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Form 8 (DD) - Barrick Gold Corporation

9th Oct 2018 12:02

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 CORP
relevant securities this form relates:
(d) Status of person making the disclosure: CONNECTED TO THE OFFEREE
(e) Date position held/dealing undertaken: 08 October 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: 1,442,658 0.12% 600 0.00%
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 677,700 0.06% 3,427,700 0.29%
TOTAL: 2,120,358 0.18% 3,428,300 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 100 11.1950 USD
Ordinary NPV Purchase 346 11.3500 USD
Ordinary NPV Purchase 400 11.1625 USD
Ordinary NPV Purchase 534 11.2100 USD
Ordinary NPV Purchase 810 11.2141 USD
Ordinary NPV Purchase 900 11.1300 USD
Ordinary NPV Purchase 1,100 11.1850 USD
Ordinary NPV Purchase 1,200 11.1969 USD
Ordinary NPV Purchase 1,200 11.2383 USD
Ordinary NPV Purchase 1,800 11.3861 USD
Ordinary NPV Purchase 2,000 11.1980 USD
Ordinary NPV Purchase 2,163 11.4100 USD
Ordinary NPV Purchase 3,300 11.2330 USD
Ordinary NPV Purchase 3,800 11.3747 USD
Ordinary NPV Purchase 4,500 11.1315 USD
Ordinary NPV Purchase 6,600 11.1522 USD
Ordinary NPV Purchase 7,200 11.3550 USD
Ordinary NPV Purchase 7,700 11.1410 USD
Ordinary NPV Purchase 9,200 11.1495 USD
Ordinary NPV Purchase 9,600 11.3006 USD
Ordinary NPV Purchase 12,260 11.3866 USD
Ordinary NPV Purchase 14,732 11.2096 USD
Ordinary NPV Purchase 25,600 11.1933 USD
Ordinary NPV Purchase 32,504 11.1587 USD
Ordinary NPV Purchase 34,700 11.2985 USD
Ordinary NPV Purchase 35,800 11.2478 USD
Ordinary NPV Purchase 38,100 11.3240 USD
Ordinary NPV Purchase 55,200 11.2312 USD
Ordinary NPV Purchase 75,500 11.1656 USD
Ordinary NPV Purchase 97,000 11.2536 USD
Ordinary NPV Purchase 200,000 11.2067 USD
Ordinary NPV Sale 200 11.1750 USD
Ordinary NPV Sale 200 11.2050 USD
Ordinary NPV Sale 400 11.2500 USD
Ordinary NPV Sale 600 11.3950 USD
Ordinary NPV Sale 800 11.2212 USD
Ordinary NPV Sale 800 11.3512 USD
Ordinary NPV Sale 900 11.1300 USD
Ordinary NPV Sale 1,100 11.3927 USD
Ordinary NPV Sale 1,200 11.2383 USD
Ordinary NPV Sale 1,474 11.4100 USD
Ordinary NPV Sale 1,785 11.2516 USD
Ordinary NPV Sale 1,800 11.3861 USD
Ordinary NPV Sale 2,600 11.1709 USD
Ordinary NPV Sale 2,800 11.3196 USD
Ordinary NPV Sale 3,979 11.2177 USD
Ordinary NPV Sale 4,400 11.1810 USD
Ordinary NPV Sale 4,515 11.2134 USD
Ordinary NPV Sale 4,555 11.3859 USD
Ordinary NPV Sale 5,070 11.1513 USD
Ordinary NPV Sale 7,446 11.3549 USD
Ordinary NPV Sale 7,890 11.2167 USD
Ordinary NPV Sale 8,200 11.1880 USD
Ordinary NPV Sale 8,800 11.2014 USD
Ordinary NPV Sale 11,100 11.2186 USD
Ordinary NPV Sale 17,496 11.2085 USD
Ordinary NPV Sale 30,000 11.1934 USD
Ordinary NPV Sale 31,525 11.1964 USD
Ordinary NPV Sale 35,100 11.2920 USD
Ordinary NPV Sale 38,100 11.3240 USD
Ordinary NPV Sale 38,300 11.2774 USD
Ordinary NPV Sale 47,344 11.1890 USD
Ordinary NPV Sale 49,800 11.2470 USD
Ordinary NPV Sale 54,089 11.1562 USD
Ordinary NPV Sale 56,434 11.2847 USD
Ordinary NPV Sale 64,400 11.2447 USD
Ordinary NPV Sale 70,602 11.1645 USD
Ordinary NPV Sale 81,600 11.2196 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 200 9 USD American 18 Jan 2019 2.4400 USD
Ordinary NPV Call Options Purchasing 5,000 10 USD American 18 Jan 2019 1.6500 USD
Ordinary NPV Call Options Purchasing 100 10 USD American 18 Apr 2019 1.8000 USD
Ordinary NPV Call Options Purchasing 700 10 USD American 17 Jan 2020 2.3228 USD
Ordinary NPV Call Options Selling 3,900 10 USD American 12 Oct 2018 1.2500 USD
Ordinary NPV Call Options Selling 900 10 USD American 2 Nov 2018 1.3300 USD
Ordinary NPV Call Options Selling 5,400 12 USD American 12 Oct 2018 0.0200 USD
Ordinary NPV Call Options Selling 100 12 USD American 19 Oct 2018 0.1000 USD
Ordinary NPV Call Options Selling 500 12 USD American 18 Jan 2019 0.4900 USD
Ordinary NPV Call Options Selling 900 25 USD American 17 Jan 2020 0.2000 USD
Ordinary NPV Put Options Purchasing 400 11 USD American 19 Oct 2018 0.1900 USD
Ordinary NPV Put Options Selling 100 20 USD American 18 Jan 2019 8.7700 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: 9 Oct 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.

