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Share Price: 2,174.75
Bid: 2,100.50
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Yest. Close: 2,161.25
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JP Morgan Sec LLC - Form 8.5 (EPT/NON-RI) - Barrick Gold Corporation

Tue, 27th Aug 2019 11:13

RNS Number : 2721K
J.P. Morgan Securities LLC
27 August 2019
 

FORM 8.5 (EPT/NON-RI)

 

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN

EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY ("RI") STATUS (OR WHERE RI STATUS IS NOT APPLICABLE)

Rule 8.5 of the Takeover Code (the "Code")

 

1.         KEY INFORMATION

 

(a) Name of exempt principal trader:

J.P Morgan Securities LLC

(b) Name of offeror/offeree in relation to whose relevant securities this form relates:

     Use a separate form for each offeror/offeree

Barrick Gold Corporation

(c) Name of the party to the offer with which exempt principal trader is connected:

Financial Adviser and Corporate Broker to Acacia Mining plc

(d) Date position held/dealing undertaken:

     For an opening position disclosure, state the latest practicable date prior to the disclosure

26 August 2019

(e) In addition to the company in 1(b) above, is the exempt principal trader making disclosures in respect of any other party to the offer?

     If it is a cash offer or possible cash offer, state "N/A"

No

 

2.         POSITIONS OF THE EXEMPT PRINCIPAL TRADER

 

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(b), 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 (if any)

 

Class of relevant security:

 

Common stock

 

 

Interests

Short positions

Number

 

%

 

Number

 

%

 

(1) Relevant securities owned and/or controlled:

1,173,390

0.07

1,941,886

0.11

(2) Cash-settled derivatives:

 

1,803,578

0.10

1,601,433

0.09

(3) Stock-settled derivatives (including options) and agreements to purchase/sell:

1,888,100

0.11

965,200

0.06

 

     TOTAL:

4,865,068

0.28

4,508,519

0.26

 

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).

 

(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 (IF ANY) BY THE EXEMPT PRINCIPAL TRADER

 

Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(b), 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

 

Class of relevant security

Purchases/ sales

 

Total number of securities

Highest price per unit paid/received

Lowest price per unit paid/received

 

Common stock

 

Purchases

 

 

Sales

93,438

800

 

189,870

700

19.3720 USD

25.5622 CAD

 

19.4300 USD

25.5200 CAD

19.1603 USD

25.5622 CAD

 

19.1300 USD

25.5200 CAD

 

 

(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

 

Common stock

Equity Swaps

Long

 

 

Short

88,393

700

 

800

19.3720 USD

25.5200 CAD

 

25.5622 CAD

 

(c)        Stock-settled derivative transactions (including options)

 

(i)         Writing, selling, purchasing or varying

 

Class of relevant security

Product description e.g. call option

Writing, purchasing, selling, varying etc.

Number of securities to which option relates

Exercise price per unit

(USD)

Type

e.g. American, European etc.

Expiry date

Option money paid/ received per unit

(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 exempt principal trader making the disclosure and any party to the offer or any person acting in concert with a party to the offer:

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 exempt principal trader 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

 

Is a Supplemental Form 8 (Open Positions) attached?

Yes

 

 

27 August 2019

Alwyn Basch

020 7742 7407

 

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 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

 

Full name of person making disclosure:

J.P Morgan Securities LLC

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

Barrick Gold Corporation

 

2.         STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

 

Class of relevant security

Product description e.g. call option

Written or purchased

Number of securities to which option or derivative relates

Exercise price per unit

(USD)

Type

e.g. American, European etc.

Expiry date

Common Stock

Call Option

Call Option

Call Option

Call Option

Call Option

Call Option

Call Option

Call Option

Call Option

Call Option

Put Option

Put Option

Put Option

Put Option

Call Option

Call Option

Call Option

Call Option

Call Option

Purchased

Purchased

Purchased

Written

Purchased

Purchased

Written

Written

Purchased

Purchased

Purchased

Purchased

Written

Purchased

Written

Purchased

Written

Purchased

Written

70,000

40,000

150,000

22,900

22,900

21,200

21,200

21,400

21,400

670,000

40,000

150,000

101,700

101,700

8,000

495,900

500,000

295,000

100,000

15.00 USD

15.00 USD

15.00 USD

12.00 USD

12.00 USD

15.00 USD

15.00 USD

17.00 USD

17.00 USD

19.00 USD

10.00 USD

13.00 USD

10.00 USD

10.00 USD

19.00 USD

20.00 USD

20.00 USD

19.00 USD

19.00 USD

American American American

American American American American American American

European

American

American

American American American American

American American

American

15/01/2021

17/01/2020

17/01/2020

19/06/2020

19/06/2020

19/06/2020

19/06/2020

19/06/2020

19/06/2020

17/01/2020

17/01/2020

17/01/2020

19/06/2020

19/06/2020

18/10/2019

20/09/2019

17/01/2020

19/09/2019

20/12/2019

 

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.

This information is provided by RNS, the news service of the London Stock Exchange. RNS is approved by the Financial Conduct Authority to act as a Primary Information Provider in the United Kingdom. Terms and conditions relating to the use and distribution of this information may apply. For further information, please contact rns@lseg.com or visit www.rns.com.
 
END
 
 
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