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Pin to quick picksBarclays Regulatory News (BARC)

Share Price Information for Barclays (BARC)

London Stock Exchange
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Share Price: 185.84
Bid: 185.32
Ask: 185.38
Change: 1.86 (1.01%)
Spread: 0.06 (0.032%)
Open: 182.28
High: 185.90
Low: 181.50
Prev. Close: 183.98
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Form 8 (DD) - BARRICK GOLD CORPORATION

11 Oct 2018 15:09

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: 10 October 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: 1,449,378 0.12% 37,111 0.00%
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 850,000 0.07% 3,448,800 0.30%
(4)
TOTAL: 2,299,378 0.20% 3,485,911 0.30%

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 13 11.2600 USD
Ordinary NPV Purchase 100 11.3800 USD
Ordinary NPV Purchase 100 11.6300 USD
Ordinary NPV Purchase 200 11.5450 USD
Ordinary NPV Purchase 200 11.2150 USD
Ordinary NPV Purchase 300 11.1575 USD
Ordinary NPV Purchase 300 11.2200 USD
Ordinary NPV Purchase 400 11.2125 USD
Ordinary NPV Purchase 500 11.2100 USD
Ordinary NPV Purchase 587 11.2412 USD
Ordinary NPV Purchase 1,000 11.2120 USD
Ordinary NPV Purchase 1,455 11.2129 USD
Ordinary NPV Purchase 1,772 11.2968 USD
Ordinary NPV Purchase 2,200 11.5877 USD
Ordinary NPV Purchase 2,669 11.5000 USD
Ordinary NPV Purchase 2,700 11.6359 USD
Ordinary NPV Purchase 2,800 11.2000 USD
Ordinary NPV Purchase 2,968 11.4326 USD
Ordinary NPV Purchase 3,800 11.5200 USD
Ordinary NPV Purchase 5,000 11.3994 USD
Ordinary NPV Purchase 11,500 11.4161 USD
Ordinary NPV Purchase 15,460 11.3145 USD
Ordinary NPV Purchase 16,108 11.4733 USD
Ordinary NPV Purchase 25,359 11.3742 USD
Ordinary NPV Purchase 34,681 11.4017 USD
Ordinary NPV Purchase 41,392 11.3650 USD
Ordinary NPV Purchase 54,299 11.5184 USD
Ordinary NPV Purchase 55,000 11.3773 USD
Ordinary NPV Purchase 57,616 11.3757 USD
Ordinary NPV Purchase 60,400 11.4570 USD
Ordinary NPV Purchase 76,500 11.3890 USD
Ordinary NPV Purchase 206,600 11.4208 USD
Ordinary NPV Purchase 280,320 11.3428 USD
Ordinary NPV Sale 100 11.5250 USD
Ordinary NPV Sale 200 11.5450 USD
Ordinary NPV Sale 200 11.6200 USD
Ordinary NPV Sale 300 11.1575 USD
Ordinary NPV Sale 300 11.5300 USD
Ordinary NPV Sale 400 11.5350 USD
Ordinary NPV Sale 415 11.5100 USD
Ordinary NPV Sale 700 11.5500 USD
Ordinary NPV Sale 700 11.6400 USD
Ordinary NPV Sale 900 11.5611 USD
Ordinary NPV Sale 1,000 11.5410 USD
Ordinary NPV Sale 1,300 11.2115 USD
Ordinary NPV Sale 1,362 11.5411 USD
Ordinary NPV Sale 1,400 11.6364 USD
Ordinary NPV Sale 1,600 11.5490 USD
Ordinary NPV Sale 1,600 11.5415 USD
Ordinary NPV Sale 1,900 11.5510 USD
Ordinary NPV Sale 1,985 11.5125 USD
Ordinary NPV Sale 2,200 11.5877 USD
Ordinary NPV Sale 3,031 11.4949 USD
Ordinary NPV Sale 3,655 11.2174 USD
Ordinary NPV Sale 4,300 11.5406 USD
Ordinary NPV Sale 4,631 11.4066 USD
Ordinary NPV Sale 5,315 11.5098 USD
Ordinary NPV Sale 5,484 11.5244 USD
Ordinary NPV Sale 5,954 11.2984 USD
Ordinary NPV Sale 6,649 11.5056 USD
Ordinary NPV Sale 9,866 11.5000 USD
Ordinary NPV Sale 13,772 11.3455 USD
Ordinary NPV Sale 16,500 11.4188 USD
Ordinary NPV Sale 25,759 11.3782 USD
Ordinary NPV Sale 39,656 11.3364 USD
Ordinary NPV Sale 41,207 11.5191 USD
Ordinary NPV Sale 49,800 11.3478 USD
Ordinary NPV Sale 72,300 11.4349 USD
Ordinary NPV Sale 77,100 11.4646 USD
Ordinary NPV Sale 80,000 11.4231 USD
Ordinary NPV Sale 92,265 11.2431 USD
Ordinary NPV Sale 122,500 11.4193 USD
Ordinary NPV Sale 129,983 11.3868 USD
Ordinary NPV Sale 155,621 11.3756 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 1,900 10 USD American 12 Oct 2018 1.5000 USD
Ordinary NPV Call Options Purchasing 200 10 USD American 16 Nov 2018 1.7200 USD
