J.P. Morgan Securities LLC Form 8.5 (EPT/NON-RI) - Barrick Gold Corporation

Fecha : 18/09/2019 @ 05:04
Fuente : UK Regulatory (RNS & others)
Emisora : Barrick Gold Corp (0R22)
Cotización : 1304.7  2.2 (0.17%) @ 10:19
Barrick Gold Cotización de acciones Gráfica

J.P. Morgan Securities LLC Form 8.5 (EPT/NON-RI) - Barrick Gold Corporation

Barrick Gold (LSE:0R22)
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RNS Number : 8103M

J.P. Morgan Securities LLC

18 September 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   Barrick Gold Corporation 
 securities this form relates: 
 Use a separate form for each offeror/offeree 
                                                            ---------------------------------------------------------- 
 (c) Name of the party to the offer with which exempt        Financial Adviser and Corporate Broker to Acacia Mining 
 principal trader is connected:                              plc 
                                                            ---------------------------------------------------------- 
 (d) Date position held/dealing undertaken:                  17 September 2019 
 For an opening position disclosure, state the latest 
 practicable date prior to the disclosure 
                                                            ---------------------------------------------------------- 
 (e) In addition to the company in 1(b) above, is the        No 
 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" 
                                                            ---------------------------------------------------------- 
 
   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:                  1,107,459   0.06    756,166     0.04 
                                                                                 ----------  -----  -----------  ----- 
                         (2) Cash-settled derivatives:                            1,163,944   0.07   1,428,368    0.08 
                                                                                 ----------  -----  -----------  ----- 
      (3) Stock-settled derivatives (including options) and agreements to 
                                 purchase/sell:                                   1,398,100   0.08    965,200     0.06 
                                                                                 ----------  -----  -----------  ----- 
 
                                      TOTAL:                                      3,669,503   0.21   3,149,734    0.18 
                                                                                 ----------  -----  -----------  ----- 
 

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      Purchases/ sales       Total number of       Highest price per unit   Lowest price per unit 
        security                                   securities              paid/received            paid/received 
      Common stock           Purchases               768,482                18.7400 USD              17.9441 USD 
                                                      17,500                 23.6976 CAD              23.6976 CAD 
 
                                Sales                720,889                 18.7400 USD              17.8000 USD 
                                                      19,228                 23.9000 CAD              23.7072 CAD 
                         -----------------  ------------------------  -----------------------  ----------------------- 
 
   (b)        Cash-settled derivative transactions 
 
    Class of relevant       Product description      Nature of dealing         Number of reference      Price per unit 
         security                 e.g. CFD         e.g. opening/closing a           securities 
                                                    long/short position, 
                                                   increasing/reducing a 
                                                    long/short position 
       Common stock            Equity Swaps                 Long                     180,878             17.9441 USD 
                                                                                       7,500              23.7072 CAD 
                                                                                      10,000              23.7586 CAD 
                                                                                       1,000              23.9095 CAD 
 
                                                            Short                       134               18.0600 USD 
                                                                                      17,500              23.6976 CAD 
                           --------------------  -------------------------  -------------------------  --------------- 
 
   (c)        Stock-settled derivative transactions (including options) 
   (i)         Writing, selling, purchasing or varying 
 
   Class of       Product        Writing,      Number of       Exercise          Type       Expiry date   Option money 
   relevant     description    purchasing,     securities      price per         e.g.                        paid/ 
   security      e.g. call       selling,       to which         unit         American,                   received per 
                   option      varying etc.      option          (USD)         European                       unit 
                                                relates                          etc.                        (USD) 
 Common Stock 
               -------------  -------------  -------------  --------------  -------------  ------------  ------------- 
 
   (ii)        Exercise 
 
   Class of relevant      Product description   Exercising/ exercised    Number of securities     Exercise price per 
        security            e.g. call option           against                                           unit 
 
 
   (d)        Other dealings (including subscribing for new securities) 
 
 Class of relevant security         Nature of dealing          Details   Price per unit (if applicable) 
                               e.g. subscription, conversion 
 
 
   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:    18 September 2019 
 Contact name:          Alwyn Basch 
                       ------------------ 
 Telephone number:      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           Product         Written or        Number of      Exercise price         Type        Expiry date 
    relevant         description        purchased      securities to       per unit       e.g. American, 
    security          e.g. call                         which option         (USD)        European etc. 
                       option                          or derivative 
                                                          relates 
  Common Stock       Call Option        Purchased          70,000          15.00 USD         American      15/01/2021 
                     Call Option        Purchased          40,000          15.00 USD         American       17/01/2020 
                     Call Option        Purchased          150,000         15.00 USD         American       17/01/2020 
                     Call Option         Written           22,900          12.00 USD         American       19/06/2020 
                     Call Option        Purchased          22,900          12.00 USD         American       19/06/2020 
                     Call Option        Purchased          21,200          15.00 USD         American       19/06/2020 
                     Call Option         Written           21,200          15.00 USD         American       19/06/2020 
                     Call Option         Written           21,400          17.00 USD         American       19/06/2020 
                     Call Option        Purchased          21,400          17.00 USD         American       19/06/2020 
                     Call Option        Purchased          670,000         19.00 USD         European       17/01/2020 
                      Put Option        Purchased          40,000          10.00 USD         American       17/01/2020 
                      Put Option        Purchased          150,000         13.00 USD         American       17/01/2020 
                      Put Option         Written           101,700         10.00 USD         American       19/06/2020 
                      Put Option        Purchased          101,700         10.00 USD         American       19/06/2020 
                     Call Option         Written            8,000          19.00 USD         American       18/10/2019 
                     Call Option        Purchased           5,900          20.00 USD         American       20/09/2019 
                     Call Option         Written           500,000         20.00 USD         American       17/01/2020 
                     Call Option        Purchased          295,000         19.00 USD         American       20/09/2019 
                     Call Option         Written           100,000         19.00 USD         American       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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