BARCLAYS PLC Form 8.5 (EPT/NON-RI) - RANDGOLD RESOURCES LIMITED

 
TIDMRRS 
 
 

FORM 8.5 (EPT/NON-RI)

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN

EXEMPT 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 INC 
(b)   Name of offeror/offeree                 RANDGOLD RESOURCES LIMITED 
      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 undertaken:  27 December 2018 
(e)   In addition to the company in 1(b)      YES: 
      above, is the exempt principal 
      trader making disclosures in respect    BARRICK GOLD CORPORATION 
      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                    USD 0.05 ordinary 
relevant 
security: 
                            Interests                 Short Positions 
                            Number             (%)    Number   (%) 
(1)         Relevant 
            securities 
            owned 
            and/or          41,640             0.04%  29,454   0.03% 
            controlled: 
(2)         Cash-settled 
            derivatives: 
                            0                  0.00%  0        0.00% 
(3)         Stock-settled 
            derivatives 
            (including 
            options) 
            and agreements  3,800              0.00%  99,800   0.10% 
            to 
            purchase/sell: 
            TOTAL:          45,440             0.05%  129,254  0.14% 
 
 

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 of  Highest price  Lowest price 
relevant                                   per unit       per unit 
security                  securities       paid/received  paid/received 
ADR        Purchase       176,538          85.1497 USD    85.1497 USD 
ADR        Sale           176,538          85.1497 USD    85.1497 USD 
 
 

(b) Cash-settled derivative transactions

 
Class of relevant   Product      Nature of            Number of reference  Price per unit 
security            description  dealing              securities 
                    e.g. CFD     e.g. 
                                 opening/closing 
                                 a 
                                 long/short 
                                 position, 
                                 increasing/reducing 
                                 a 
                                 long/short 
                                 position 
 
 

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

(i) Writing, selling, purchasing or varying

 
Class      Product      Writing,     Number      Exercise  Type      Expiry       Option 
of         description  purchasing,  of          price               date         money 
relevant                selling,     securities  per unit                         paid/ 
security                varying etc  to which                                     received 
                                     option                                       per unit 
                                     relates 
USD 0.05   Call         Purchasing   500         45 USD    American  18 Jan 2019  39.5000 USD 
ordinary   Options 
USD 0.05   Call         Purchasing   100         60 USD    American  18 Jan 2019  24.6000 USD 
ordinary   Options 
USD 0.05   Call         Purchasing   800         65 USD    American  18 Jan 2019  20.4000 USD 
ordinary   Options 
USD 0.05   Call         Purchasing   400         70 USD    American  18 Jan 2019  16.1000 USD 
ordinary   Options 
USD 0.05   Call         Purchasing   200         70 USD    American  15 Mar 2019  15.1000 USD 
ordinary   Options 
 
 

(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:              28 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 INC 
positions/dealings 
are being disclosed: 
Name of offeror/offeree                  RANDGOLD RESOURCES LIMITED 
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 
USD 0.05   Call         Purchased    100         83.0000   American  17 Jan 2020 
ordinary   Options 
USD 0.05   Call         Purchased    100         60.0000   American  20 Dec 2019 
ordinary   Options 
USD 0.05   Call         Purchased    100         80.0000   American  17 Jan 2020 
ordinary   Options 
USD 0.05   Call         Purchased    100         73.0000   American  20 Dec 2019 
ordinary   Options 
USD 0.05   Call         Purchased    200         78.0000   American  20 Dec 2019 
ordinary   Options 
USD 0.05   Call         Purchased    300         75.0000   American  18 Jan 2019 
ordinary   Options 
USD 0.05   Call         Written      -20,200     90.0000   American  17 Jan 2020 
ordinary   Options 
USD 0.05   Call         Written      -16,100     83.0000   American  18 Jan 2019 
ordinary   Options 
USD 0.05   Call         Written      -13,600     80.0000   American  18 Jan 2019 
ordinary   Options 
USD 0.05   Call         Written      -11,700     85.0000   American  18 Jan 2019 
ordinary   Options 
USD 0.05   Call         Written      -6,700      95.0000   American  18 Jan 2019 
ordinary   Options 
USD 0.05   Call         Written      -5,000      88.0000   American  18 Jan 2019 
ordinary   Options 
USD 0.05   Call         Written      -2,800      90.0000   American  18 Jan 2019 
ordinary   Options 
USD 0.05   Call         Written      -2,700      100.0000  American  17 Jan 2020 
ordinary   Options 
USD 0.05   Call         Written      -2,200      135.0000  American  18 Jan 2019 
ordinary   Options 
USD 0.05   Call         Written      -2,000      100.0000  American  18 Jan 2019 
ordinary   Options 
USD 0.05   Call         Written      -1,800      150.0000  American  18 Jan 2019 
ordinary   Options 
USD 0.05   Call         Written      -600        115.0000  American  18 Jan 2019 
ordinary   Options 

