BARCLAYS PLC Form 8.5 (EPT/NON-RI) - BARRICK GOLD CORPORATION

 
TIDMBARC 
 

FORM 8.5 (EPT/NON-RI)Amendment to Purchase and Sales

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY ANEXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY ("RI") STATUS (OR WHERE RI STATUS IS NOT APPLICABLE)Rule 8.5 of the Takeover Code (the "Code")

1. KEY INFORMATION

 
(a)   Name of exempt principal trader:   BARCLAYS CAPITAL SECURITIES LTD 
(b)   Name of offeror/offeree            BARRICK GOLD CORPOPRATION 
      in relation to whose 
      relevant securities 
      this form relates: 
(c)   Name of the party to the           RANDGOLD RESOURCES LIMITED 
      offer with which exempt 
      principal trader is connected 
(d)   Date position held/dealing         04 December 2018 
      undertaken: 
(e)   In addition to the                 YES: 
      company in 1(b) 
      above, is the exempt principal 
      trader making disclosures          RANDGOLD RESOURCES LIMITED 
      in respect 
      of any other party to the  offer? 
 
 

2. POSITIONS OF THE EXEMPT PRINCIPAL TRADER

If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(b), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.

(a) Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing (if any)

 
                                 Interests         Short Positions 
                                 Number     (%)    Number     (%) 
(1)   Relevant securities owned 
      and/or controlled:         474,485    0.04%  1,557,164  0.13% 
(2)   Cash-settled derivatives: 
                                 655,500    0.06%  115,354    0.01% 
(3)   Stock-settled derivatives 
      (including options) 
      and agreements to          6,880,000  0.59%  2,288,000  0.20% 
      purchase/sell: 
(4) 
      TOTAL:                     8,009,985  0.69%  3,960,518  0.34% 
 
 

All interests and all short positions should be disclosed.

Details of any open stock-settled derivative positions (including traded options), or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).

(b) Rights to subscribe for new securities (including directors' and other employee options)

 
Class of relevant security in relation 
to which subscription right  exists: 
Details, including nature of the rights 
concerned and relevant  percentages: 
 
 

3. DEALINGS (IF ANY) 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 3(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       Purchase/sale  Total number  Highest price  Lowest price 
relevant                      of            per unit       per unit 
security                      securities    paid/received  paid/received 
Ordinary NPV   Purchase       9,137         11.6179 EUR    11.4336 EUR 
Ordinary NPV   Purchase       10,000        13.1720 USD    13.0318 USD 
Ordinary NPV   Purchase       13,700        17.4514 CAD    17.4514 CAD 
Ordinary NPV   Sale           8,198         11.4542 EUR    11.4336 EUR 
Ordinary NPV   Sale           10,000        13.1720 USD    13.0318 USD 
 
 

(b) Cash-settled derivative transactions

 
Class of      Product     Nature of dealing Number of  Price per 
relevant      description                   reference  unit 
security                                    securities 
Ordinary NPV  SWAP        Short             987        11.6175 EUR 
 
 

(c) Stock-settled derivative transactions (including options)

(i) Writing, selling, purchasing or varying

 
Class of   Product          Writing,      Number         Exercise price  Type            Expiry date  Option money 
relevant   descriptione.g.  purchasing,   of securities  per unit        e.g. American,               paid/ 
security   call             selling,      to                             European etc.                received 
           option           varying etc.  which option                                                per unit 
                                          relates 
 
 

(ii) Exercise

 
Class of relevant   Product      Exercising/  Number         Exercise price 
security            description  exercised    of securities  per unit 
                    e.g. call    against 
                    option 
 
 

(d) Other dealings (including subscribing for new securities)

 
Class of relevant   Nature of dealing   Details  Price per unit (if 
security            e.g. subscription,           applicable) 
                    conversion 
 
 

4. 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 
 
 

(c) Attachments

 
Is a Supplemental Form 8 (Open   YES 
Positions) attached? 
Date of disclosure:              7 Dec 2018 
Contact name:                    Large Holdings Regulatory Operations 
Telephone number:                020 3134 7213 
 
 

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 disclosure requirements on [phone].

The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.

SUPPLEMENTAL FORM 8 (OPEN POSITIONS)

DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING OPTION) POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC.

Note 5(i) on Rule 8 of the Takeover Code (the "Code")

1. KEY INFORMATION

 
Identity of the person whose            BARCLAYS CAPITAL SECURITIES LTD 
positions/dealings 
are being disclosed: 
Name of offeror/offeree                 BARRICK GOLD CORPORATION 
in relation to whose 
relevant securities this from relates: 
 
 

2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

 
Class      Product      Writing,     Number      Exercise  Type      Expiry 
of         description  purchasing,  of          price               date 
relevant                selling,     securities  per unit 
security                varying etc  to which 
                                     option 
                                     relates 
Ordinary   Call         Written      -429,000    17.0000   American  17 Jan 2020 
NPV        Options 
Ordinary   Call         Written      -429,000    17.0000   American  15 Jan 1919 
NPV        Options 
Ordinary   Call         Written      -350,000    20.0000   American  18 Jan 2019 
NPV        Options 
Ordinary   Call         Written      -350,000    20.0000   American  16 Jan 1918 
NPV        Options 
Ordinary   Call         Written      -240,000    17.0000   American  16 Jan 1918 
NPV        Options 
Ordinary   Call         Written      -240,000    17.0000   American  18 Jan 2019 
NPV        Options 
Ordinary   Call         Written      -125,000    13.0000   American  18 Jan 2019 
NPV        Options 
Ordinary   Call         Written      -125,000    13.0000   American  16 Jan 1918 
NPV        Options 
Ordinary   Put          Written      50,000      17.0000   American  16 Jan 1918 
NPV        Options 
Ordinary   Put          Written      50,000      17.0000   American  18 Jan 2019 
NPV        Options 
Ordinary   Put          Written      225,000     10.0000   American  16 Jan 1918 
NPV        Options 
Ordinary   Put          Written      225,000     10.0000   American  18 Jan 2019 
NPV        Options 
Ordinary   Put          Written      695,000     10.0000   American  15 Jan 1919 
NPV        Options 
Ordinary   Put          Written      895,000     10.0000   American  17 Jan 2020 
NPV        Options 
Ordinary   Put          Written      2,370,000   13.0000   American  18 Jan 2019 
NPV        Options 
Ordinary   Put          Written      2,370,000   13.0000   American  16 Jan 1918 
NPV        Options 
 
 

3. AGREEMENTS TO PURCHASE OR SELL ETC.

 
Full details should be given so that the nature of 
the interest or  position can be fully understood: 
 
 

It is not necessary to provide details on a Supplemental Form (Open Positions) with regard to cash-settled derivatives.

The currency of all prices and other monetary amounts should be stated.

The Panel's Market Surveillance Unit is available for consultation in relation to the Code's disclosure requirements on [phone].

The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.

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(END) Dow Jones Newswires

December 07, 2018 06:49 ET (11:49 GMT)