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FORM 8 (DD) - BARRICK GOLD CORPORATION

17th Oct 2018 11:34

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: 16 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: 1,421,778 0.12% 42,600 0.00%
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 885,600 0.08% 3,276,200 0.28%
(4)
TOTAL: 2,307,378 0.20% 3,318,800 0.28%

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 12.6600 USD
Ordinary NPV Purchase 100 12.8000 USD
Ordinary NPV Purchase 200 12.7400 USD
Ordinary NPV Purchase 300 12.7116 USD
Ordinary NPV Purchase 300 12.7800 USD
Ordinary NPV Purchase 500 12.8360 USD
Ordinary NPV Purchase 500 12.7960 USD
Ordinary NPV Purchase 500 12.7870 USD
Ordinary NPV Purchase 617 12.7836 USD
Ordinary NPV Purchase 846 12.8256 USD
Ordinary NPV Purchase 936 12.8300 USD
Ordinary NPV Purchase 1,000 12.6990 USD
Ordinary NPV Purchase 1,100 12.7659 USD
Ordinary NPV Purchase 1,200 12.7600 USD
Ordinary NPV Purchase 2,100 12.8280 USD
Ordinary NPV Purchase 2,300 12.8447 USD
Ordinary NPV Purchase 2,500 12.7864 USD
Ordinary NPV Purchase 2,700 12.8511 USD
Ordinary NPV Purchase 3,622 12.6949 USD
Ordinary NPV Purchase 5,487 12.7443 USD
Ordinary NPV Purchase 7,500 12.8142 USD
Ordinary NPV Purchase 8,900 12.6684 USD
Ordinary NPV Purchase 9,124 12.8776 USD
Ordinary NPV Purchase 9,844 12.7393 USD
Ordinary NPV Purchase 14,590 12.6945 USD
Ordinary NPV Purchase 16,050 12.7254 USD
Ordinary NPV Purchase 17,200 12.7419 USD
Ordinary NPV Purchase 56,794 12.7936 USD
Ordinary NPV Purchase 57,900 12.7491 USD
Ordinary NPV Purchase 90,523 12.7112 USD
Ordinary NPV Purchase 156,685 12.7289 USD
Ordinary NPV Purchase 164,112 12.7888 USD
Ordinary NPV Purchase 177,200 12.7251 USD
Ordinary NPV Sale 22 12.6900 USD
Ordinary NPV Sale 55 12.7200 USD
Ordinary NPV Sale 100 12.7000 USD
Ordinary NPV Sale 200 12.7325 USD
Ordinary NPV Sale 206 12.7500 USD
Ordinary NPV Sale 900 12.8000 USD
Ordinary NPV Sale 1,600 12.6918 USD
Ordinary NPV Sale 1,800 12.6972 USD
Ordinary NPV Sale 2,100 12.7152 USD
Ordinary NPV Sale 2,100 12.7071 USD
Ordinary NPV Sale 2,700 12.6640 USD
Ordinary NPV Sale 3,200 12.7146 USD
Ordinary NPV Sale 3,300 12.7133 USD
Ordinary NPV Sale 3,600 12.6950 USD
Ordinary NPV Sale 5,384 12.7788 USD
Ordinary NPV Sale 5,752 12.6235 USD
Ordinary NPV Sale 6,317 12.7764 USD
Ordinary NPV Sale 6,800 12.7382 USD
Ordinary NPV Sale 7,200 12.7080 USD
Ordinary NPV Sale 8,085 12.6942 USD
Ordinary NPV Sale 10,699 12.7821 USD
Ordinary NPV Sale 11,900 12.6848 USD
Ordinary NPV Sale 12,594 12.7244 USD
Ordinary NPV Sale 15,834 12.7777 USD
Ordinary NPV Sale 22,200 12.7725 USD
Ordinary NPV Sale 24,650 12.7254 USD
Ordinary NPV Sale 31,300 12.7053 USD
Ordinary NPV Sale 31,398 12.7700 USD
Ordinary NPV Sale 32,000 12.7437 USD
Ordinary NPV Sale 32,267 12.8136 USD
Ordinary NPV Sale 33,000 12.7672 USD
Ordinary NPV Sale 33,075 12.7296 USD
Ordinary NPV Sale 35,500 12.7553 USD
Ordinary NPV Sale 37,825 12.7285 USD
Ordinary NPV Sale 52,000 12.7363 USD
Ordinary NPV Sale 59,159 12.7988 USD
Ordinary NPV Sale 62,500 12.8268 USD
Ordinary NPV Sale 63,364 12.7449 USD
Ordinary NPV Sale 72,200 12.7234 USD
Ordinary NPV Sale 88,544 12.6927 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 10 USD American 19 Oct 2018 2.6500 USD
Ordinary NPV Call Options Purchasing 3,100 10 USD American 19 Oct 2018 2.7600 USD
Ordinary NPV Call Options Purchasing 3,800 12 USD American 19 Oct 2018 0.8628 USD
Ordinary NPV Call Options Purchasing 8,200 13 USD American 19 Oct 2018 0.1417 USD
Ordinary NPV Call Options Purchasing 300 13 USD American 26 Oct 2018 0.3300 USD
Ordinary NPV Call Options Purchasing 500 13 USD American 2 Nov 2018 0.3900 USD
Ordinary NPV Call Options Purchasing 300 14 USD American 18 Jan 2019 0.5500 USD
Ordinary NPV Call Options Purchasing 8,300 15 USD American 16 Nov 2018 0.1000 USD
Ordinary NPV Call Options Purchasing 3,600 18 USD American 18 Jan 2019 0.1000 USD
Ordinary NPV Call Options Selling 700 11 USD American 16 Nov 2018 1.8500 USD
Ordinary NPV Call Options Selling 2,500 14 USD American 19 Oct 2018 0.0300 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: 17 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.

