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Form 8 (DD) - BARRICK GOLD CORPORATION

27th Sep 2018 11:32

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: 26 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: 960,176 0.08% 0 0.00%
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 468,300 0.04% 3,411,100 0.29%
(4)
TOTAL: 1,428,476 0.12% 3,411,100 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 12 11.1100 USD
Ordinary NPV Purchase 60 11.2200 USD
Ordinary NPV Purchase 70 10.8350 USD
Ordinary NPV Purchase 100 11.0300 USD
Ordinary NPV Purchase 100 10.9200 USD
Ordinary NPV Purchase 300 10.9333 USD
Ordinary NPV Purchase 600 10.8300 USD
Ordinary NPV Purchase 725 10.8358 USD
Ordinary NPV Purchase 800 11.1668 USD
Ordinary NPV Purchase 2,100 11.0719 USD
Ordinary NPV Purchase 2,400 11.0350 USD
Ordinary NPV Purchase 2,400 10.8450 USD
Ordinary NPV Purchase 2,600 10.8726 USD
Ordinary NPV Purchase 3,700 11.0374 USD
Ordinary NPV Purchase 7,034 11.1091 USD
Ordinary NPV Purchase 8,100 10.8374 USD
Ordinary NPV Purchase 11,672 11.0885 USD
Ordinary NPV Purchase 13,564 11.0824 USD
Ordinary NPV Purchase 14,381 10.8790 USD
Ordinary NPV Purchase 16,869 10.9567 USD
Ordinary NPV Purchase 18,000 10.9806 USD
Ordinary NPV Purchase 22,518 11.0604 USD
Ordinary NPV Purchase 23,315 10.9497 USD
Ordinary NPV Purchase 27,500 11.1178 USD
Ordinary NPV Purchase 31,349 10.8858 USD
Ordinary NPV Purchase 37,017 11.0748 USD
Ordinary NPV Purchase 45,426 11.0809 USD
Ordinary NPV Purchase 46,300 11.0505 USD
Ordinary NPV Purchase 50,382 10.9792 USD
Ordinary NPV Purchase 60,600 10.8443 USD
Ordinary NPV Purchase 70,816 10.8633 USD
Ordinary NPV Purchase 77,400 10.9357 USD
Ordinary NPV Purchase 90,900 11.0910 USD
Ordinary NPV Purchase 116,940 10.8500 USD
Ordinary NPV Purchase 128,800 10.9620 USD
Ordinary NPV Purchase 135,900 11.0068 USD
Ordinary NPV Purchase 214,696 11.0386 USD
Ordinary NPV Purchase 233,434 10.9243 USD
Ordinary NPV Sale 60 11.2200 USD
Ordinary NPV Sale 200 11.1200 USD
Ordinary NPV Sale 200 11.0650 USD
Ordinary NPV Sale 300 10.8400 USD
Ordinary NPV Sale 300 10.9116 USD
Ordinary NPV Sale 400 10.8675 USD
Ordinary NPV Sale 400 11.1212 USD
Ordinary NPV Sale 500 11.0800 USD
Ordinary NPV Sale 600 11.1250 USD
Ordinary NPV Sale 608 11.1329 USD
Ordinary NPV Sale 700 11.0985 USD
Ordinary NPV Sale 1,200 11.0933 USD
Ordinary NPV Sale 1,200 10.9033 USD
Ordinary NPV Sale 1,400 10.8514 USD
Ordinary NPV Sale 1,400 11.1007 USD
Ordinary NPV Sale 1,500 11.0600 USD
Ordinary NPV Sale 1,700 10.8932 USD
Ordinary NPV Sale 1,712 11.1100 USD
Ordinary NPV Sale 1,800 10.8850 USD
Ordinary NPV Sale 2,100 10.8761 USD
Ordinary NPV Sale 2,100 10.8775 USD
Ordinary NPV Sale 2,200 10.8250 USD
Ordinary NPV Sale 2,400 11.1312 USD
Ordinary NPV Sale 2,620 10.9190 USD
Ordinary NPV Sale 2,900 10.9000 USD
Ordinary NPV Sale 3,019 11.1221 USD
Ordinary NPV Sale 3,200 11.1190 USD
Ordinary NPV Sale 3,536 11.1076 USD
Ordinary NPV Sale 3,881 11.0878 USD
Ordinary NPV Sale 3,900 11.1173 USD
Ordinary NPV Sale 4,000 11.0947 USD
Ordinary NPV Sale 4,225 11.1220 USD
Ordinary NPV Sale 4,400 11.0100 USD
Ordinary NPV Sale 4,435 11.0823 USD
Ordinary NPV Sale 4,500 11.1067 USD
Ordinary NPV Sale 5,169 11.1300 USD
Ordinary NPV Sale 5,209 10.8906 USD
Ordinary NPV Sale 5,630 11.1214 USD
Ordinary NPV Sale 5,656 10.8768 USD
Ordinary NPV Sale 6,000 11.1336 USD
Ordinary NPV Sale 6,123 11.0405 USD
Ordinary NPV Sale 6,500 10.9792 USD
Ordinary NPV Sale 6,700 11.0353 USD
Ordinary NPV Sale 7,500 11.1113 USD
Ordinary NPV Sale 7,500 10.8918 USD
Ordinary NPV Sale 8,200 11.0918 USD
Ordinary NPV Sale 8,300 11.0131 USD
Ordinary NPV Sale 8,770 10.8369 USD
Ordinary NPV Sale 9,200 11.1354 USD
Ordinary NPV Sale 9,800 11.0471 USD
