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Form 8 (DD) - BARRICK GOLD CORPORATION

3rd Dec 2018 11:25

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: 30 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: 1,187,153 0.10% 34,601 0.00%
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 577,400 0.05% 2,451,000 0.21%
TOTAL: 1,764,553 0.15% 2,485,601 0.21%

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 21 12.7400 USD
Ordinary NPV Purchase 100 12.6750 USD
Ordinary NPV Purchase 200 12.6400 USD
Ordinary NPV Purchase 200 12.6799 USD
Ordinary NPV Purchase 2,500 12.6700 USD
Ordinary NPV Purchase 2,900 12.7350 USD
Ordinary NPV Purchase 3,131 12.6745 USD
Ordinary NPV Purchase 3,300 12.6796 USD
Ordinary NPV Purchase 3,700 16.9418 CAD
Ordinary NPV Purchase 6,300 12.7750 USD
Ordinary NPV Purchase 6,734 12.7780 USD
Ordinary NPV Purchase 6,900 12.7965 USD
Ordinary NPV Purchase 7,000 16.9362 CAD
Ordinary NPV Purchase 7,581 12.7500 USD
Ordinary NPV Purchase 7,900 12.7817 USD
Ordinary NPV Purchase 11,000 12.7717 USD
Ordinary NPV Purchase 11,169 12.6739 USD
Ordinary NPV Purchase 11,757 12.7676 USD
Ordinary NPV Purchase 11,912 12.7541 USD
Ordinary NPV Purchase 12,400 12.7359 USD
Ordinary NPV Purchase 12,953 12.7749 USD
Ordinary NPV Purchase 16,038 12.7540 USD
Ordinary NPV Purchase 25,400 12.7502 USD
Ordinary NPV Purchase 42,100 12.7316 USD
Ordinary NPV Purchase 57,366 12.7712 USD
Ordinary NPV Purchase 62,800 12.7645 USD
Ordinary NPV Purchase 81,112 12.8178 USD
Ordinary NPV Purchase 104,900 12.7612 USD
Ordinary NPV Purchase 240,569 12.7446 USD
Ordinary NPV Purchase 64,855 17.0405 CAD
Ordinary NPV Sale 10,700 16.9419 CAD
Ordinary NPV Sale 40 12.7850 USD
Ordinary NPV Sale 100 12.7350 USD
Ordinary NPV Sale 100 12.8100 USD
Ordinary NPV Sale 100 12.8200 USD
Ordinary NPV Sale 300 12.7366 USD
Ordinary NPV Sale 500 12.7740 USD
Ordinary NPV Sale 600 12.8500 USD
Ordinary NPV Sale 700 12.7392 USD
Ordinary NPV Sale 900 12.8822 USD
Ordinary NPV Sale 1,100 12.7700 USD
Ordinary NPV Sale 1,200 12.8170 USD
Ordinary NPV Sale 3,200 12.7684 USD
Ordinary NPV Sale 3,400 12.7522 USD
Ordinary NPV Sale 4,200 17.0404 CAD
Ordinary NPV Sale 6,037 12.7526 USD
Ordinary NPV Sale 7,000 16.9096 CAD
Ordinary NPV Sale 7,900 12.7727 USD
Ordinary NPV Sale 9,643 12.8464 USD
Ordinary NPV Sale 10,385 12.7400 USD
Ordinary NPV Sale 10,900 12.7372 USD
Ordinary NPV Sale 12,500 12.7498 USD
Ordinary NPV Sale 13,373 12.7687 USD
Ordinary NPV Sale 14,311 12.8243 USD
Ordinary NPV Sale 15,321 12.7357 USD
Ordinary NPV Sale 17,000 12.8176 USD
Ordinary NPV Sale 18,396 12.8207 USD
Ordinary NPV Sale 19,700 12.7386 USD
Ordinary NPV Sale 19,960 12.7750 USD
Ordinary NPV Sale 20,000 12.6746 USD
Ordinary NPV Sale 21,076 12.8048 USD
Ordinary NPV Sale 22,200 12.7391 USD
Ordinary NPV Sale 29,400 12.7662 USD
Ordinary NPV Sale 30,200 12.7523 USD
Ordinary NPV Sale 40,103 12.7703 USD
Ordinary NPV Sale 40,958 12.7393 USD
Ordinary NPV Sale 46,809 12.7469 USD
Ordinary NPV Sale 64,900 12.7680 USD
Ordinary NPV Sale 78,825 12.7500 USD
Ordinary NPV Sale 80,900 12.7591 USD
Ordinary NPV Sale 145,907 12.7565 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 500 13 USD American 7 Dec 2018 0.1660 USD
Ordinary NPV Call Options Purchasing 500 13 USD American 14 Dec 2018 0.5400 USD
Ordinary NPV Call Options Selling 1,200 12 USD American 18 Apr 2019 1.4516 USD
Ordinary NPV Call Options Selling 300 13 USD American 14 Dec 2018 0.2800 USD
Ordinary NPV Call Options Selling 900 14 USD American 7 Dec 2018 0.0700 USD
Ordinary NPV Call Options Selling 200 14 USD American 18 Jan 2019 0.2200 USD
Ordinary NPV Call Options Selling 600 15 USD American 18 Jan 2019 0.1100 USD
Ordinary NPV Call Options Selling 1,100 15 USD American 17 Jan 2020 1.2200 USD
Ordinary NPV Put Options Purchasing 400 12 USD American 7 Dec 2018 0.0400 USD
Ordinary NPV Put Options Purchasing 600 13 USD American 7 Dec 2018 0.4100 USD
Ordinary NPV Put Options Purchasing 400 15 USD American 18 Jan 2019 2.2500 USD
