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Form 8 (DD) - BARRICK GOLD CORPORATION

28th Sep 2018 11:06

FORM 8 (DD)

PUBLIC DEALING DISCLOSURE BY A PARTY TO AN OFFER OR PERSON ACTING IN CONCERT (INCLUDING DEALINGS FOR THE ACCOUNT OF DISCRETIONARY INVESTMENT CLIENTS)

Rules 8.1, 8.2 and 8.4 of the Takeover Code (the “Code”)

1. KEY INFORMATION

(a) Full name of discloser: Barclays PLC.
(b) Owner or controller of interest and short
positions disclosed, if different from 1(a):
(c) Name of offeror/offeree in relation to whose BARRICK GOLD CORPORATION
relevant securities this form relates:
(d) Status of person making the disclosure: CONNECTED TO THE OFFEREE
(e) Date position held/dealing undertaken: 27 September 2018
(f) In addition to the company in 1(c) above, is the discloser making NO
disclosures in respect of any other party to the offer?

2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE

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(c), 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

Class of relevant security: Ordinary NPV
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 1,219,376 0.10% 0 0.00%
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 472,500 0.04% 3,401,400 0.29%
(4)
TOTAL: 1,691,876 0.14% 3,401,400 0.29%

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).

Details of any securities borrowing and lending positions or financial collateral arrangements should be disclosed on a Supplemental Form 8 (SBL).

(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 BY THE PERSON MAKING THE DISCLOSURE

Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(c), 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

(i) Party to an offer or person acting in concert (except for a principal trader in the same group as a connected adviser)