Ordinary NPV Sale 10,484 11.1140 USD
Ordinary NPV Sale 12,645 11.1069 USD
Ordinary NPV Sale 47,614 10.8393 USD
Ordinary NPV Sale 54,300 10.9788 USD
Ordinary NPV Sale 60,246 10.8500 USD
Ordinary NPV Sale 66,872 10.8898 USD
Ordinary NPV Sale 74,436 11.0603 USD
Ordinary NPV Sale 74,872 11.0940 USD
Ordinary NPV Sale 79,600 11.0084 USD
Ordinary NPV Sale 79,900 11.0238 USD
Ordinary NPV Sale 127,400 10.9183 USD
Ordinary NPV Sale 311,929 11.0448 USD
Ordinary NPV Sale 384,685 10.9197 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 400 10 USD American 18 Jan 2019 1.3000 USD
Ordinary NPV Call Options Purchasing 600 11 USD American 12 Oct 2018 0.3600 USD
Ordinary NPV Call Options Purchasing 1,700 11 USD American 16 Nov 2018 0.6000 USD
Ordinary NPV Call Options Purchasing 5,000 12 USD American 19 Oct 2018 0.0700 USD
Ordinary NPV Call Options Purchasing 200 12 USD American 26 Oct 2018 0.1100 USD
Ordinary NPV Call Options Purchasing 200 12 USD American 16 Nov 2018 0.2100 USD
Ordinary NPV Call Options Selling 1,400 10 USD American 19 Oct 2018 0.9200 USD
Ordinary NPV Call Options Selling 500 11 USD American 5 Oct 2018 0.2600 USD
Ordinary NPV Call Options Selling 100 11 USD American 19 Oct 2018 0.4300 USD
Ordinary NPV Call Options Selling 200 12 USD American 5 Oct 2018 0.0400 USD
Ordinary NPV Call Options Selling 900 13 USD American 18 Jan 2019 0.2500 USD
Ordinary NPV Put Options Purchasing 4,400 11 USD American 28 Sep 2018 0.1856 USD
Ordinary NPV Put Options Purchasing 1,000 11 USD American 5 Oct 2018 0.1800 USD
Ordinary NPV Put Options Purchasing 800 11 USD American 12 Oct 2018 0.3600 USD
Ordinary NPV Put Options Purchasing 4,600 11 USD American 19 Oct 2018 0.3400 USD
Ordinary NPV Put Options Selling 200 12 USD American 19 Oct 2018 0.9600 USD
Ordinary NPV Put Options Selling 1,900 13 USD American 18 Jan 2019 2.0500 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: 27 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 6.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 200 12.0000 American 26 Oct 2018
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 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 5,300 12.0000 American 16 Nov 2018
Ordinary NPV Call Options Purchased 6,400 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 -22,600 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 -16,300 11.0000 American 19 Oct 2018
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 -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 14.0000 American 16 Nov 2018
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 10.0000 American 12 Oct 2018
Ordinary NPV Call Options Written -2,000 8.0000 American 18 Jan 2019
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 12.0000 American 5 Oct 2018
Ordinary NPV Call Options Written -300 10.0000 American 16 Nov 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 10.0000 American 18 Apr 2019
Ordinary NPV Put Options Purchased -1,500 9.0000 American 19 Oct 2018
Ordinary NPV Put Options Purchased -1,200 11.0000 American 16 Nov 2018
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 14.0000 American 18 Jan 2019
Ordinary NPV Put Options Purchased -800 13.0000 American 19 Oct 2018
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 10.0000 American 12 Oct 2018
Ordinary NPV Put Options Written 200 17.0000 American 18 Jan 2019
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 600 13.0000 American 28 Sep 2018
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 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 22,900 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/20180927005389/en/

Copyright Business Wire 2018

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