REG - Morgan Stanley&CoLLC Barrick Gold Corp - Form 8.5 (EPT/RI) - Replacement of Barrick
02/01/2019 14:35
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RNS Number : 9907L
Morgan Stanley & Co. LLC
02 January 2019
AMENDMENT Section (2a & 2cii)
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: 28 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 3,864,487 18.5400 CAD 17.6300 CAD
common SALES 3,912,729 18.5300 CAD 17.6300 CAD
common PURCHASES 4,819,205 13.6150 USD 12.9300 USD
common SALES 4,744,505 13.6100 USD 12.9300 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 2,800 17.0000 A 18/01/2019 0.0100 USD
common CALL PURCHASE 3,400 15.0000 A 18/01/2019 0.0600 USD
common CALL PURCHASE 5,000 14.0000 A 04/01/2019 0.0700 USD
common PUT PURCHASE 100 12.0000 A 18/01/2019 0.1100 USD
common CALL PURCHASE 1,200 15.0000 A 18/01/2019 0.1100 USD
common CALL PURCHASE 100 14.0000 A 04/01/2019 0.1200 USD
common CALL PURCHASE 100 14.0000 A 11/01/2019 0.1300 USD
common CALL PURCHASE 100 14.0000 A 04/01/2019 0.1400 USD
common PUT PURCHASE 300 13.0000 A 04/01/2019 0.1800 USD
common PUT PURCHASE 4,900 13.0000 A 04/01/2019 0.1800 USD
common CALL PURCHASE 700 14.0000 A 18/01/2019 0.1900 USD
common PUT PURCHASE 4,000 13.0000 A 04/01/2019 0.2000 USD
common CALL PURCHASE 1,200 14.0000 A 18/01/2019 0.2500 USD
common PUT PURCHASE 100 13.0000 A 11/01/2019 0.2900 USD
common PUT PURCHASE 100 13.0000 A 18/01/2019 0.3400 USD
common PUT PURCHASE 200 13.0000 A 18/01/2019 0.3600 USD
common PUT PURCHASE 100 13.0000 A 18/01/2019 0.3900 USD
common CALL PURCHASE 300 14.0000 A 25/01/2019 0.4000 USD
common CALL PURCHASE 500 14.0000 A 15/02/2019 0.4900 USD
common CALL PURCHASE 600 13.0000 A 28/12/2018 0.5600 USD
common CALL PURCHASE 200 20.0000 A 17/01/2020 0.5600 USD
common CALL PURCHASE 100 13.0000 A 04/01/2019 0.6000 USD
common CALL PURCHASE 100 13.0000 A 18/01/2019 0.6100 USD
common CALL PURCHASE 1,200 14.0000 A 18/04/2019 0.7700 USD
common CALL PURCHASE 1,500 13.0000 A 15/02/2019 0.8700 USD
common PUT PURCHASE 1,100 13.0000 A 18/04/2019 0.9200 USD
common CALL PURCHASE 2,000 13.0000 A 15/02/2019 1.0600 USD
common CALL PURCHASE 100 12.0000 A 18/01/2019 1.6400 USD
common CALL PURCHASE 100 13.0000 A 17/01/2020 2.1500 USD
common CALL PURCHASE 100 10.0000 A 18/01/2019 3.5600 USD
common CALL SALE 3,100 15.0000 A 04/01/2019 0.0200 USD
common CALL SALE 2,000 13.5000 A 28/12/2018 0.0200 USD
common CALL SALE 1,000 13.5000 A 28/12/2018 0.0200 USD
common CALL SALE 2,000 14.0000 A 04/01/2019 0.0400 USD
common CALL SALE 5,000 15.0000 A 18/01/2019 0.0900 USD
common CALL SALE 2,400 13.5000 A 28/12/2018 0.1100 USD
common CALL SALE 200 13.5000 A 28/12/2018 0.1100 USD
common PUT SALE 600 13.5000 A 28/12/2018 0.1100 USD
common PUT SALE 5,200 13.5000 A 28/12/2018 0.1100 USD
common PUT SALE 3,200 13.5000 A 28/12/2018 0.1100 USD
common PUT SALE 1,500 13.5000 A 28/12/2018 0.1100 USD
common PUT SALE 3,000 13.5000 A 28/12/2018 0.1100 USD
common CALL SALE 20,000 15.0000 A 18/01/2019 0.1200 USD
common PUT SALE 200 13.5000 A 28/12/2018 0.1600 USD
common PUT SALE 300 13.5000 A 28/12/2018 0.1600 USD
common CALL SALE 100 14.0000 A 11/01/2019 0.1800 USD
common CALL SALE 300 18.0000 A 18/04/2019 0.2000 USD
common CALL SALE 100 14.0000 A 18/01/2019 0.2000 USD
common CALL SALE 1,000 14.0000 A 18/01/2019 0.2000 USD
common PUT SALE 100 13.5000 A 28/12/2018 0.2100 USD
common CALL SALE 600 13.0000 A 28/12/2018 0.2100 USD
common CALL SALE 1,900 14.0000 A 18/01/2019 0.2200 USD
common CALL SALE 500 14.0000 A 18/01/2019 0.2300 USD
common CALL SALE 500 14.0000 A 18/01/2019 0.2400 USD
common CALL SALE 500 14.0000 A 18/01/2019 0.2400 USD
