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Form 8 (DD) - Barrick Gold Corporation

25th Sep 2018 11:33

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: 24 September 2018
(f)

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

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: 1,016,332 0.09% 0 0.00%
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 462,700 0.04% 3,403,200 0.29%
TOTAL: 1,479,032 0.13% 3,403,200 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 56 11.0400 USD
Ordinary NPV Purchase 60 11.0500 USD
Ordinary NPV Purchase 200 11.0100 USD
Ordinary NPV Purchase 200 11.0600 USD
Ordinary NPV Purchase 300 11.1600 USD
Ordinary NPV Purchase 300 11.0966 USD
Ordinary NPV Purchase 400 11.1125 USD
Ordinary NPV Purchase 460 11.0869 USD
Ordinary NPV Purchase 900 11.0922 USD
Ordinary NPV Purchase 900 11.1200 USD
Ordinary NPV Purchase 1,100 11.0800 USD
Ordinary NPV Purchase 1,200 11.1562 USD
Ordinary NPV Purchase 1,700 11.0452 USD
Ordinary NPV Purchase 2,391 11.1583 USD
Ordinary NPV Purchase 3,400 11.1252 USD
Ordinary NPV Purchase 4,500 11.0831 USD
Ordinary NPV Purchase 4,800 11.0850 USD
Ordinary NPV Purchase 5,600 11.1533 USD
Ordinary NPV Purchase 6,200 11.1015 USD
Ordinary NPV Purchase 7,540 11.0900 USD
Ordinary NPV Purchase 7,900 11.1210 USD
Ordinary NPV Purchase 8,009 11.0870 USD
Ordinary NPV Purchase 9,090 11.1000 USD
Ordinary NPV Purchase 10,627 10.9938 USD
Ordinary NPV Purchase 10,845 11.1413 USD
Ordinary NPV Purchase 11,000 11.1586 USD
Ordinary NPV Purchase 11,848 11.1294 USD
Ordinary NPV Purchase 12,620 11.0167 USD
Ordinary NPV Purchase 12,800 11.1207 USD
Ordinary NPV Purchase 13,321 11.1029 USD
Ordinary NPV Purchase 17,500 11.1034 USD
Ordinary NPV Purchase 32,216 11.0198 USD
Ordinary NPV Purchase 33,045 11.1079 USD
Ordinary NPV Purchase 59,637 11.0997 USD
Ordinary NPV Purchase 71,483 11.0339 USD
Ordinary NPV Purchase 78,603 11.0983 USD
Ordinary NPV Purchase 84,176 11.0823 USD
Ordinary NPV Purchase 92,207 11.0867 USD
Ordinary NPV Purchase 169,384 10.9460 USD
Ordinary NPV Purchase 179,600 11.0853 USD
Ordinary NPV Purchase 256,500 11.1146 USD
Ordinary NPV Purchase 324,571 11.0634 USD
Ordinary NPV Purchase 356,171 11.1127 USD
Ordinary NPV Purchase 447,100 11.1062 USD
Ordinary NPV Purchase 702,400 11.1085 USD
Ordinary NPV Sale 56 11.0400 USD
Ordinary NPV Sale 100 11.0800 USD
Ordinary NPV Sale 100 11.1600 USD
Ordinary NPV Sale 200 11.0700 USD
Ordinary NPV Sale 460 11.0869 USD
Ordinary NPV Sale 460 11.0870 USD
Ordinary NPV Sale 516 11.0877 USD
Ordinary NPV Sale 900 10.9689 USD
Ordinary NPV Sale 1,300 11.0000 USD
Ordinary NPV Sale 1,412 11.0978 USD
Ordinary NPV Sale 1,629 11.0737 USD
Ordinary NPV Sale 1,734 11.0384 USD
Ordinary NPV Sale 1,800 11.0694 USD
Ordinary NPV Sale 2,577 11.0895 USD
Ordinary NPV Sale 3,071 11.0530 USD
Ordinary NPV Sale 3,100 11.0500 USD
Ordinary NPV Sale 3,600 11.0190 USD
Ordinary NPV Sale 3,900 11.1157 USD
Ordinary NPV Sale 4,300 11.0134 USD
Ordinary NPV Sale 4,600 10.8960 USD
Ordinary NPV Sale 4,782 10.9270 USD
Ordinary NPV Sale 5,600 11.0848 USD
Ordinary NPV Sale 5,784 10.9593 USD
Ordinary NPV Sale 7,540 11.0900 USD
Ordinary NPV Sale 8,300 11.1069 USD
Ordinary NPV Sale 8,570 11.0871 USD
Ordinary NPV Sale 9,625 11.0423 USD
Ordinary NPV Sale 10,362 11.0622 USD
Ordinary NPV Sale 10,423 11.1185 USD
Ordinary NPV Sale 11,500 11.0649 USD
Ordinary NPV Sale 13,077 11.0903 USD
Ordinary NPV Sale 15,946 11.1000 USD
Ordinary NPV Sale 24,300 11.0353 USD
Ordinary NPV Sale 28,034 11.1183 USD
Ordinary NPV Sale 31,632 11.0924 USD
Ordinary NPV Sale 33,045 11.1079 USD
Ordinary NPV Sale 35,000 11.1227 USD
Ordinary NPV Sale 38,124 11.1048 USD
Ordinary NPV Sale 45,900 11.0894 USD
Ordinary NPV Sale 62,211 11.1114 USD
Ordinary NPV Sale 148,500 11.1026 USD
Ordinary NPV Sale 166,078 11.0856 USD
Ordinary NPV Sale 243,058 11.1117 USD
Ordinary NPV Sale 323,300 11.1096 USD
Ordinary NPV Sale 364,092 11.0681 USD
Ordinary NPV Sale 399,292 11.1089 USD
Ordinary NPV Sale 419,740 11.0290 USD
Ordinary NPV Sale 550,000 11.1100 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 1,100 9 USD American 18 Jan 2019 2.2236 USD
Ordinary NPV Call Options Purchasing 200 10 USD American 19 Oct 2018 1.1800 USD
Ordinary NPV Call Options Purchasing 12,000 10 USD American 18 Jan 2019 1.4511 USD
Ordinary NPV Call Options Purchasing 2,000 10 USD American 17 Jan 2020 2.2800 USD
Ordinary NPV Call Options Purchasing 4,900 11 USD American 5 Oct 2018 0.2869 USD
Ordinary NPV Call Options Purchasing 1,000 11 USD American 19 Oct 2018 0.4300 USD
Ordinary NPV Call Options Purchasing 500 11 USD American 16 Nov 2018 0.6200 USD
Ordinary NPV Call Options Purchasing 400 11 USD American 18 Jan 2019 0.8150 USD
Ordinary NPV Call Options Purchasing 1,400 11 USD American 18 Apr 2019 1.1700 USD
Ordinary NPV Call Options Purchasing 2,000 12 USD American 2 Nov 2018 0.1900 USD
Ordinary NPV Call Options Purchasing 900 12 USD American 16 Nov 2018 0.2600 USD