Ordinary NPV Call Options Purchasing 100 10 USD American 18 Jan 2019 1.7500 USD
Ordinary NPV Call Options Purchasing 100 10 USD American 17 Jan 2020 2.5800 USD
Ordinary NPV Call Options Purchasing 700 11 USD American 16 Nov 2018 0.6000 USD
Ordinary NPV Call Options Purchasing 300 11 USD American 23 Nov 2018 0.8800 USD
Ordinary NPV Call Options Purchasing 5,000 12 USD American 12 Oct 2018 0.1700 USD
Ordinary NPV Call Options Purchasing 165,400 12 USD American 16 Nov 2018 0.2900 USD
Ordinary NPV Call Options Purchasing 1,200 12 USD American 16 Nov 2018 0.3525 USD
Ordinary NPV Call Options Purchasing 3,700 13 USD American 16 Nov 2018 0.0900 USD
Ordinary NPV Call Options Purchasing 1,100 13 USD American 17 Jan 2020 1.2872 USD
Ordinary NPV Call Options Purchasing 100 14 USD American 16 Nov 2018 0.0700 USD
Ordinary NPV Call Options Purchasing 200 15 USD American 17 Jan 2020 0.8500 USD
Ordinary NPV Call Options Purchasing 100 17 USD American 17 Jan 2020 0.5600 USD
Ordinary NPV Call Options Selling 100 11 USD American 18 Jan 2019 1.0000 USD
Ordinary NPV Call Options Selling 165,400 12 USD American 16 Nov 2018 0.2900 USD
Ordinary NPV Call Options Selling 100 15 USD American 17 Jan 2020 0.8700 USD
Ordinary NPV Put Options Purchasing 800 12 USD American 16 Nov 2018 1.0500 USD
Ordinary NPV Put Options Selling 600 8 USD American 18 Apr 2019 0.0900 USD
Ordinary NPV Put Options Selling 400 13 USD American 19 Oct 2018 1.8000 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: 11 Oct 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 13.0000 American 26 Oct 2018
Ordinary NPV Call Options Purchased 100 6.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 100 18.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 100 11.0000 American 2 Nov 2018
Ordinary NPV Call Options Purchased 200 10.0000 American 18 Apr 2019
Ordinary NPV Call Options Purchased 200 15.0000 American 15 Jan 2021
Ordinary NPV Call Options Purchased 300 11.0000 American 23 Nov 2018
Ordinary NPV Call Options Purchased 300 10.0000 American 16 Nov 2018
Ordinary NPV Call Options Purchased 300 20.0000 American 15 Jan 2021
Ordinary NPV Call Options Purchased 600 12.0000 American 26 Oct 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 1,400 11.0000 American 18 Apr 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 8.0000 American 17 Jan 2020
Ordinary NPV Call Options Purchased 2,100 12.0000 American 2 Nov 2018
Ordinary NPV Call Options Purchased 5,000 12.0000 American 12 Oct 2018
Ordinary NPV Call Options Purchased 5,300 13.0000 American 16 Nov 2018
Ordinary NPV Call Options Purchased 10,100 9.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 22,000 10.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 31,600 10.0000 American 17 Jan 2020
Ordinary NPV Call Options Purchased 45,000 20.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 165,400 12.0000 American 16 Nov 2018
Ordinary NPV Call Options Purchased 177,100 22.0000 American 18 Jan 2019
Ordinary NPV Call Options Purchased 207,600 11.0000 American 9 Nov 2018
Ordinary NPV Call Options Written -278,200 15.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -258,600 20.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -182,200 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 -123,900 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 -80,800 30.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -59,700 12.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -57,000 11.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -55,500 22.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -51,800 14.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -47,500 25.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -44,100 35.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -32,600 13.0000 American 17 Jan 2020
