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Form 8 (DD) - BARRICK GOLD CORPORATION

4th Dec 2018 11:37

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: 03 December 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: 1,134,653 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: 566,000 0.05% 2,443,800 0.21%
TOTAL: 1,700,653 0.15% 2,443,800 0.21%

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 45 12.7950 USD
Ordinary NPV Purchase 196 12.9500 USD
Ordinary NPV Purchase 300 12.7600 USD
Ordinary NPV Purchase 682 12.8943 USD
Ordinary NPV Purchase 700 12.8785 USD
Ordinary NPV Purchase 1,000 12.8480 USD
Ordinary NPV Purchase 1,200 12.9975 USD
Ordinary NPV Purchase 1,200 12.9004 USD
Ordinary NPV Purchase 1,600 12.7862 USD
Ordinary NPV Purchase 2,000 12.9350 USD
Ordinary NPV Purchase 2,800 12.9385 USD
Ordinary NPV Purchase 3,000 12.9570 USD
Ordinary NPV Purchase 4,500 12.9251 USD
Ordinary NPV Purchase 5,800 12.8784 USD
Ordinary NPV Purchase 6,900 12.8718 USD
Ordinary NPV Purchase 7,273 12.8434 USD
Ordinary NPV Purchase 7,930 12.9007 USD
Ordinary NPV Purchase 9,770 12.8208 USD
Ordinary NPV Purchase 10,000 12.8705 USD
Ordinary NPV Purchase 13,889 12.9900 USD
Ordinary NPV Purchase 16,200 12.9080 USD
Ordinary NPV Purchase 18,445 12.9677 USD
Ordinary NPV Purchase 19,733 12.9188 USD
Ordinary NPV Purchase 25,832 12.9367 USD
Ordinary NPV Purchase 41,150 12.8475 USD
Ordinary NPV Purchase 65,500 12.9203 USD
Ordinary NPV Purchase 91,400 12.9122 USD
Ordinary NPV Purchase 96,545 12.9178 USD
Ordinary NPV Sale 45 12.7950 USD
Ordinary NPV Sale 100 12.7500 USD
Ordinary NPV Sale 100 13.0000 USD
Ordinary NPV Sale 100 13.0050 USD
Ordinary NPV Sale 196 12.9500 USD
Ordinary NPV Sale 400 12.8100 USD
Ordinary NPV Sale 400 12.9200 USD
Ordinary NPV Sale 700 12.8321 USD
Ordinary NPV Sale 700 12.9600 USD
Ordinary NPV Sale 700 12.9300 USD
Ordinary NPV Sale 800 12.8775 USD
Ordinary NPV Sale 900 12.8466 USD
Ordinary NPV Sale 1,200 12.9975 USD
Ordinary NPV Sale 1,335 12.8928 USD
Ordinary NPV Sale 1,500 12.9893 USD
Ordinary NPV Sale 1,600 12.9346 USD
Ordinary NPV Sale 1,998 12.9209 USD
Ordinary NPV Sale 2,100 12.8519 USD
Ordinary NPV Sale 2,300 12.8706 USD
Ordinary NPV Sale 7,400 12.9168 USD
Ordinary NPV Sale 9,600 12.9735 USD
Ordinary NPV Sale 9,700 12.9353 USD
Ordinary NPV Sale 10,332 12.9091 USD
Ordinary NPV Sale 10,600 12.9382 USD
Ordinary NPV Sale 13,889 12.9900 USD
Ordinary NPV Sale 23,862 12.9432 USD
Ordinary NPV Sale 28,500 12.9456 USD
Ordinary NPV Sale 32,183 12.9226 USD
Ordinary NPV Sale 35,700 12.9242 USD
Ordinary NPV Sale 41,800 12.8875 USD
Ordinary NPV Sale 49,900 12.9338 USD
Ordinary NPV Sale 53,600 12.9066 USD
Ordinary NPV Sale 55,100 12.8926 USD
Ordinary NPV Sale 57,750 12.8388 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 1,000 12 USD American 18 Jan 2019 1.0500 USD
Ordinary NPV Call Options Purchasing 3,100 13 USD American 7 Dec 2018 0.1706 USD
Ordinary NPV Call Options Purchasing 1,200 13 USD American 7 Dec 2018 0.4100 USD
Ordinary NPV Call Options Purchasing 10,500 13 USD American 14 Dec 2018 0.2847 USD
Ordinary NPV Call Options Purchasing 200 13 USD American 21 Dec 2018 0.6400 USD
Ordinary NPV Call Options Purchasing 3,000 15 USD American 18 Jan 2019 0.0900 USD
Ordinary NPV Call Options Selling 1,000 14 USD American 7 Dec 2018 0.0300 USD
Ordinary NPV Put Options Purchasing 1,000 13 USD American 14 Dec 2018 0.4300 USD
Ordinary NPV Put Options Purchasing 1,100 13 USD American 21 Dec 2018 0.5200 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: 4 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 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 13.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 100 10.0000 American 15 Feb 2019
Ordinary NPV Call Options Purchased 100 11.0000 American 21 Dec 2018
Ordinary NPV Call Options Purchased 200 13.0000 American 21 Dec 2018
Ordinary NPV Call Options Purchased 200 16.0000 American 21 Dec 2018