Ordinary NPV Call Options Purchasing 3,300 12 USD American 18 Jan 2019 0.4436 USD
Ordinary NPV Call Options Purchasing 500 13 USD American 18 Apr 2019 0.5060 USD
Ordinary NPV Call Options Purchasing 100 14 USD American 16 Nov 2018 0.0500 USD
Ordinary NPV Call Options Purchasing 300 20 USD American 15 Jan 2021 0.6600 USD
Ordinary NPV Call Options Selling 100 10 USD American 5 Oct 2018 1.2200 USD
Ordinary NPV Call Options Selling 100 10 USD American 19 Oct 2018 1.2100 USD
Ordinary NPV Call Options Selling 300 11 USD American 12 Oct 2018 0.3600 USD
Ordinary NPV Call Options Selling 500 11 USD American 26 Oct 2018 0.5100 USD
Ordinary NPV Call Options Selling 100 11 USD American 2 Nov 2018 0.5700 USD
Ordinary NPV Call Options Selling 1,500 12 USD American 19 Oct 2018 0.1200 USD
Ordinary NPV Put Options Purchasing 1,700 9 USD American 19 Oct 2018 0.1400 USD
Ordinary NPV Put Options Purchasing 400 10 USD American 26 Oct 2018 0.0800 USD
Ordinary NPV Put Options Purchasing 1,500 10 USD American 18 Apr 2019 0.4800 USD
Ordinary NPV Put Options Purchasing 5,700 11 USD American 18 Apr 2019 0.9178 USD
Ordinary NPV Put Options Selling 23,200 10 USD American 19 Oct 2018 0.0664 USD
Ordinary NPV Put Options Selling 9,500 11 USD American 28 Sep 2018 0.1600 USD
Ordinary NPV Put Options Selling 43,500 11 USD American 19 Oct 2018 0.3401 USD
Ordinary NPV Put Options Selling 2,000 12 USD American 19 Oct 2018 1.0800 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: 25 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 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 6.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 100 8.0000 American 5 Oct 2018
Ordinary NPV Call Options Purchased 200 11.0000 American 12 Oct 2018
Ordinary NPV Call Options Purchased 300 20.0000 American 15 Jan 2021
Ordinary NPV Call Options Purchased 500 13.0000 American 16 Nov 2018
Ordinary NPV Call Options Purchased 900 13.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 1,100 14.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 1,300 10.0000 American 28 Sep 2018
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 25.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 1,900 8.0000 American 17 Jan 2020
Ordinary NPV Call Options Purchased 1,900 10.0000 American 5 Oct 2018
Ordinary NPV Call Options Purchased 2,000 12.0000 American 2 Nov 2018
Ordinary NPV Call Options Purchased 4,900 11.0000 American 5 Oct 2018
Ordinary NPV Call Options Purchased 8,700 11.0000 American 28 Sep 2018
Ordinary NPV Call Options Purchased 12,400 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 -273,400 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 -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 -120,700 13.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -114,800 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 -48,500 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 -27,300 13.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -21,900 15.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -21,000 11.0000 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 -17,400 11.0000 American 16 Nov 2018
Ordinary NPV Call Options Written -16,300 10.0000 American 19 Oct 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 -10,100 12.0000 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 9.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -4,800 14.0000 American 16 Nov 2018
Ordinary NPV Call Options Written -4,700 24.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -3,900 12.0000 American 16 Nov 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 10.0000 American 16 Nov 2018
Ordinary NPV Call Options Written -300 9.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -200 11.0000 American 2 Nov 2018
Ordinary NPV Call Options Written -100 10.0000 American 2 Nov 2018
Ordinary NPV Call Options Written -100 21.0000 American 19 Oct 2018
Ordinary NPV Put Options Purchased -509,300 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 -140,700 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 -29,000 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 -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 -800 14.0000 American 18 Jan 2019
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 13.0000 American 19 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 200 15.0000 American 19 Oct 2018
Ordinary NPV Put Options Written 200 17.0000 American 18 Jan 2019
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 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 9,200 11.0000 American 28 Sep 2018
Ordinary NPV Put Options Written 19,000 15.0000 American 17 Jan 2020
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 22,900 10.0000 American 19 Oct 2018
Ordinary NPV Put Options Written 30,600 11.0000 American 19 Oct 2018
Ordinary NPV Put Options Written 53,300 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/20180925005545/en/

Copyright Business Wire 2018

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