Ordinary NPV Call Options Written -26,900 15.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -21,300 10.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -20,800 25.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -20,600 12.0000 American 16 Nov 2018
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 -15,600 37.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -15,400 11.0000 American 16 Nov 2018
Ordinary NPV Call Options Written -14,600 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 -6,300 14.0000 American 16 Nov 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 -5,400 12.0000 American 12 Oct 2018
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 11.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -4,700 24.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -3,700 10.0000 American 12 Oct 2018
Ordinary NPV Call Options Written -3,200 15.0000 American 16 Nov 2018
Ordinary NPV Call Options Written -3,000 21.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -2,000 8.0000 American 18 Jan 2019
Ordinary NPV Call Options Written -1,900 12.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -1,700 12.0000 American 18 Apr 2019
Ordinary NPV Call Options Written -1,000 10.0000 American 2 Nov 2018
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 13.0000 American 2 Nov 2018
Ordinary NPV Call Options Written -400 9.0000 American 16 Nov 2018
Ordinary NPV Call Options Written -200 17.0000 American 18 Apr 2019
Ordinary NPV Call Options Written -100 21.0000 American 19 Oct 2018
Ordinary NPV Call Options Written -100 12.0000 American 15 Jan 2021
Ordinary NPV Put Options Purchased -518,000 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 -10,700 11.0000 American 18 Apr 2019
Ordinary NPV Put Options Purchased -10,000 13.0000 American 16 Nov 2018
Ordinary NPV Put Options Purchased -9,000 11.0000 American 18 Jan 2019
Ordinary NPV Put Options Purchased -4,600 13.0000 American 17 Jan 2020
Ordinary NPV Put Options Purchased -3,300 11.0000 American 16 Nov 2018
Ordinary NPV Put Options Purchased -2,800 20.0000 American 17 Jan 2020
Ordinary NPV Put Options Purchased -2,600 10.0000 American 26 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 12.0000 American 26 Oct 2018
Ordinary NPV Put Options Purchased -800 12.0000 American 16 Nov 2018
Ordinary NPV Put Options Purchased -800 14.0000 American 18 Jan 2019
Ordinary NPV Put Options Purchased -700 11.0000 American 26 Oct 2018
Ordinary NPV Put Options Purchased -400 13.0000 American 19 Oct 2018
Ordinary NPV Put Options Purchased -300 8.0000 American 15 Jan 2021
Ordinary NPV Put Options Purchased -200 9.0000 American 16 Nov 2018
Ordinary NPV Put Options Purchased -100 12.0000 American 12 Oct 2018
Ordinary NPV Put Options Written 100 20.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 100 10.0000 American 12 Oct 2018
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 17.0000 American 18 Jan 2019
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 600 8.0000 American 18 Apr 2019
Ordinary NPV Put Options Written 700 16.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 3,400 11.0000 American 12 Oct 2018
Ordinary NPV Put Options Written 3,700 14.0000 American 19 Oct 2018
Ordinary NPV Put Options Written 13,100 11.0000 American 19 Oct 2018
Ordinary NPV Put Options Written 19,200 15.0000 American 18 Jan 2019
Ordinary NPV Put Options Written 21,600 15.0000 American 17 Jan 2020
Ordinary NPV Put Options Written 22,400 17.0000 American 17 Jan 2020
Ordinary NPV Put Options Written 25,500 10.0000 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/20181011005519/en/

Copyright Business Wire 2018

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