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Form 8 (DD) - BARRICK GOLD CORPORATION

2nd Oct 2018 12:17

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 interests and short positions disclosed, if different from 1(a):

The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.

(c) Name of offeror/offeree in relation to whose relevant securities this form relates:

Use a separate form for each offeror/offeree

BARRICK GOLD CORPORATION

(d) Status of person making the disclosure:

e.g. offeror, offeree, person acting in concert with the offeror/offeree (specify name of offeror/offeree)

CONNECTED TO THE OFFEREE

(e) Date dealing undertaken:

1 Oct 2018

(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer?

If it is a cash offer or possible cash offer, state “N/A”

NO

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: 1,458,986 0.13% 0 0.00%
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 443,300 0.04% 3,410,400 0.29%
(4)
TOTAL: 1,902,286 0.16% 3,410,400 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 400 11.1250 USD
Ordinary NPV Purchase 411 11.1310 USD
Ordinary NPV Purchase 800 11.1500 USD
Ordinary NPV Purchase 1,000 11.1480 USD
Ordinary NPV Purchase 2,100 11.1323 USD
Ordinary NPV Purchase 2,600 11.1707 USD
Ordinary NPV Purchase 3,200 11.1800 USD
Ordinary NPV Purchase 3,900 11.1633 USD
Ordinary NPV Purchase 5,000 11.1342 USD
Ordinary NPV Purchase 10,069 11.1400 USD
Ordinary NPV Purchase 15,400 11.1366 USD
Ordinary NPV Purchase 20,447 11.1788 USD
Ordinary NPV Purchase 50,100 11.1388 USD
Ordinary NPV Purchase 55,500 11.1103 USD
Ordinary NPV Purchase 56,300 11.1528 USD
Ordinary NPV Purchase 62,400 11.1415 USD
Ordinary NPV Purchase 88,001 11.1379 USD
Ordinary NPV Purchase 100,500 11.1443 USD
Ordinary NPV Purchase 122,800 11.1487 USD
Ordinary NPV Purchase 176,709 11.1106 USD
Ordinary NPV Sale 100 11.1700 USD
Ordinary NPV Sale 100 11.1300 USD
Ordinary NPV Sale 200 11.1600 USD
Ordinary NPV Sale 200 11.1200 USD
Ordinary NPV Sale 400 11.1475 USD
Ordinary NPV Sale 500 11.1550 USD
Ordinary NPV Sale 900 11.1250 USD
Ordinary NPV Sale 1,200 11.0991 USD
Ordinary NPV Sale 1,252 11.1331 USD
Ordinary NPV Sale 1,511 11.1385 USD
Ordinary NPV Sale 1,700 11.1111 USD
Ordinary NPV Sale 2,000 11.1215 USD
Ordinary NPV Sale 2,100 11.1323 USD
Ordinary NPV Sale 2,200 11.1536 USD
Ordinary NPV Sale 2,200 11.1554 USD
Ordinary NPV Sale 2,504 11.1087 USD
Ordinary NPV Sale 2,800 11.1800 USD
Ordinary NPV Sale 3,500 11.0958 USD
Ordinary NPV Sale 3,600 11.1165 USD
Ordinary NPV Sale 4,500 11.1277 USD
Ordinary NPV Sale 5,500 11.1100 USD
Ordinary NPV Sale 7,000 11.1092 USD
Ordinary NPV Sale 8,302 11.1810 USD
Ordinary NPV Sale 8,700 11.1124 USD
Ordinary NPV Sale 12,940 11.1117 USD
Ordinary NPV Sale 13,201 11.0998 USD
Ordinary NPV Sale 16,250 11.1362 USD
Ordinary NPV Sale 17,840 11.1104 USD
Ordinary NPV Sale 20,000 11.1803 USD
Ordinary NPV Sale 21,400 11.1102 USD
Ordinary NPV Sale 22,947 11.1066 USD
Ordinary NPV Sale 23,096 11.1154 USD
Ordinary NPV Sale 26,247 11.1781 USD
Ordinary NPV Sale 29,054 11.1106 USD
Ordinary NPV Sale 37,300 11.1420 USD
Ordinary NPV Sale 46,500 11.1444 USD
Ordinary NPV Sale 52,837 11.1477 USD
Ordinary NPV Sale 64,232 11.1400 USD
Ordinary NPV Sale 76,100 11.1492 USD
Ordinary NPV Sale 83,800 11.1515 USD
Ordinary NPV Sale 152,924 11.1206 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 12 USD American 5 Oct 2018 0.0500 USD
Ordinary NPV Call Options Purchasing 600 12 USD American 16 Nov 2018 0.2400 USD
Ordinary NPV Call Options Purchasing 500 13 USD American 16 Nov 2018 0.0900 USD
Ordinary NPV Call Options Selling 200 11 USD American 18 Jan 2019 0.8700 USD
Ordinary NPV Call Options Selling 600 12 USD American 16 Nov 2018 0.2500 USD
Ordinary NPV Call Options Selling 100 12 USD American 15 Jan 2021 2.0500 USD
Ordinary NPV Call Options Selling 100 20 USD American 18 Jan 2019 0.0300 USD
Ordinary NPV Put Options Purchasing 13,300 11 USD American 19 Oct 2018 0.2100 USD
Ordinary NPV Put Options Purchasing 200 12 USD American 26 Oct 2018 0.9500 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:

2 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.

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

Full name of person making disclosure:

Barclays PLC.

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

BARRICK GOLD CORPORATION

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 6.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 100 12.0000 American 26 Oct 2018
Ordinary NPV Call Options Purchased 100 8.0000 American 5 Oct 2018
Ordinary NPV Call Options Purchased 300 20.0000 American 15 Jan 2021
Ordinary NPV Call Options Purchased 800 11.0000 American 12 Oct 2018
Ordinary NPV Call Options Purchased 1,000 13.0000 American 16 Nov 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 1,700 9.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 1,700 13.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 1,700 25.0000 American 18 Jan 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 2,300 12.0000 American 5 Oct 2018
Ordinary NPV Call Options Purchased 4,200 11.0000 American 5 Oct 2018
Ordinary NPV Call Options Purchased 5,300 12.0000 American 16 Nov 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 -258,600 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 -62,200 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 -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 -14,400 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 -9,300 11.0000 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 -5,300 19.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -4,800 9.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -4,700 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 -500 17.0000 American 18 Apr 2019
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 12.0000 American 15 Jan 2021
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 -10,700 11.0000 American 18 Apr 2019
Ordinary NPV Put Options Purchased -10,000 13.0000 American 16 Nov 2018
Ordinary NPV Put Options Purchased -8,900 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 11.0000 American 5 Oct 2018
Ordinary NPV Put Options Purchased -2,400 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 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 -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 Purchased -200 12.0000 American 26 Oct 2018
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 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 3,700 14.0000 American 19 Oct 2018
Ordinary NPV Put Options Written 16,200 11.0000 American 19 Oct 2018
Ordinary NPV Put Options Written 19,200 15.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 21,100 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 53,800 12.0000 American 0 Jan 1900

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.

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/20181002005505/en/

Copyright Business Wire 2018

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