common CALL SALE 5,000 14.0000 A 18/01/2019 0.2500 USD
common CALL SALE 100 15.0000 A 15/02/2019 0.2500 USD
common CALL SALE 400 15.0000 A 15/02/2019 0.2500 USD
common CALL SALE 100 14.0000 A 11/01/2019 0.2500 USD
common CALL SALE 400 14.0000 A 18/01/2019 0.2600 USD
common CALL SALE 100 14.0000 A 18/01/2019 0.2800 USD
common CALL SALE 100 14.0000 A 18/01/2019 0.2800 USD
common CALL SALE 4,300 14.0000 A 18/01/2019 0.2900 USD
common CALL SALE 700 14.0000 A 18/01/2019 0.2900 USD
common CALL SALE 1,000 14.0000 A 18/01/2019 0.2900 USD
common PUT SALE 100 13.0000 A 18/01/2019 0.2900 USD
common CALL SALE 300 14.0000 A 18/01/2019 0.3000 USD
common CALL SALE 200 14.0000 A 18/01/2019 0.3000 USD
common CALL SALE 400 14.0000 A 18/01/2019 0.3000 USD
common CALL SALE 900 14.0000 A 18/01/2019 0.3200 USD
common CALL SALE 1,100 14.0000 A 18/01/2019 0.3200 USD
common PUT SALE 1,000 13.0000 A 18/01/2019 0.3300 USD
common CALL SALE 100 14.0000 A 18/01/2019 0.3400 USD
common CALL SALE 300 14.0000 A 18/01/2019 0.3400 USD
common CALL SALE 300 14.0000 A 18/01/2019 0.3400 USD
common CALL SALE 500 13.0000 A 04/01/2019 0.3400 USD
common CALL SALE 2,000 13.0000 A 04/01/2019 0.3400 USD
common CALL SALE 1,200 14.0000 A 18/01/2019 0.3600 USD
common CALL SALE 1,300 14.0000 A 18/01/2019 0.3600 USD
common PUT SALE 40,000 13.0000 A 18/01/2019 0.4100 USD
common CALL SALE 500 15.0000 A 15/03/2019 0.4100 USD
common CALL SALE 1,200 14.0000 A 01/02/2019 0.4600 USD
common CALL SALE 100 14.0000 A 15/02/2019 0.4700 USD
common CALL SALE 600 14.0000 A 15/02/2019 0.4700 USD
common PUT SALE 300 10.0000 A 17/01/2020 0.4900 USD
common PUT SALE 100 10.0000 A 17/01/2020 0.4900 USD
common CALL SALE 1,000 13.0000 A 18/01/2019 0.6300 USD
common CALL SALE 5,000 13.0000 A 18/01/2019 0.6300 USD
common CALL SALE 600 14.0000 A 15/02/2019 0.6300 USD
common CALL SALE 100 13.0000 A 18/01/2019 0.6400 USD
common CALL SALE 100 13.0000 A 18/01/2019 0.6400 USD
common PUT SALE 400 13.0000 A 15/02/2019 0.6600 USD
common CALL SALE 800 13.0000 A 18/01/2019 0.6800 USD
common CALL SALE 400 14.0000 A 18/04/2019 0.8100 USD
common CALL SALE 500 13.0000 A 15/03/2019 1.0500 USD
common PUT SALE 1,100 14.0000 A 15/03/2019 1.3100 USD
common CALL SALE 800 12.0000 A 18/01/2019 1.3700 USD
common CALL SALE 200 15.0000 A 17/01/2020 1.4300 USD
common CALL SALE 200 13.0000 A 19/07/2019 1.5900 USD
common PUT SALE 200 13.0000 A 17/01/2020 1.6100 USD
common PUT SALE 2,500 17.0000 A 17/01/2020 4.2500 USD
common PUT SALE 2,500 17.0000 A 17/01/2020 4.2500 USD
(ii) Exercise
Class of Product description Exercising/ Number of securities Exercise price
relevant e.g. call option exercised per unit
security against
common PUT Exercising 200 14.0000 USD
common PUT Exercising 400 14.5000 USD
common PUT Exercising 2,500 18.0000 USD
common PUT Exercising 1,500 16.0000 USD
common PUT Exercising 2,500 17.0000 USD
common PUT Exercising 700 25.0000 USD
common PUT Exercising 200 18.0000 USD
common PUT Exercising 700 20.0000 USD
common PUT Exercising 2,100 20.0000 USD
common PUT Exercising 200 21.0000 USD
common PUT Exercising 4,900 17.0000 USD
common PUT Exercising 1,900 19.0000 USD
common PUT Exercised 1,500 18.0000 USD
against
common PUT Exercised 16,600 13.5000 USD
against
common CALL Exercised 1,100 13.0000 USD
against
common PUT Exercised 5,300 17.0000 USD
against
common PUT Exercised 2,100 15.0000 USD
against
common PUT Exercised 3,300 20.0000 USD
against
common PUT Exercised 1,200 19.0000 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: 02 JANUARY 2019
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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