Class of relevant Purchase/sale Number of Price per unit
security securities
Ordinary NPV Purchase 38 11.1800 USD
Ordinary NPV Purchase 200 11.1150 USD
Ordinary NPV Purchase 200 10.7500 USD
Ordinary NPV Purchase 300 10.7600 USD
Ordinary NPV Purchase 300 10.7666 USD
Ordinary NPV Purchase 300 10.8466 USD
Ordinary NPV Purchase 400 10.8550 USD
Ordinary NPV Purchase 500 10.7660 USD
Ordinary NPV Purchase 600 10.8500 USD
Ordinary NPV Purchase 700 10.8014 USD
Ordinary NPV Purchase 1,100 10.9972 USD
Ordinary NPV Purchase 1,200 11.0400 USD
Ordinary NPV Purchase 1,300 10.7553 USD
Ordinary NPV Purchase 1,400 11.1392 USD
Ordinary NPV Purchase 1,657 10.9493 USD
Ordinary NPV Purchase 1,700 10.7700 USD
Ordinary NPV Purchase 3,400 11.0380 USD
Ordinary NPV Purchase 5,100 10.9150 USD
Ordinary NPV Purchase 5,586 11.1796 USD
Ordinary NPV Purchase 6,600 11.2160 USD
Ordinary NPV Purchase 7,100 11.1798 USD
Ordinary NPV Purchase 10,000 10.9826 USD
Ordinary NPV Purchase 10,900 11.0075 USD
Ordinary NPV Purchase 13,461 11.0507 USD
Ordinary NPV Purchase 14,637 11.1522 USD
Ordinary NPV Purchase 18,284 11.0355 USD
Ordinary NPV Purchase 18,344 11.0290 USD
Ordinary NPV Purchase 19,863 11.0211 USD
Ordinary NPV Purchase 20,200 11.1789 USD
Ordinary NPV Purchase 25,757 11.1183 USD
Ordinary NPV Purchase 38,700 10.8502 USD
Ordinary NPV Purchase 54,298 11.1149 USD
Ordinary NPV Purchase 95,344 11.1799 USD
Ordinary NPV Purchase 106,800 11.1421 USD
Ordinary NPV Purchase 131,732 11.1795 USD
Ordinary NPV Purchase 134,600 11.1128 USD
Ordinary NPV Purchase 235,500 11.1217 USD
Ordinary NPV Purchase 241,775 11.0961 USD
Ordinary NPV Purchase 262,012 11.1300 USD
Ordinary NPV Purchase 336,661 11.0149 USD
Ordinary NPV Sale 76 11.1400 USD
Ordinary NPV Sale 100 10.9200 USD
Ordinary NPV Sale 157 10.9786 USD
Ordinary NPV Sale 200 11.1150 USD
Ordinary NPV Sale 200 11.0200 USD
Ordinary NPV Sale 200 10.8600 USD
Ordinary NPV Sale 600 10.9316 USD
Ordinary NPV Sale 600 10.9600 USD
Ordinary NPV Sale 700 10.8500 USD
Ordinary NPV Sale 886 10.9855 USD
Ordinary NPV Sale 900 10.8544 USD
Ordinary NPV Sale 1,200 11.1987 USD
Ordinary NPV Sale 1,200 11.1550 USD
Ordinary NPV Sale 1,400 10.8464 USD
Ordinary NPV Sale 1,675 10.9817 USD
Ordinary NPV Sale 2,061 11.1600 USD
Ordinary NPV Sale 2,200 10.9800 USD
Ordinary NPV Sale 2,789 11.1409 USD
Ordinary NPV Sale 2,796 10.9321 USD
Ordinary NPV Sale 3,099 11.0718 USD
Ordinary NPV Sale 3,200 11.1771 USD
Ordinary NPV Sale 3,900 10.9808 USD
Ordinary NPV Sale 4,324 10.8400 USD
Ordinary NPV Sale 4,425 10.9850 USD
Ordinary NPV Sale 4,588 11.2201 USD
Ordinary NPV Sale 4,600 11.0385 USD
Ordinary NPV Sale 5,000 10.9150 USD
Ordinary NPV Sale 5,001 10.9647 USD
Ordinary NPV Sale 5,018 10.8466 USD
Ordinary NPV Sale 6,100 11.1245 USD
Ordinary NPV Sale 6,100 10.8098 USD
Ordinary NPV Sale 6,800 11.1644 USD
Ordinary NPV Sale 8,200 11.2044 USD
Ordinary NPV Sale 9,500 11.1330 USD
Ordinary NPV Sale 10,200 11.1288 USD
Ordinary NPV Sale 10,300 11.0926 USD
Ordinary NPV Sale 10,960 11.0856 USD
Ordinary NPV Sale 11,212 11.1355 USD
Ordinary NPV Sale 11,228 11.1211 USD
Ordinary NPV Sale 12,332 11.1338 USD
Ordinary NPV Sale 12,568 11.1510 USD
Ordinary NPV Sale 13,706 10.9985 USD
Ordinary NPV Sale 14,800 11.1641 USD
Ordinary NPV Sale 17,000 11.1792 USD
Ordinary NPV Sale 20,972 11.1385 USD
Ordinary NPV Sale 23,104 11.1270 USD
Ordinary NPV Sale 23,873 10.9712 USD
Ordinary NPV Sale 24,904 10.9790 USD
Ordinary NPV Sale 25,757 11.1183 USD
Ordinary NPV Sale 31,083 11.0851 USD
Ordinary NPV Sale 31,162 11.1094 USD
Ordinary NPV Sale 39,300 11.0341 USD
Ordinary NPV Sale 40,000 10.8502 USD
Ordinary NPV Sale 48,900 11.1290 USD
Ordinary NPV Sale 60,700 11.1489 USD
Ordinary NPV Sale 75,200 11.1228 USD
Ordinary NPV Sale 147,400 11.1202 USD
Ordinary NPV Sale 150,097 11.1300 USD
Ordinary NPV Sale 164,700 11.1135 USD
Ordinary NPV Sale 166,470 11.0130 USD
Ordinary NPV Sale 271,626 11.0700 USD

(ii) Principal trader where the sole reason for the connection is that the principal trader is in the same group as a connected adviser

Class of relevant security Purchases/ sales Total number of securities Highest price per unit paid/received Lowest price per unit paid/received

(b) Cash-settled derivative transactions

Class of relevant security Product description

e.g. CFD

Nature of dealing

e.g. opening/closing a long/short position, increasing/reducing a long/short position