USD 0.05   Call         Written      -300        155.0000  American  18 Jan 2019 
ordinary   Options 
USD 0.05   Call         Written      -300        105.0000  American  18 Jan 2019 
ordinary   Options 
USD 0.05   Call         Written      -300        110.0000  American  17 Jan 2020 
ordinary   Options 
USD 0.05   Call         Written      -200        63.0000   American  20 Dec 2019 
ordinary   Options 
USD 0.05   Call         Written      -200        98.0000   American  18 Jan 2019 
ordinary   Options 
USD 0.05   Call         Written      -200        93.0000   American  17 Jan 2020 
ordinary   Options 
USD 0.05   Call         Written      -200        105.0000  American  17 Jan 2020 
ordinary   Options 
USD 0.05   Call         Written      -200        120.0000  American  17 Jan 2020 
ordinary   Options 
USD 0.05   Call         Written      -100        93.0000   American  18 Jan 2019 
ordinary   Options 
USD 0.05   Call         Written      -100        80.0000   American  15 Mar 2019 
ordinary   Options 
USD 0.05   Put          Purchased    -5,200      60.0000   American  17 Jan 2020 
ordinary   Options 
USD 0.05   Put          Purchased    -2,000      68.0000   American  20 Dec 2019 
ordinary   Options 
USD 0.05   Put          Purchased    -1,800      80.0000   American  18 Jan 2019 
ordinary   Options 
USD 0.05   Put          Purchased    -1,100      65.0000   American  18 Jan 2019 
ordinary   Options 
USD 0.05   Put          Purchased    -1,000      70.0000   American  18 Jan 2019 
ordinary   Options 
USD 0.05   Put          Purchased    -600        78.0000   American  18 Jan 2019 
ordinary   Options 
USD 0.05   Put          Purchased    -500        45.0000   American  17 Jan 2020 
ordinary   Options 
USD 0.05   Put          Purchased    -100        80.0000   American  17 Jan 2020 
ordinary   Options 
USD 0.05   Put          Written      100         68.0000   American  18 Jan 2019 
ordinary   Options 
USD 0.05   Put          Written      100         73.0000   American  18 Jan 2019 
ordinary   Options 
USD 0.05   Put          Written      300         75.0000   American  18 Jan 2019 
ordinary   Options 
USD 0.05   Put          Written      300         90.0000   American  18 Jan 2019 
ordinary   Options 
USD 0.05   Put          Written      400         50.0000   American  18 Jan 2019 
ordinary   Options 
USD 0.05   Put          Written      1,700       60.0000   American  18 Jan 2019 
ordinary   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.

View source version on businesswire.com: https://www.businesswire.com/news/home/20181228005091/en/

 
This information is provided by Business Wire 
 
 

(END) Dow Jones Newswires

December 28, 2018 06:58 ET (11:58 GMT)