Barclays plc

11/08/2018 | Press release | Distributed by Public on 11/08/2018 04:42

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

LONDON--(BUSINESS WIRE)--

FORM 8.5 (EPT/NON-RI)

AMENDMENT TO SALES

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 SECURITIES LTD
(b) Name of offeror/offeree in relation to whose BARRICK GOLD CORPORATION
relevant securities this form relates:
(c) Name of the party to the offer with which exempt RANDGOLD RESOURCES LIMITED
principal trader is connected
(d) Date position held/dealing undertaken: 05 November 2018
(e) In addition to the company in 1(b) above, is the exempt principal YES:
trader making disclosures in respect of any other party to the offer? RANDGOLD RESOURCES LIMITED

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 relevant security: Ordinary NPV
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 176,151 0.02% 1,569,483 0.13%
(2) Cash-settled derivatives:
564,800 0.05% 24,607 0.00%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 6,880,000 0.59% 2,288,000 0.20%
TOTAL: 7,620,951 0.65% 3,882,090 0.33%

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 relevant Purchase/sale Total number of Highest price per unit Lowest price per unit
security securities paid/received paid/received
Ordinary NPV Purchase 3,229 11.6600 EUR 11.6026 EUR
Ordinary NPV Sale 885 17.3100 CAD 17.31 CAD
Ordinary NPV Sale 3,366 11.6600 EUR 11.5826 EUR

(b) Cash-settled derivative transactions

Class of Product Nature of dealing Number of Price per
relevant description reference unit
security securities
Ordinary NPV SWAP Long 63 11.5192 EUR
Ordinary NPV SWAP Long 137 11.5881 EUR

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

(i) Writing, selling, purchasing or varying

Class of relevant security 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

(ii) Exercise

Class of relevant security Product description

e.g. call option

Exercising/ exercised against Number of securities Exercise price per unit

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

Class of relevant security Nature of dealing

e.g. subscription, conversion

Details Price per unit (if applicable)

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 Positions) attached? YES
Date of disclosure: 8 Nov 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 +44 (0)20 7638 0129.

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 positions/dealings BARCLAYS CAPITAL SECURITIES LTD
are being disclosed:
Name of offeror/offeree in relation to whose BARRICK GOLD CORPORATION
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 NPV Call Options Written -429,000 17.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -429,000 17.0000 American 15 Jan 1919
Ordinary NPV Call Options Written -350,000 20.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -350,000 20.0000 American 16 Jan 1918
Ordinary NPV Call Options Written -240,000 17.0000 American 16 Jan 1918
Ordinary NPV Call Options Written -240,000 17.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -125,000 13.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -125,000 13.0000 American 16 Jan 1918
Ordinary NPV Put Options Written 50,000 17.0000 American 16 Jan 1918
Ordinary NPV Put Options Written 50,000 17.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 225,000 10.0000 American 16 Jan 1918
Ordinary NPV Put Options Written 225,000 10.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 695,000 10.0000 American 15 Jan 1919
Ordinary NPV Put Options Written 895,000 10.0000 American 17 Jan 2020
Ordinary NPV Put Options Written 2,370,000 13.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 2,370,000 13.0000 American 16 Jan 1918

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 +44 (0)20 7638 0129.

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/20181108005362/en/

BARCLAYS PLC

Source: BARCLAYS PLC