Form 8.5 (EPT/NON-RI)

Form 8.5 (EPT/NON-RI)

BARCLAYS PLC

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

1. KEY INFORMATION        
(a) Name of exempt principal trader:       BARCLAYS CAPITAL SECURITIES LTD
(b) Name of offeror/offeree in relation to whose       BARRICK GOLD CORPORATION
  relevant securities this form relates:        
(c) Name of the party to the offer with which exempt       RANDGOLD RESOURCES LIMITED
  principal trader is connected        
(d) Date position held/dealing undertaken:       06 December 2018
(e) In addition to the company in 1(b) above, is the exempt principal       YES:
  trader making disclosures in respect of any other party to the offer?       RANDGOLD RESOURCES LIMITED

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:         Ordinary NPV    
      Interests               Short Positions        
          Number       (%)       Number       (%)
(1) Relevant securities owned                                
  and/or controlled:       460,535       0.04%       1,337,217       0.11%
                                   
(2) Cash-settled derivatives:                                
          558,400       0.05%       115,354       0.01%
                                   
(3) Stock-settled derivatives (including options)                        
  and agreements to purchase/sell:       6,880,000       0.59%       2,288,000       0.20%
                                   
                                   
  TOTAL:       7,898,935       0.68%       3,740,571       0.32%
                 

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     Purchase/sale       Total number of       Highest price per unit       Lowest price per unit
security             securities       paid/received       paid/received
Ordinary NPV     Purchase       1,545       11.5300 EUR       11.5221 EUR
Ordinary NPV     Purchase       6,784       17.8700 CAD       17.87 CAD
Ordinary NPV     Sale       1,545       11.5300 EUR       11.5221 EUR

(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 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
                                                         
                                         

(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
Date of disclosure:       7 Dec 2018
Contact name:       Large Holdings Regulatory Operations
Telephone number:       020 3134 7213
     

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 CAPITAL SECURITIES LTD
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       Written       -429,000       17.0000       American       17 Jan 2020
Ordinary NPV       Call Options       Written       -429,000       17.0000       American       15 Jan 1919
Ordinary NPV       Call Options       Written       -350,000       20.0000       American       16 Jan 1918
Ordinary NPV       Call Options       Written       -350,000       20.0000       American       18 Jan 2019
Ordinary NPV       Call Options       Written       -240,000       17.0000       American       18 Jan 2019
Ordinary NPV       Call Options       Written       -240,000       17.0000       American       16 Jan 1918
Ordinary NPV       Call Options       Written       -125,000       13.0000       American       18 Jan 2019
Ordinary NPV       Call Options       Written       -125,000       13.0000       American       16 Jan 1918
Ordinary NPV       Put Options       Written       50,000       17.0000       American       18 Jan 2019
Ordinary NPV       Put Options       Written       50,000       17.0000       American       16 Jan 1918
Ordinary NPV       Put Options       Written       225,000       10.0000       American       16 Jan 1918
Ordinary NPV       Put Options       Written       225,000       10.0000       American       18 Jan 2019
Ordinary NPV       Put Options       Written       695,000       10.0000       American       15 Jan 1919
Ordinary NPV       Put Options       Written       895,000       10.0000       American       17 Jan 2020
Ordinary NPV       Put Options       Written       2,370,000       13.0000       American       16 Jan 1918
Ordinary NPV       Put Options       Written       2,370,000       13.0000       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:
 
 

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.

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