143221.01

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 CORP
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 10.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 100 10.0000 American 16 Nov 2018
Ordinary NPV Call Options Purchased 100 18.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 100 11.0000 American 2 Nov 2018
Ordinary NPV Call Options Purchased 100 6.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 100 13.0000 American 26 Oct 2018
Ordinary NPV Call Options Purchased 200 15.0000 American 15 Jan 2021
Ordinary NPV Call Options Purchased 300 20.0000 American 15 Jan 2021
Ordinary NPV Call Options Purchased 600 12.0000 American 26 Oct 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 1,400 11.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 1,600 13.0000 American 16 Nov 2018
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 8.0000 American 17 Jan 2020
Ordinary NPV Call Options Purchased 2,100 12.0000 American 2 Nov 2018
Ordinary NPV Call Options Purchased 4,700 12.0000 American 16 Nov 2018
Ordinary NPV Call Options Purchased 9,700 9.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 21,100 10.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 31,500 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 Purchased 207,600 11.0000 American 9 Nov 2018
Ordinary NPV Call Options Written -278,000 15.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -258,600 20.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -182,300 17.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -134,300 13.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -132,100 16.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -123,900 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 -80,800 30.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -59,700 12.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -56,900 11.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -55,500 22.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -51,800 14.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -47,500 25.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -44,100 35.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -33,700 13.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -26,900 15.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -21,300 10.0000 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 -16,100 11.0000 American 16 Nov 2018
Ordinary NPV Call Options Written -15,600 37.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -14,600 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 -6,400 14.0000 American 16 Nov 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 -5,600 10.0000 American 12 Oct 2018
Ordinary NPV Call Options Written -5,400 12.0000 American 12 Oct 2018
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 11.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -4,700 24.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -3,200 15.0000 American 16 Nov 2018
Ordinary NPV Call Options Written -3,000 21.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -2,000 8.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -1,900 12.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -1,700 12.0000 American 18 Apr 2019
Ordinary NPV Call Options Written -1,000 10.0000 American 2 Nov 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 -200 17.0000 American 18 Apr 2019
Ordinary NPV Call Options Written -100 21.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -100 12.0000 American 15 Jan 2021
Ordinary NPV Put Options Purchased -518,000 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 -10,700 11.0000 American 18 Apr 2019
Ordinary NPV Put Options Purchased -10,000 13.0000 American 16 Nov 2018
Ordinary NPV Put Options Purchased -9,000 11.0000 American 18 Jan 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 -2,600 10.0000 American 26 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 -1,200 12.0000 American 26 Oct 2018
Ordinary NPV Put Options Purchased -800 14.0000 American 18 Jan 2019
Ordinary NPV Put Options Purchased -800 13.0000 American 19 Oct 2018
Ordinary NPV Put Options Purchased -700 11.0000 American 26 Oct 2018
Ordinary NPV Put Options Purchased -300 8.0000 American 15 Jan 2021
Ordinary NPV Put Options Purchased -200 9.0000 American 16 Nov 2018
Ordinary NPV Put Options Purchased -100 12.0000 American 12 Oct 2018
Ordinary NPV Put Options Written 100 20.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 100 10.0000 American 12 Oct 2018
Ordinary NPV Put Options Written 200 15.0000 American 19 Oct 2018
Ordinary NPV Put Options Written 200 10.0000 American 16 Nov 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 19 Oct 2018
Ordinary NPV Put Options Written 700 16.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 3,100 11.0000 American 12 Oct 2018
Ordinary NPV Put Options Written 3,700 14.0000 American 19 Oct 2018
Ordinary NPV Put Options Written 13,100 11.0000 American 19 Oct 2018
Ordinary NPV Put Options Written 19,200 15.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 21,600 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 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/20181009005580/en/

Copyright Business Wire 2018

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