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Form 8 (DD) - BARRICK GOLD CORPORATION

13th Nov 2018 11:23

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: 12 November 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: 1,314,457 0.11% 0 0.00%
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 627,600 0.05% 2,684,000 0.23%
(4)
TOTAL: 1,942,057 0.17% 2,684,000 0.23%

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 38 12.6200 USD
Ordinary NPV Purchase 52 12.6700 USD
Ordinary NPV Purchase 77 12.5700 USD
Ordinary NPV Purchase 200 12.6250 USD
Ordinary NPV Purchase 216 12.6000 USD
Ordinary NPV Purchase 300 12.6623 USD
Ordinary NPV Purchase 600 12.6566 USD
Ordinary NPV Purchase 619 12.5390 USD
Ordinary NPV Purchase 1,081 12.5400 USD
Ordinary NPV Purchase 2,200 12.6404 USD
Ordinary NPV Purchase 2,292 12.6068 USD
Ordinary NPV Purchase 2,374 12.5892 USD
Ordinary NPV Purchase 2,529 12.5404 USD
Ordinary NPV Purchase 2,900 12.6489 USD
Ordinary NPV Purchase 3,500 12.6665 USD
Ordinary NPV Purchase 5,000 12.6118 USD
Ordinary NPV Purchase 12,000 12.5786 USD
Ordinary NPV Purchase 19,900 12.6092 USD
Ordinary NPV Purchase 21,462 12.5886 USD
Ordinary NPV Purchase 22,251 12.5800 USD
Ordinary NPV Purchase 70,200 12.6021 USD
Ordinary NPV Purchase 89,900 12.6040 USD
Ordinary NPV Purchase 435,630 12.6408 USD
Ordinary NPV Sale 90 12.6488 USD
Ordinary NPV Sale 200 12.5750 USD
Ordinary NPV Sale 300 12.6900 USD
Ordinary NPV Sale 300 12.6466 USD
Ordinary NPV Sale 400 12.6637 USD
Ordinary NPV Sale 900 12.5977 USD
Ordinary NPV Sale 1,121 12.5700 USD
Ordinary NPV Sale 1,200 12.5833 USD
Ordinary NPV Sale 1,300 12.6230 USD
Ordinary NPV Sale 1,600 12.6418 USD
Ordinary NPV Sale 1,600 12.6600 USD
Ordinary NPV Sale 2,000 12.5757 USD
Ordinary NPV Sale 3,500 12.5847 USD
Ordinary NPV Sale 4,121 12.6604 USD
Ordinary NPV Sale 4,200 12.5398 USD
Ordinary NPV Sale 4,906 12.6470 USD
Ordinary NPV Sale 10,966 12.6265 USD
Ordinary NPV Sale 12,000 12.5786 USD
Ordinary NPV Sale 24,980 12.5800 USD
Ordinary NPV Sale 27,736 12.6460 USD
Ordinary NPV Sale 34,105 12.5984 USD
Ordinary NPV Sale 44,748 12.6363 USD
Ordinary NPV Sale 45,100 12.5949 USD
Ordinary NPV Sale 45,200 12.6125 USD
Ordinary NPV Sale 46,900 12.6021 USD
Ordinary NPV Sale 54,902 12.6553 USD
Ordinary NPV Sale 56,216 12.6000 USD
Ordinary NPV Sale 108,834 12.6355 USD
Ordinary NPV Sale 175,517 12.6399 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 100 11 USD American 18 Apr 2019 2.0800 USD
Ordinary NPV Call Options Selling 16,600 13 USD American 7 Dec 2018 0.3111 USD
Ordinary NPV Call Options Selling 1,300 13 USD American 14 Dec 2018 0.3746 USD
Ordinary NPV Call Options Selling 7,000 14 USD American 14 Dec 2018 0.1257 USD
Ordinary NPV Call Options Selling 500 15 USD American 7 Dec 2018 0.0400 USD
Ordinary NPV Call Options Selling 1,500 35 USD American 17 Jan 2020 0.0900 USD
Ordinary NPV Put Options Purchasing 800 13 USD American 16 Nov 2018 0.4500 USD
Ordinary NPV Put Options Purchasing 100 13 USD American 18 Jan 2019 0.9100 USD
Ordinary NPV Put Options Selling 1,900 11 USD American 16 Nov 2018 0.0600 USD
Ordinary NPV Put Options Selling 1,200 11 USD American 21 Dec 2018 0.7500 USD
Ordinary NPV Put Options Selling 2,600 12 USD American 21 Dec 2018 0.3034 USD
Ordinary NPV Put Options Selling 100 13 USD American 17 Jan 2020 1.9500 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: 13 Nov 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 15.0000 American 30 Nov 2018
Ordinary NPV Call Options Purchased 100 11.0000 American 21 Dec 2018
Ordinary NPV Call Options Purchased 100 13.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 100 6.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 200 12.0000 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 300 14.0000 American 23 Nov 2018
Ordinary NPV Call Options Purchased 300 11.0000 American 23 Nov 2018
Ordinary NPV Call Options Purchased 400 15.0000 American 15 Jan 2021
Ordinary NPV Call Options Purchased 600 25.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 900 13.0000 American 23 Nov 2018
Ordinary NPV Call Options Purchased 1,500 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 2,000 11.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 3,700 18.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 4,700 16.0000 American 30 Nov 2018
Ordinary NPV Call Options Purchased 5,100 14.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 6,800 15.0000 American 16 Nov 2018
Ordinary NPV Call Options Purchased 10,200 35.0000 American 17 Jan 2020
Ordinary NPV Call Options Purchased 11,600 14.0000 American 16 Nov 2018
Ordinary NPV Call Options Purchased 15,100 16.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 15,900 17.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 18,600 11.0000 American 16 Nov 2018
Ordinary NPV Call Options Purchased 18,900 13.0000 American 16 Nov 2018
Ordinary NPV Call Options Purchased 27,500 9.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 32,100 10.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 38,600 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 -274,800 15.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -256,200 20.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -183,600 12.0000 American 16 Nov 2018