Number of reference securities Price per unit

(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
Ordinary NPV Call Options Purchasing 300 10 USD American 12 Oct 2018 1.0700 USD
Ordinary NPV Call Options Purchasing 100 10 USD American 19 Oct 2018 1.2600 USD
Ordinary NPV Call Options Purchasing 100 11 USD American 5 Oct 2018 0.2400 USD
Ordinary NPV Call Options Purchasing 8,100 11 USD American 19 Oct 2018 0.4285 USD
Ordinary NPV Call Options Purchasing 5,000 12 USD American 5 Oct 2018 0.1200 USD
Ordinary NPV Call Options Selling 500 11 USD American 5 Oct 2018 0.3300 USD
Ordinary NPV Call Options Selling 3,000 12 USD American 5 Oct 2018 0.1100 USD
Ordinary NPV Call Options Selling 100 12 USD American 26 Oct 2018 0.1900 USD
Ordinary NPV Put Options Selling 2,600 10 USD American 19 Oct 2018 0.0400 USD
Ordinary NPV Put Options Selling 100 11 USD American 5 Oct 2018 0.0500 USD
Ordinary NPV Put Options Selling 1,200 11 USD American 16 Nov 2018 0.5600 USD

(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 party to the offer or person acting in concert making the disclosure and any other person:

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 party to the offer or person acting in concert 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

Are any Supplemental Forms attached?