Ordinary NPV Call Options Purchased 200 20.0000 American 15 Jan 2021
Ordinary NPV Call Options Purchased 400 15.0000 American 15 Jan 2021
Ordinary NPV Call Options Purchased 500 14.0000 American 19 Jul 2019
Ordinary NPV Call Options Purchased 1,000 14.0000 American 14 Dec 2018
Ordinary NPV Call Options Purchased 1,200 13.0000 American 7 Dec 2018
Ordinary NPV Call Options Purchased 1,700 25.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 1,900 11.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 1,900 8.0000 American 17 Jan 2020
Ordinary NPV Call Options Purchased 3,700 18.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 5,000 15.0000 American 14 Dec 2018
Ordinary NPV Call Options Purchased 7,600 14.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 11,000 13.0000 American 14 Dec 2018
Ordinary NPV Call Options Purchased 11,500 35.0000 American 17 Jan 2020
Ordinary NPV Call Options Purchased 15,200 16.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 19,200 17.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 32,100 10.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 37,800 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 -283,400 15.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -256,200 20.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -162,500 17.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -114,700 16.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -95,700 13.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -94,000 15.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -80,800 30.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -65,400 17.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -60,700 22.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -54,500 12.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -46,500 11.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -44,100 35.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -34,200 25.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -22,600 13.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -20,800 25.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -19,200 14.0000 American 21 Dec 2018
Ordinary NPV Call Options Written -17,500 15.0000 American 21 Dec 2018
Ordinary NPV Call Options Written -16,700 20.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -15,600 37.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -14,300 15.0000 American 18 Apr 2019
Ordinary NPV Call Options Written -13,300 27.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -12,100 10.0000 American 18 Apr 2019
Ordinary NPV Call Options Written -11,200 18.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -10,200 14.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -9,400 19.0000 American 18 Apr 2019
Ordinary NPV Call Options Written -7,800 22.0000 American 18 Apr 2019
Ordinary NPV Call Options Written -7,200 13.0000 American 7 Dec 2018
Ordinary NPV Call Options Written -6,000 14.0000 American 14 Dec 2018
Ordinary NPV Call Options Written -5,900 27.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -5,300 12.0000 American 18 Apr 2019
Ordinary NPV Call Options Written -5,300 19.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -4,800 21.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -4,700 24.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -4,100 25.0000 American 18 Apr 2019
Ordinary NPV Call Options Written -3,800 21.0000 American 18 Apr 2019
Ordinary NPV Call Options Written -3,500 22.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -3,100 13.0000 American 21 Dec 2018
Ordinary NPV Call Options Written -2,100 20.0000 American 18 Apr 2019
Ordinary NPV Call Options Written -1,800 17.0000 American 21 Dec 2018
Ordinary NPV Call Options Written -1,300 8.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -1,200 12.0000 American 21 Dec 2018
Ordinary NPV Call Options Written -1,000 10.0000 American 15 Jan 2021