Ordinary NPV Call Options Written -162,500 17.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -118,400 13.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -114,700 16.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -97,100 15.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -80,800 30.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -77,600 14.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -60,700 22.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -56,400 17.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -55,600 12.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -46,800 11.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -44,100 35.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -35,700 25.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -22,800 13.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -20,800 25.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -18,300 20.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -16,600 13.0000 American 7 Dec 2018
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 -12,000 10.0000 American 18 Apr 2019
Ordinary NPV Call Options Written -11,200 18.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -7,000 14.0000 American 14 Dec 2018
Ordinary NPV Call Options Written -6,500 15.0000 American 21 Dec 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 16.0000 American 16 Nov 2018
Ordinary NPV Call Options Written -5,000 18.0000 American 16 Nov 2018
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 -4,500 13.0000 American 21 Dec 2018
Ordinary NPV Call Options Written -3,500 22.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -3,500 15.0000 American 16 Nov 2018
Ordinary NPV Call Options Written -3,400 12.0000 American 18 Apr 2019
Ordinary NPV Call Options Written -2,800 14.0000 American 21 Dec 2018
Ordinary NPV Call Options Written -1,800 17.0000 American 21 Dec 2018
Ordinary NPV Call Options Written -1,400 8.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -1,300 13.0000 American 14 Dec 2018
Ordinary NPV Call Options Written -1,000 10.0000 American 15 Jan 2021
Ordinary NPV Call Options Written -800 14.0000 American 16 Nov 2018
Ordinary NPV Call Options Written -700 26.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -500 15.0000 American 7 Dec 2018
Ordinary NPV Call Options Written -400 9.0000 American 16 Nov 2018
Ordinary NPV Call Options Written -300 10.0000 American 14 Dec 2018
Ordinary NPV Call Options Written -200 14.0000 American 7 Dec 2018
Ordinary NPV Call Options Written -100 12.0000 American 15 Jan 2021
Ordinary NPV Call Options Written -100 9.0000 American 18 Apr 2019
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 -73,000 10.0000 American 18 Jan 2019
Ordinary NPV Put Options Purchased -53,400 9.0000 American 18 Jan 2019
Ordinary NPV Put Options Purchased -27,800 13.0000 American 18 Jan 2019
Ordinary NPV Put Options Purchased -19,500 13.0000 American 16 Nov 2018
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 -4,900 13.0000 American 17 Jan 2020
Ordinary NPV Put Options Purchased -3,000 20.0000 American 17 Jan 2020
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 -500 11.0000 American 7 Dec 2018
Ordinary NPV Put Options Purchased -500 14.0000 American 16 Nov 2018
Ordinary NPV Put Options Purchased -300 8.0000 American 15 Jan 2021
Ordinary NPV Put Options Purchased -200 13.0000 American 30 Nov 2018
Ordinary NPV Put Options Written 100 15.0000 American 16 Nov 2018
Ordinary NPV Put Options Written 100 12.0000 American 15 Jan 2021
Ordinary NPV Put Options Written 200 10.0000 American 16 Nov 2018
Ordinary NPV Put Options Written 300 19.0000 American 21 Dec 2018
Ordinary NPV Put Options Written 400 22.0000 American 17 Jan 2020
Ordinary NPV Put Options Written 400 11.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 400 17.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 600 11.0000 American 16 Nov 2018
Ordinary NPV Put Options Written 600 5.0000 American 17 Jan 2020
Ordinary NPV Put Options Written 600 7.0000 American 18 Apr 2019
Ordinary NPV Put Options Written 600 8.0000 American 18 Apr 2019
Ordinary NPV Put Options Written 700 16.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 700 10.0000 American 30 Nov 2018
Ordinary NPV Put Options Written 800 13.0000 American 23 Nov 2018
Ordinary NPV Put Options Written 800 13.0000 American 18 Apr 2019
Ordinary NPV Put Options Written 1,000 14.0000 American 18 Apr 2019
Ordinary NPV Put Options Written 1,000 15.0000 American 21 Dec 2018
Ordinary NPV Put Options Written 1,100 20.0000 American 15 Jan 2021
Ordinary NPV Put Options Written 1,200 11.0000 American 21 Dec 2018
Ordinary NPV Put Options Written 1,400 14.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 1,700 13.0000 American 21 Dec 2018
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 4,000 12.0000 American 16 Nov 2018
Ordinary NPV Put Options Written 4,400 12.0000 American 21 Dec 2018
Ordinary NPV Put Options Written 5,000 15.0000 American 15 Jan 2021
Ordinary NPV Put Options Written 5,900 12.0000 American 18 Apr 2019
Ordinary NPV Put Options Written 19,200 15.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 22,400 17.0000 American 17 Jan 2020
Ordinary NPV Put Options Written 33,300 15.0000 American 17 Jan 2020
Ordinary NPV Put Options Written 71,000 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/20181113005604/en/

Copyright Business Wire 2018

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