Ordinary NPV Put Options Purchasing 300 19 USD American 21 Dec 2018 5.4000 USD
Ordinary NPV Put Options Selling 600 15 USD American 17 Jan 2020 3.1500 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: 3 Dec 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 11.0000 American 21 Dec 2018
Ordinary NPV Call Options Purchased 100 10.0000 American 15 Feb 2019
Ordinary NPV Call Options Purchased 100 15.0000 American 30 Nov 2018
Ordinary NPV Call Options Purchased 100 13.0000 American 18 Apr 2019
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 400 15.0000 American 15 Jan 2021
Ordinary NPV Call Options Purchased 500 14.0000 American 19 Jul 2019
Ordinary NPV Call Options Purchased 500 14.0000 American 7 Dec 2018
Ordinary NPV Call Options Purchased 900 13.0000 American 14 Dec 2018
Ordinary NPV Call Options Purchased 1,000 14.0000 American 14 Dec 2018
Ordinary NPV Call Options Purchased 1,700 25.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 1,900 11.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 1,900 8.0000 American 17 Jan 2020
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 5,000 15.0000 American 14 Dec 2018
Ordinary NPV Call Options Purchased 7,000 13.0000 American 30 Nov 2018
Ordinary NPV Call Options Purchased 7,600 14.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 8,400 14.0000 American 30 Nov 2018
Ordinary NPV Call Options Purchased 11,500 35.0000 American 17 Jan 2020
Ordinary NPV Call Options Purchased 15,200 16.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 19,200 17.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 32,100 10.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 37,800 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 -283,400 15.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -256,200 20.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -162,500 17.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -114,700 16.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -97,000 15.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -95,700 13.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -80,800 30.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -65,400 17.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -60,700 22.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -55,500 12.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -46,500 11.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -44,100 35.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -34,200 25.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -22,600 13.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -20,800 25.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -19,200 14.0000 American 21 Dec 2018
Ordinary NPV Call Options Written -17,500 15.0000 American 21 Dec 2018
Ordinary NPV Call Options Written -16,700 20.0000 American 17 Jan 2020
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 -12,100 10.0000 American 18 Apr 2019
Ordinary NPV Call Options Written -11,200 18.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -10,300 13.0000 American 7 Dec 2018
Ordinary NPV Call Options Written -10,200 14.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -9,400 19.0000 American 18 Apr 2019
Ordinary NPV Call Options Written -7,800 22.0000 American 18 Apr 2019
Ordinary NPV Call Options Written -6,000 14.0000 American 14 Dec 2018
Ordinary NPV Call Options Written -5,900 27.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -5,300 12.0000 American 18 Apr 2019
Ordinary NPV Call Options Written -5,300 19.0000 American 18 Jan 2019
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 -4,100 25.0000 American 18 Apr 2019
Ordinary NPV Call Options Written -3,800 21.0000 American 18 Apr 2019
Ordinary NPV Call Options Written -3,500 22.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -3,100 13.0000 American 21 Dec 2018
Ordinary NPV Call Options Written -2,100 20.0000 American 18 Apr 2019
