHASE 100 14.0000 A 18/01/2019 0.3400 USD
common CALL PURCHASE 500 14.0000 A 18/01/2019 0.3400 USD
common PUT PURCHASE 2,100 13.0000 A 18/01/2019 0.3700 USD
common CALL PURCHASE 500 14.0000 A 18/01/2019 0.4000 USD
common CALL PURCHASE 1,000 14.0000 A 18/01/2019 0.4000 USD
common PUT PURCHASE 900 12.0000 A 18/04/2019 0.4200 USD
common CALL PURCHASE 3,600 14.0000 A 18/01/2019 0.4600 USD
common CALL PURCHASE 3,000 14.0000 A 18/01/2019 0.4600 USD
common CALL PURCHASE 600 14.0000 A 18/01/2019 0.4600 USD
common CALL PURCHASE 1,100 14.0000 A 18/01/2019 0.4600 USD
common CALL PURCHASE 4,000 14.0000 A 18/01/2019 0.4700 USD
common CALL PURCHASE 200 14.0000 A 18/01/2019 0.4700 USD
common CALL PURCHASE 100 14.0000 A 15/02/2019 0.6200 USD
common CALL PURCHASE 1,000 13.0000 A 04/01/2019 0.6200 USD
common CALL PURCHASE 300 13.0000 A 04/01/2019 0.6200 USD
common CALL PURCHASE 800 14.0000 A 15/02/2019 0.6300 USD
common CALL PURCHASE 100 15.0000 A 18/04/2019 0.6600 USD
common CALL PURCHASE 100 15.0000 A 18/04/2019 0.6600 USD
common CALL PURCHASE 100 14.0000 A 15/02/2019 0.6700 USD
common CALL PURCHASE 500 14.0000 A 15/02/2019 0.6700 USD
common CALL PURCHASE 100 13.0000 A 11/01/2019 0.7100 USD
common CALL PURCHASE 100 13.0000 A 11/01/2019 0.7100 USD
common CALL PURCHASE 100 14.0000 A 15/02/2019 0.7200 USD
common CALL PURCHASE 100 14.0000 A 15/02/2019 0.7200 USD
common CALL PURCHASE 700 14.0000 A 15/02/2019 0.7300 USD
common CALL PURCHASE 1,700 16.0000 A 19/07/2019 0.7400 USD
common CALL PURCHASE 4,900 16.0000 A 19/07/2019 0.7400 USD
common CALL PURCHASE 1,500 16.0000 A 19/07/2019 0.7400 USD
common CALL PURCHASE 8,700 16.0000 A 19/07/2019 0.7400 USD
common CALL PURCHASE 7,000 16.0000 A 19/07/2019 0.7400 USD
common CALL PURCHASE 1,600 16.0000 A 19/07/2019 0.7400 USD
common CALL PURCHASE 3,000 16.0000 A 19/07/2019 0.7400 USD
common CALL PURCHASE 6,300 16.0000 A 19/07/2019 0.7400 USD
common CALL PURCHASE 600 16.0000 A 19/07/2019 0.7400 USD
common CALL PURCHASE 800 16.0000 A 19/07/2019 0.7400 USD
common CALL PURCHASE 200 14.0000 A 15/02/2019 0.7500 USD
common CALL PURCHASE 300 13.0000 A 04/01/2019 0.8400 USD
common CALL PURCHASE 200 13.0000 A 04/01/2019 0.8400 USD
common CALL PURCHASE 500 13.0000 A 04/01/2019 0.8600 USD
common CALL PURCHASE 500 13.0000 A 04/01/2019 0.8600 USD
common CALL PURCHASE 200 13.0000 A 18/01/2019 0.8600 USD
common CALL PURCHASE 3,000 15.0000 A 19/07/2019 1.0000 USD
common CALL PURCHASE 1,100 15.0000 A 19/07/2019 1.0000 USD
common CALL PURCHASE 1,600 15.0000 A 19/07/2019 1.0000 USD
common CALL PURCHASE 1,200 15.0000 A 19/07/2019 1.0000 USD
common CALL PURCHASE 3,500 15.0000 A 19/07/2019 1.0700 USD
common CALL PURCHASE 3,500 15.0000 A 19/07/2019 1.0700 USD
common CALL PURCHASE 2,400 15.0000 A 19/07/2019 1.0800 USD
