|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| |||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Glencore AG BAARERMATTSTRASSE 3 PO BOX 666 BAAR, V8 CH-6341 |
X | |||
GLENCORE INTERNATIONAL AG BAARERMATTSTRASSE 3 P.O. BOX 666 BAAR, V8 CH-6341 |
X | |||
GLENCORE INTERNATIONAL PLC BAARERMATTSTRASSE 3 P.O. BOX 666 BAAR, V8 CH-6341 |
X |
GLENCORE AG - : /s/ Steven Blumgart, Officer and Richard Marshall, Officer | 08/11/2011 | |
**Signature of Reporting Person | Date | |
GLENCORE INTERNATIONAL AG - /s/ Gerda Schwindt, Officer and Gary Fegel, Officer | 08/11/2011 | |
**Signature of Reporting Person | Date | |
GLENCORE INTERNATIONAL PLC - /s/ Steven Kalmin, Director | 08/11/2011 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Represents the purchase of 503,343 shares in separate transactions, ranging from $9.125 to $9.35 per share, resulting in a weighted average purchase price per share of $9.3149. The Reporting Persons undertake to provide upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price within the range. |
(2) | The shares are held directly by Glencore AG, a direct wholly-owned subsidiary of Glencore International AG, and indirectly by Glencore International AG and its parent, Glencore International plc. |