Ordinary NPV Call Options Written -1,800 17.0000 American 21 Dec 2018
Ordinary NPV Call Options Written -1,300 8.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -1,200 12.0000 American 21 Dec 2018
Ordinary NPV Call Options Written -1,000 10.0000 American 15 Jan 2021
Ordinary NPV Call Options Written -700 26.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -700 15.0000 American 7 Dec 2018
Ordinary NPV Call Options Written -400 13.0000 American 14 Dec 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 14.0000 American 30 Nov 2018
Ordinary NPV Call Options Written -100 12.0000 American 15 Jan 2021
Ordinary NPV Call Options Written -100 17.0000 American 19 Jul 2019
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 -72,700 10.0000 American 18 Jan 2019
Ordinary NPV Put Options Purchased -53,400 9.0000 American 18 Jan 2019
Ordinary NPV Put Options Purchased -32,400 13.0000 American 18 Jan 2019
Ordinary NPV Put Options Purchased -13,600 8.0000 American 18 Jan 2019
Ordinary NPV Put Options Purchased -9,200 11.0000 American 18 Apr 2019
Ordinary NPV Put Options Purchased -4,800 13.0000 American 21 Dec 2018
Ordinary NPV Put Options Purchased -4,800 13.0000 American 17 Jan 2020
Ordinary NPV Put Options Purchased -2,800 13.0000 American 7 Dec 2018
Ordinary NPV Put Options Purchased -2,800 20.0000 American 17 Jan 2020
Ordinary NPV Put Options Purchased -2,200 13.0000 American 30 Nov 2018
Ordinary NPV Put Options Purchased -1,900 8.0000 American 17 Jan 2020
Ordinary NPV Put Options Purchased -1,600 13.0000 American 14 Dec 2018
Ordinary NPV Put Options Purchased -700 14.0000 American 14 Dec 2018
Ordinary NPV Put Options Purchased -500 11.0000 American 7 Dec 2018
Ordinary NPV Put Options Purchased -300 8.0000 American 15 Jan 2021
Ordinary NPV Put Options Purchased -100 12.0000 American 15 Feb 2019
Ordinary NPV Put Options Purchased -100 14.0000 American 21 Dec 2018
Ordinary NPV Put Options Written 100 12.0000 American 7 Dec 2018
Ordinary NPV Put Options Written 100 12.0000 American 15 Jan 2021
Ordinary NPV Put Options Written 200 19.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 200 14.0000 American 30 Nov 2018
Ordinary NPV Put Options Written 300 15.0000 American 30 Nov 2018
Ordinary NPV Put Options Written 300 14.0000 American 28 Dec 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 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 10.0000 American 30 Nov 2018
Ordinary NPV Put Options Written 700 14.0000 American 21 Dec 2018
Ordinary NPV Put Options Written 700 16.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 800 13.0000 American 18 Apr 2019
Ordinary NPV Put Options Written 800 14.0000 American 18 Apr 2019
Ordinary NPV Put Options Written 1,000 10.0000 American 21 Dec 2018
Ordinary NPV Put Options Written 1,000 15.0000 American 21 Dec 2018
Ordinary NPV Put Options Written 1,000 12.0000 American 30 Nov 2018
Ordinary NPV Put Options Written 1,100 20.0000 American 15 Jan 2021
Ordinary NPV Put Options Written 1,300 13.0000 American 28 Dec 2018
Ordinary NPV Put Options Written 1,300 15.0000 American 28 Dec 2018
Ordinary NPV Put Options Written 1,400 14.0000 American 18 Jan 2019
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 3,600 11.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 4,400 12.0000 American 21 Dec 2018
Ordinary NPV Put Options Written 4,900 10.0000 American 18 Apr 2019
Ordinary NPV Put Options Written 5,000 15.0000 American 15 Jan 2021
Ordinary NPV Put Options Written 6,800 12.0000 American 18 Apr 2019
Ordinary NPV Put Options Written 19,200 15.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 22,600 17.0000 American 17 Jan 2020
Ordinary NPV Put Options Written 37,300 15.0000 American 17 Jan 2020
Ordinary NPV Put Options Written 69,500 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/20181203005424/en/

Copyright Business Wire 2018

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