common CALL PURCHASE 100 17.0000 A 17/01/2020 1.0900 USD
common CALL PURCHASE 300 17.0000 A 17/01/2020 1.1300 USD
common PUT PURCHASE 100 14.0000 A 15/02/2019 1.1400 USD
common CALL PURCHASE 3,000 13.0000 A 15/02/2019 1.2700 USD
common CALL PURCHASE 500 15.0000 A 17/01/2020 1.6500 USD
common CALL PURCHASE 500 15.0000 A 17/01/2020 1.6500 USD
common CALL PURCHASE 200 12.0000 A 15/02/2019 1.7400 USD
common CALL PURCHASE 300 12.0000 A 15/02/2019 1.7400 USD
common CALL PURCHASE 100 11.0000 A 18/01/2019 2.4900 USD
common CALL PURCHASE 100 11.0000 A 18/01/2019 2.4900 USD
common CALL PURCHASE 600 11.0000 A 18/04/2019 2.9200 USD
common CALL PURCHASE 500 11.0000 A 18/04/2019 2.9200 USD
common CALL PURCHASE 200 9.0000 A 18/01/2019 4.6000 USD
common CALL SALE 500 14.0000 A 28/12/2018 0.0500 USD
common PUT SALE 200 11.0000 A 15/02/2019 0.1100 USD
common PUT SALE 100 11.0000 A 15/02/2019 0.1100 USD
common CALL SALE 400 17.0000 A 15/02/2019 0.1600 USD
common CALL SALE 500 16.0000 A 15/02/2019 0.2000 USD
common CALL SALE 100 13.5000 A 28/12/2018 0.3900 USD
common CALL SALE 1,000 14.0000 A 18/01/2019 0.3900 USD
common CALL SALE 100 15.0000 A 15/03/2019 0.5000 USD
common CALL SALE 100 15.0000 A 15/03/2019 0.5000 USD
common CALL SALE 300 20.0000 A 17/01/2020 0.7100 USD
common CALL SALE 100 20.0000 A 17/01/2020 0.7100 USD
common CALL SALE 1,100 20.0000 A 17/01/2020 0.7100 USD
common CALL SALE 200 20.0000 A 17/01/2020 0.7200 USD
common CALL SALE 1,800 20.0000 A 17/01/2020 0.7200 USD
common CALL SALE 200 20.0000 A 17/01/2020 0.7200 USD
common PUT SALE 7,200 13.0000 A 18/04/2019 0.7800 USD
common PUT SALE 3,000 13.0000 A 18/04/2019 0.7800 USD
common PUT SALE 6,100 13.0000 A 18/04/2019 0.7800 USD
common PUT SALE 900 13.0000 A 18/04/2019 0.7900 USD
common CALL SALE 100 13.0000 A 18/01/2019 1.0100 USD
common CALL SALE 3,700 13.0000 A 15/02/2019 1.2600 USD
common PUT SALE 100 15.0000 A 15/03/2019 1.9700 USD
common CALL SALE 100 15.0000 A 15/01/2021 2.5000 USD
common CALL SALE 1,100 15.0000 A 15/01/2021 2.5000 USD
common CALL SALE 100 15.0000 A 15/01/2021 2.5000 USD
common PUT SALE 800 15.0000 A 15/01/2021 3.3600 USD
common PUT SALE 1,400 17.0000 A 18/04/2019 3.5500 USD
common PUT SALE 300 17.0000 A 17/01/2020 4.1800 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 Exercised against 1,200 12.0000 USD
common CALL Exercised against 16,800 9.0000 USD
common CALL Exercised against 5,100 8.0000 USD
common CALL Exercised against 100 13.0000 USD
common CALL Exercised against 600 12.5000 USD
common CALL Exercised against 1,600 11.0000 USD
common CALL Exercising 50,500 10.0000 USD
common CALL Exercising 72,300 11.0000 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: 28 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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