Ordinary NPV Call Options Written -700 26.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -700 15.0000 American 7 Dec 2018
Ordinary NPV Call Options Written -700 14.0000 American 7 Dec 2018
Ordinary NPV Call Options Written -300 10.0000 American 14 Dec 2018
Ordinary NPV Call Options Written -100 17.0000 American 19 Jul 2019
Ordinary NPV Call Options Written -100 9.0000 American 18 Apr 2019
Ordinary NPV Call Options Written -100 12.0000 American 15 Jan 2021
Ordinary NPV Put Options Purchased -300,000 15.0000 American 18 Jan 2019
Ordinary NPV Put Options Purchased -155,100 9.0000 American 18 Apr 2019
Ordinary NPV Put Options Purchased -137,700 10.0000 American 17 Jan 2020
Ordinary NPV Put Options Purchased -72,700 10.0000 American 18 Jan 2019
Ordinary NPV Put Options Purchased -53,400 9.0000 American 18 Jan 2019
Ordinary NPV Put Options Purchased -32,400 13.0000 American 18 Jan 2019
Ordinary NPV Put Options Purchased -13,600 8.0000 American 18 Jan 2019
Ordinary NPV Put Options Purchased -9,200 11.0000 American 18 Apr 2019
Ordinary NPV Put Options Purchased -5,900 13.0000 American 21 Dec 2018
Ordinary NPV Put Options Purchased -4,800 13.0000 American 17 Jan 2020
Ordinary NPV Put Options Purchased -2,800 20.0000 American 17 Jan 2020
Ordinary NPV Put Options Purchased -2,800 13.0000 American 7 Dec 2018
Ordinary NPV Put Options Purchased -2,600 13.0000 American 14 Dec 2018
Ordinary NPV Put Options Purchased -1,900 8.0000 American 17 Jan 2020
Ordinary NPV Put Options Purchased -700 14.0000 American 14 Dec 2018
Ordinary NPV Put Options Purchased -500 11.0000 American 7 Dec 2018
Ordinary NPV Put Options Purchased -300 8.0000 American 15 Jan 2021
Ordinary NPV Put Options Purchased -100 14.0000 American 21 Dec 2018
Ordinary NPV Put Options Purchased -100 12.0000 American 15 Feb 2019
Ordinary NPV Put Options Written 100 12.0000 American 15 Jan 2021
Ordinary NPV Put Options Written 100 12.0000 American 7 Dec 2018
Ordinary NPV Put Options Written 200 19.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 300 14.0000 American 28 Dec 2018
Ordinary NPV Put Options Written 400 22.0000 American 17 Jan 2020
Ordinary NPV Put Options Written 400 17.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 600 5.0000 American 17 Jan 2020
Ordinary NPV Put Options Written 600 8.0000 American 18 Apr 2019
Ordinary NPV Put Options Written 600 7.0000 American 18 Apr 2019
Ordinary NPV Put Options Written 700 16.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 700 14.0000 American 21 Dec 2018
Ordinary NPV Put Options Written 800 13.0000 American 18 Apr 2019
Ordinary NPV Put Options Written 800 14.0000 American 18 Apr 2019
Ordinary NPV Put Options Written 1,000 15.0000 American 21 Dec 2018
Ordinary NPV Put Options Written 1,000 10.0000 American 21 Dec 2018
Ordinary NPV Put Options Written 1,100 20.0000 American 15 Jan 2021
Ordinary NPV Put Options Written 1,300 13.0000 American 28 Dec 2018
Ordinary NPV Put Options Written 1,300 15.0000 American 28 Dec 2018
Ordinary NPV Put Options Written 1,400 14.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 2,000 14.0000 American 7 Dec 2018
Ordinary NPV Put Options Written 2,600 20.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 3,600 11.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 4,400 12.0000 American 21 Dec 2018
Ordinary NPV Put Options Written 4,900 10.0000 American 18 Apr 2019
Ordinary NPV Put Options Written 5,000 15.0000 American 15 Jan 2021
Ordinary NPV Put Options Written 6,800 12.0000 American 18 Apr 2019
Ordinary NPV Put Options Written 19,200 15.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 22,600 17.0000 American 17 Jan 2020
Ordinary NPV Put Options Written 37,300 15.0000 American 17 Jan 2020
Ordinary NPV Put Options Written 69,500 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/20181204005519/en/

Copyright Business Wire 2018

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