BARCLAYS PLC Form 8.5 (EPT/NON-RI)

 
TIDMBARC 
 
 

FORM 8.5 (EPT/NON-RI)

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 
 
1.   KEY INFORMATION 
(a)  Name of exempt principal trader:     BARCLAYS CAPITAL SECURITIES LTD 
(b)  Name of offeror/offeree              BARRICK GOLD CORPORATION 
     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           06 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)

 
 
Class of                     Ordinary NPV 
relevant 
security: 
                             Interests             Short Positions 
                             Number       (%)      Number             (%) 
(1)        Relevant 
           securities 
           owned 
           and/or            460,535      0.04%    1,337,217          0.11% 
           controlled: 
(2)        Cash-settled 
           derivatives: 
                             558,400      0.05%    115,354            0.01% 
(3)        Stock-settled 
           derivatives 
           (including 
           options) 
           and agreements    6,880,000    0.59%    2,288,000          0.20% 
           to 
           purchase/sell: 
           TOTAL:            7,898,935    0.68%    3,740,571          0.32% 
 
 

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         1,545           11.5300 EUR      11.5221 EUR 
Ordinary NPV    Purchase         6,784           17.8700 CAD      17.87 CAD 
Ordinary NPV    Sale             1,545           11.5300 EUR      11.5221 EUR 
 
 
   (b)       Cash-settled derivative transactions 
 
Class of relevant security     Product description    Nature of dealinge.g.           Number of reference    Price per unit 
                               e.g. CFD               opening/closing                 securities 
                                                      a long/short 
                                                      position,increasing/reducing 
                                                      a long/short position 
 
 
 
   (c)       Stock-settled derivative transactions (including options) 
 
   (i)       Writing, selling, purchasing or varying 
 
Class of relevant     Product            Writing,               Number             Exercise price    Typee.g.             Expiry date    Option 
security              descriptione.g.    purchasing,selling,    of securitiesto    per unit          American,European                   money paid/received 
                      call option        varying etc.           which option                         etc.                                per unit 
                                                                relates 
 
 
   (ii)      Exercise 
 
Class of     Product        Exercising/    Number           Exercise price 
relevant     description    exercised      of securities    per unit 
security     e.g. call      against 
             option 
 
 
   (d)       Other dealings (including subscribing for new securities) 
 
Class of relevant     Nature            Details    Price per unit (if 
security              of dealinge.g.               applicable) 
                      subscription, 
                      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 
 
 

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    16 Jan 1918 
NPV          Options 
Ordinary     Call           Written        -350,000      20.0000     American    18 Jan 2019 
NPV          Options 
Ordinary     Call           Written        -240,000      17.0000     American    18 Jan 2019 
NPV          Options 
Ordinary     Call           Written        -240,000      17.0000     American    16 Jan 1918 
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    18 Jan 2019 
NPV          Options 
Ordinary     Put            Written        50,000        17.0000     American    16 Jan 1918 
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    16 Jan 1918 
NPV          Options 
Ordinary     Put            Written        2,370,000     13.0000     American    18 Jan 2019 
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: 
 
 

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.

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(END) Dow Jones Newswires

December 07, 2018 07:08 ET (12:08 GMT)