Supplemental Form 8 (Open Positions) YES
Supplemental Form 8 (SBL) NO
Date of disclosure: 28 Sep 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 dealing 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 PLC.
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 Purchased 100 8.0000 American 5 Oct 2018
Ordinary NPV Call Options Purchased 100 12.0000 American 26 Oct 2018
Ordinary NPV Call Options Purchased 100 6.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 300 20.0000 American 15 Jan 2021
Ordinary NPV Call Options Purchased 500 12.0000 American 28 Sep 2018
Ordinary NPV Call Options Purchased 500 13.0000 American 16 Nov 2018
Ordinary NPV Call Options Purchased 800 11.0000 American 12 Oct 2018
Ordinary NPV Call Options Purchased 1,100 14.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 1,300 18.0000 American 19 Oct 2018
Ordinary NPV Call Options Purchased 1,300 10.0000 American 28 Sep 2018
Ordinary NPV Call Options Purchased 1,400 11.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 1,700 9.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 1,700 25.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 1,700 13.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 1,900 10.0000 American 5 Oct 2018
Ordinary NPV Call Options Purchased 1,900 8.0000 American 17 Jan 2020
Ordinary NPV Call Options Purchased 2,000 12.0000 American 2 Nov 2018
Ordinary NPV Call Options Purchased 2,000 12.0000 American 5 Oct 2018
Ordinary NPV Call Options Purchased 5,300 12.0000 American 16 Nov 2018
Ordinary NPV Call Options Purchased 6,000 11.0000 American 5 Oct 2018
Ordinary NPV Call Options Purchased 8,700 11.0000 American 28 Sep 2018
Ordinary NPV Call Options Purchased 13,200 10.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 14,100 10.0000 American 17 Jan 2020
Ordinary NPV Call Options Purchased 45,000 20.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 177,100 22.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -274,400 15.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -258,500 20.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -182,100 17.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -135,200 13.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -132,100 16.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -123,300 13.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -115,400 15.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -91,600 14.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -82,300 17.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -79,200 30.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -62,300 12.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -62,000 11.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -55,500 22.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -51,700 14.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -44,100 35.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -43,100 25.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -33,700 13.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -22,500 10.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -21,900 15.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -20,800 25.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -19,700 20.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -18,000 18.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -15,600 11.0000 American 16 Nov 2018
Ordinary NPV Call Options Written -15,600 37.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -14,400 15.0000 American 18 Apr 2019
Ordinary NPV Call Options Written -13,300 27.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -12,500 16.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -10,500 19.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -9,900 17.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -8,200 11.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -6,000 27.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -5,900 22.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -5,300 19.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -4,800 9.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -4,800 14.0000 American 16 Nov 2018
Ordinary NPV Call Options Written -4,700 24.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -4,000 12.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -3,000 21.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -2,700 12.0000 American 18 Apr 2019
Ordinary NPV Call Options Written -2,000 8.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -1,700 10.0000 American 12 Oct 2018
Ordinary NPV Call Options Written -700 26.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -500 11.0000 American 26 Oct 2018
Ordinary NPV Call Options Written -400 9.0000 American 16 Nov 2018
Ordinary NPV Call Options Written -300 10.0000 American 16 Nov 2018
Ordinary NPV Call Options Written -300 12.0000 American 5 Oct 2018
Ordinary NPV Call Options Written -200 11.0000 American 2 Nov 2018
Ordinary NPV Call Options Written -100 21.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -100 10.0000 American 2 Nov 2018
Ordinary NPV Put Options Purchased -509,100 12.0000 American 19 Oct 2018
Ordinary NPV Put Options Purchased -300,000 15.0000 American 18 Jan 2019
Ordinary NPV Put Options Purchased -160,200 9.0000 American 18 Apr 2019
Ordinary NPV Put Options Purchased -140,700 10.0000 American 17 Jan 2020
Ordinary NPV Put Options Purchased -74,600 10.0000 American 18 Jan 2019
Ordinary NPV Put Options Purchased -53,400 9.0000 American 18 Jan 2019
Ordinary NPV Put Options Purchased -27,100 13.0000 American 18 Jan 2019
Ordinary NPV Put Options Purchased -13,600 8.0000 American 18 Jan 2019
Ordinary NPV Put Options Purchased -10,000 13.0000 American 16 Nov 2018
Ordinary NPV Put Options Purchased -8,900 11.0000 American 18 Jan 2019
Ordinary NPV Put Options Purchased -5,900 11.0000 American 18 Apr 2019
Ordinary NPV Put Options Purchased -4,600 13.0000 American 17 Jan 2020
Ordinary NPV Put Options Purchased -2,800 20.0000 American 17 Jan 2020
Ordinary NPV Put Options Purchased -2,000 12.0000 American 5 Oct 2018
Ordinary NPV Put Options Purchased -1,900 8.0000 American 17 Jan 2020
Ordinary NPV Put Options Purchased -1,500 9.0000 American 19 Oct 2018
Ordinary NPV Put Options Purchased -1,500 10.0000 American 18 Apr 2019
Ordinary NPV Put Options Purchased -1,000 12.0000 American 28 Sep 2018
Ordinary NPV Put Options Purchased -1,000 11.0000 American 5 Oct 2018
Ordinary NPV Put Options Purchased -1,000 11.0000 American 12 Oct 2018
Ordinary NPV Put Options Purchased -800 13.0000 American 19 Oct 2018
Ordinary NPV Put Options Purchased -800 14.0000 American 18 Jan 2019
Ordinary NPV Put Options Purchased -600 9.0000 American 28 Sep 2018
Ordinary NPV Put Options Purchased -500 10.0000 American 28 Sep 2018
Ordinary NPV Put Options Purchased -400 10.0000 American 26 Oct 2018
Ordinary NPV Put Options Purchased -300 10.0000 American 5 Oct 2018
Ordinary NPV Put Options Purchased -300 8.0000 American 15 Jan 2021
Ordinary NPV Put Options Written 100 11.0000 American 5 Oct 2018
Ordinary NPV Put Options Written 100 10.0000 American 12 Oct 2018
Ordinary NPV Put Options Written 200 10.0000 American 16 Nov 2018
Ordinary NPV Put Options Written 200 15.0000 American 19 Oct 2018
Ordinary NPV Put Options Written 200 17.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 400 22.0000 American 17 Jan 2020
Ordinary NPV Put Options Written 600 8.0000 American 19 Oct 2018
Ordinary NPV Put Options Written 600 13.0000 American 28 Sep 2018
Ordinary NPV Put Options Written 600 5.0000 American 17 Jan 2020
Ordinary NPV Put Options Written 700 16.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 2,600 12.0000 American 28 Sep 2018
Ordinary NPV Put Options Written 3,700 14.0000 American 19 Oct 2018
Ordinary NPV Put Options Written 4,700 11.0000 American 28 Sep 2018
Ordinary NPV Put Options Written 19,200 15.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 21,100 15.0000 American 17 Jan 2020
Ordinary NPV Put Options Written 22,400 17.0000 American 17 Jan 2020
Ordinary NPV Put Options Written 25,500 10.0000 American 19 Oct 2018
Ordinary NPV Put Options Written 26,000 11.0000 American 19 Oct 2018
Ordinary NPV Put Options Written 53,800 12.0000 American 18 Jan 2019

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/20180928005153/en/

Copyright Business Wire 2018

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