28 Dec 2018 10:48
FORM 8.5 (EPT/RI)
PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH RECOGNISED INTERMEDIARY STATUS DEALING IN A CLIENT-SERVING CAPACITY
Rule 8.5 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Name of exempt principal trader: | Morgan Stanley & Co. LLC |
(b) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | Randgold Resources Limited |
(c) Name of the party to the offer with which exempt principal trader is connected: | Barrick Gold Corporation |
(d) Date dealing undertaken: | 27 DECEMBER 2018 |
(e) In addition to the company in 1(b) above, is the exempt principal trader making disclosures in respect of any other party to this offer? If it is a cash offer or possible cash offer, state "N/A" | Yes - Barrick Gold Corporation
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2. DEALINGS 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 2(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 |
ADS | PURCHASES | 191,831 | 86.4100 USD | 82.1300 USD
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ADS | SALES | 188,321 | 86.4300 USD | 82.1300 USD
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(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 |
N/A | N/A | N/A | N/A | N/A
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(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 | Type e.g. American, European etc. | Expiry date | Option money paid/ received per unit |
ADS | PUT | PURCHASE | 1,100 | 70.0000 | A | 18/01/2019 | 0.3500 USD
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ADS | PUT | PURCHASE | 400 | 70.0000 | A | 18/01/2019 | 0.3500 USD
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ADS | CALL | PURCHASE | 100 | 87.5000 | A | 18/01/2019 | 2.0000 USD
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ADS | PUT | PURCHASE | 100 | 80.0000 | A | 18/01/2019 | 2.6100 USD
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ADS | CALL | PURCHASE | 200 | 90.0000 | A | 17/01/2020 | 9.0000 USD
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ADS | PUT | SALE | 800 | 70.0000 | A | 18/01/2019 | 0.6000 USD
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ADS | CALL | SALE | 800 | 105.0000 | A | 15/03/2019 | 1.1500 USD
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ADS | CALL | SALE | 100 | 105.0000 | A | 15/03/2019 | 1.1500 USD
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ADS | CALL | SALE | 100 | 87.5000 | A | 18/01/2019 | 1.7700 USD
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ADS | CALL | SALE | 1,100 | 80.0000 | A | 18/01/2019 | 5.3000 USD
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ADS | CALL | SALE | 1,100 | 80.0000 | A | 18/01/2019 | 5.3000 USD
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ADS | CALL | SALE | 1,500 | 80.0000 | A | 18/01/2019 | 5.3000 USD
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ADS | CALL | SALE | 500 | 80.0000 | A | 18/01/2019 | 5.3000 USD
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ADS | PUT | SALE | 100 | 85.0000 | A | 18/01/2019 | 5.4000 USD
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ADS | CALL | SALE | 100 | 80.0000 | A | 15/02/2019 | 7.1000 USD
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ADS | CALL | SALE | 100 | 80.0000 | A | 15/02/2019 | 7.2000 USD
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ADS | CALL | SALE | 100 | 80.0000 | A | 15/03/2019 | 8.0000 USD
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ADS | CALL | SALE | 100 | 80.0000 | A | 15/03/2019 | 8.3000 USD
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ADS | CALL | SALE | 100 | 77.5000 | A | 15/02/2019 | 8.3000 USD
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ADS | CALL | SALE | 100 | 77.5000 | A | 15/02/2019 | 8.5000 USD
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ADS | CALL | SALE | 100 | 77.5000 | A | 15/02/2019 | 8.6000 USD
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ADS | CALL | PURCHASE | 200 | 92.5000 | A | 18/01/2019 | 0.9300 USD
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ADS | CALL | PURCHASE | 100 | 92.5000 | A | 18/01/2019 | 0.9300 USD
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ADS | PUT | PURCHASE | 300 | 70.0000 | A | 21/06/2019 | 2.8000 USD
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ADS | CALL | PURCHASE | 100 | 75.0000 | A | 15/03/2019 | 10.8900 USD
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ADS | CALL | SALE | 500 | 90.0000 | A | 18/01/2019 | 1.1500 USD
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ADS | CALL | SALE | 500 | 90.0000 | A | 18/01/2019 | 1.1500 USD
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ADS | CALL | SALE | 100 | 82.5000 | A | 18/01/2019 | 3.4400 USD
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ADS | CALL | SALE | 100 | 75.0000 | A | 15/03/2019 | 11.2200 USD
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ADS | CALL | SALE | 100 | 75.0000 | A | 15/03/2019 | 11.5000 USD
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(ii) Exercise
Class of relevant security | Product description e.g. call option | Exercising/ exercised against | Number of securities | Exercise price per unit |
ADS | CALL | Exercising | 700 | 70.0000 USD
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ADS | CALL | Exercising | 2,800 | 75.0000 USD
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ADS | CALL | Exercising | 2,000 | 65.0000 USD
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ADS | CALL | Exercising | 1,000 | 70.0000 USD
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(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) |
N/A | N/A | N/A | N/A
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3. 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
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(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
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Date of disclosure: | 28 DECEMBER 2018
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Contact name: | Craig Horsley
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Telephone number: | +44(141) 245 7736
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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.