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 6.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 100 18.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 100 13.0000 American 2 Nov 2018
Ordinary NPV Call Options Purchased 200 10.0000 American 18 Apr 2019
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 300 11.0000 American 23 Nov 2018
Ordinary NPV Call Options Purchased 300 11.0000 American 2 Nov 2018
Ordinary NPV Call Options Purchased 400 12.0000 American 9 Nov 2018
Ordinary NPV Call Options Purchased 500 14.0000 American 16 Nov 2018
Ordinary NPV Call Options Purchased 500 14.0000 American 2 Nov 2018
Ordinary NPV Call Options Purchased 600 13.0000 American 23 Nov 2018
Ordinary NPV Call Options Purchased 600 16.0000 American 30 Nov 2018
Ordinary NPV Call Options Purchased 1,100 11.0000 American 16 Nov 2018
Ordinary NPV Call Options Purchased 1,200 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 12.0000 American 26 Oct 2018
Ordinary NPV Call Options Purchased 1,400 14.0000 American 30 Nov 2018
Ordinary NPV Call Options Purchased 1,600 10.0000 American 16 Nov 2018
Ordinary NPV Call Options Purchased 1,700 25.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 1,900 8.0000 American 17 Jan 2020
Ordinary NPV Call Options Purchased 2,100 13.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 2,300 12.0000 American 2 Nov 2018
Ordinary NPV Call Options Purchased 3,400 11.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 3,800 13.0000 American 26 Oct 2018
Ordinary NPV Call Options Purchased 5,000 16.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 8,400 15.0000 American 16 Nov 2018
Ordinary NPV Call Options Purchased 10,000 35.0000 American 17 Jan 2020
Ordinary NPV Call Options Purchased 10,800 13.0000 American 16 Nov 2018
Ordinary NPV Call Options Purchased 26,900 9.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 27,700 10.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 43,100 10.0000 American 17 Jan 2020
Ordinary NPV Call Options Purchased 45,000 20.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 48,000 12.0000 American 19 Oct 2018
Ordinary NPV Call Options Purchased 74,700 12.0000 American 16 Nov 2018
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 -272,000 15.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -258,600 20.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -160,800 17.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -132,100 13.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -131,700 16.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -111,000 15.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -91,000 14.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -83,100 13.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -80,800 30.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -70,200 17.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -59,000 12.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -56,700 14.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -55,500 22.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -47,700 11.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -44,100 35.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -36,700 25.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -26,900 15.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -20,800 25.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -19,600 20.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -19,200 13.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -15,600 37.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -14,900 10.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -14,700 15.0000 American 18 Apr 2019
Ordinary NPV Call Options Written -14,400 18.0000 American 18 Jan 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 12.0000 American 16 Nov 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 -5,900 27.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -5,300 19.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -5,000 18.0000 American 16 Nov 2018
Ordinary NPV Call Options Written -4,700 24.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -4,400 11.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -4,200 9.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -3,500 22.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -3,000 21.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -1,400 8.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -1,000 10.0000 American 2 Nov 2018
Ordinary NPV Call Options Written -900 11.0000 American 9 Nov 2018
Ordinary NPV Call Options Written -800 12.0000 American 18 Apr 2019
Ordinary NPV Call Options Written -700 26.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -400 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 12.0000 American 15 Jan 2021
Ordinary NPV Call Options Written -100 21.0000 American 19 Oct 2018
Ordinary NPV Put Options Purchased -518,300 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 -140,300 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 -5,100 13.0000 American 17 Jan 2020
Ordinary NPV Put Options Purchased -3,300 11.0000 American 16 Nov 2018
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 10.0000 American 18 Apr 2019
Ordinary NPV Put Options Purchased -1,500 9.0000 American 19 Oct 2018
Ordinary NPV Put Options Purchased -1,300 13.0000 American 19 Oct 2018
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 -700 12.0000 American 16 Nov 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 Written 100 20.0000 American 18 Jan 2019
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 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 8.0000 American 18 Apr 2019
Ordinary NPV Put Options Written 600 8.0000 American 19 Oct 2018
Ordinary NPV Put Options Written 600 5.0000 American 17 Jan 2020
Ordinary NPV Put Options Written 700 10.0000 American 30 Nov 2018
Ordinary NPV Put Options Written 700 16.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 800 12.0000 American 2 Nov 2018
Ordinary NPV Put Options Written 800 12.0000 American 9 Nov 2018
Ordinary NPV Put Options Written 1,000 14.0000 American 18 Apr 2019
Ordinary NPV Put Options Written 5,200 12.0000 American 18 Apr 2019
Ordinary NPV Put Options Written 5,700 14.0000 American 19 Oct 2018
Ordinary NPV Put Options Written 13,500 11.0000 American 19 Oct 2018
Ordinary NPV Put Options Written 19,200 15.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 22,400 17.0000 American 17 Jan 2020
Ordinary NPV Put Options Written 22,600 15.0000 American 17 Jan 2020
Ordinary NPV Put Options Written 25,500 10.0000 American 19 Oct 2018
Ordinary NPV Put Options Written 52,800 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/20181017005381/en/

Copyright Business Wire 2018

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