UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D/A
Under the Securities Exchange Act of 1934
(Amendment No. 5)*
ANGLOGOLD ASHANTI LIMITED
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(Name of Issuer)
ORDINARY SHARES
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(Title of Class of Securities)
035128206
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(CUSIP Number)
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Nicholas Jordan
Company Secretary
Anglo American plc
20 Carlton House Terrace
London SW1Y 5AN
United Kingdom
011-44-20-7968-8888
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(Name, Address and Telephone Number of Person Authorized
to Receive Notices and Communications)
October 26, 2005
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(Date of Event Which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition that is the subject of this Schedule 13D, and is filing this
schedule because ss. 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g) check the
following box { }.
Note: Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See ss. 240.13d-7(b) for other
parties to whom copies are to be sent.
* The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter
disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
Page 1
SCHEDULE 13D
CUSIP No. 035128 20 6
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NAME OF REPORTING PERSONS ANGLO AMERICAN PLC
1
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS:
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) {x}
(b) { }
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3 SEC USE ONLY
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4 SOURCE OF FUNDS: NA
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) { }
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6 CITIZENSHIP OR PLACE OF ORGANIZATION: England and Wales
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7 SOLE VOTING POWER
NONE
NUMBER OF ----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 134,788,099
EACH ----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH NONE
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10 SHARED DISPOSITIVE POWER
134,788,099
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
134,788,099
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(See Instructions) { }
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
50.90%
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14 TYPE OF REPORTING PERSON (See Instructions)
CO
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Page 2
SCHEDULE 13D
CUSIP No. 035128 20 6
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NAME OF REPORTING PERSONS ANGLO SOUTH AFRICA CAPITAL (PTY) LTD.
1
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS:
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) {x}
(b) { }
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3 SEC USE ONLY
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4 SOURCE OF FUNDS: NA
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) { }
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6 CITIZENSHIP OR PLACE OF ORGANIZATION: The Republic of South Africa
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7 SOLE VOTING POWER
NONE
NUMBER OF ----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 134,788,099
EACH ----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH NONE
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10 SHARED DISPOSITIVE POWER
134,788,099
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
134,788,099
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(See Instructions) { }
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
50.90%
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14 TYPE OF REPORTING PERSON (See Instructions)
CO
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Page 3
This Amendment No. 5 ("Amendment No. 5") amends and restates the
Statement on Schedule 13D, originally filed on November 21, 2003, and amended
and supplemented on February 25, 2004 by Amendment No. 1, on May 10, 2004 by
Amendment No. 2 on June 7, 2004 by Amendment No. 3, and on June 21, 2004 by
Amendment No. 4.
Since the date of Amendment No. 4, the Reporting Persons have acquired
beneficial ownership of no additional Ordinary Shares.
Item 1. Security and Issuer.
This Statement on Schedule 13D, as amended from time to time (this
"Statement"), relates to the ordinary shares, par value ZAR 0.25 per share (the
"Ordinary Shares"), of AngloGold Ashanti Limited (formerly, AngloGold Limited),
a corporation organized under the laws of the Republic of South Africa (the
"Issuer"). The principal executive offices of the Issuer are located at 11
Diagonal Street, Johannesburg, 2001 South Africa.
Item 2. Identity and Background.
This Statement is being jointly filed by Anglo American plc and Anglo
South Africa Capital (Pty) Ltd. (together, the "Reporting Persons").
Anglo American plc ("Anglo American"), a corporation incorporated under
the laws of England and Wales, has its principal executive offices at 20 Carlton
House Terrace, London SW1Y 5AN, United Kingdom and is a global leader in the
mining and natural resource sectors.
Anglo South Africa Capital (Pty) Ltd. ("Anglo SA Capital"), a
corporation incorporated under the laws of the Republic of South Africa, has its
principal executive offices at 44 Main Street, Johannesburg 2001 South Africa
and is an indirect, wholly owned subsidiary of Anglo American.
Anglo SA Capital is a wholly owned subsidiary of Anglo South Africa
(Pty) Ltd. ("ASA"), which is a wholly owned subsidiary of Anglo American South
Africa Limited ("AASA"), which is a wholly owned subsidiary of Anglo American
International S.A. ("AA International"), which is a wholly owned subsidiary of
Anglo American (ASA, AASA, and AA International, collectively the "Holding
Companies"). Other than pursuant to the directions received from Anglo American,
none of the Holding Companies has or shares the voting power or investment power
within the meaning of Rule 13d-3 under the Securities Exchange Act of 1934, as
amended (the "Exchange Act").
The directors and executive officers of each of Anglo American and
Anglo SA Capital are set forth on Exhibit A attached hereto. Exhibit A sets
forth the following information with respect to each such person: (i) name; (ii)
business address; (iii) present principal occupation or employment and the name,
principal business address of any corporation or other organization in which
such employment is conducted; and (iv) citizenship.
During the last five years, none of the Reporting Persons or the
Holding Companies nor, to the best knowledge of each of the Reporting Persons,
any person named in Exhibit A attached hereto has been (a) convicted in a
criminal proceeding (excluding traffic violations or similar misdemeanors) or
(b) a party to a civil proceeding of a judicial or administrative body of
competent jurisdiction and as a result of such proceeding was or is subject to a
judgment, decree or final order enjoining future violations of, or prohibiting
or mandating activities subject to, federal or state securities laws or finding
any violation with respect to such laws. Exhibit A is incorporated herein by
reference.
Item 3. Source and Amount of Funds or Other Considerations.
Not applicable.
Page 4
Item 4. Purpose of Transaction.
Anglo American is the largest shareholder of the Issuer. The number of
members affiliated with Anglo American on the Issuer's Board of Directors may be
reduced as the Reporting Persons' percentage ownership of the Issuer declines.
Currently there is no agreement between the Issuer and Anglo American concerning
membership on the Issuer's Board of Directors by Anglo American.
In order to give the Issuer greater flexibility to pursue its strategic
agenda, the Reporting Persons have decided to reduce their shareholding in the
Issuer and no longer to seek to retain it as a subsidiary. For more information
see Exhibit B.
The Reporting Persons intend to continuously review their holdings in
the Issuer on a regular basis and, as a result thereof, in determining plans or
proposals with respect to the Issuer, may at any time or from time to time
determine to (a) dispose of any securities of the Issuer owned by them in the
open market, in privately negotiated transactions or otherwise, in such
quantities and at such times as may be determined from time to time, or (b) take
any other available course of action, which could involve one or more of the
types of transactions or have one or more of the results described in the next
paragraph of this Item 4. In reaching any decision as to their course of action
(as well as to the specific elements thereof), the Reporting Persons currently
expect that they would take into consideration a variety of factors, including,
but not limited to, the Issuer's business, financial condition and prospects,
other developments concerning the Issuer and its equity financing requirements
and its businesses generally, other developments and other business
opportunities available to the Reporting Persons, developments with respect to
the Reporting Persons' business and general economic outlook, changes in law and
government regulations, general economic conditions, and money, currency,
commodity and stock market conditions, including the market price of the
securities of the Issuer.
Other than as set forth in this Statement, the Reporting Persons have
no present plans or proposals which relate to or would result in any of the
following (although the Reporting Persons reserve the right to develop such
plans or proposals in the future): (i) the acquisition by any person of
additional securities of the Issuer, or the disposition of securities of the
Issuer, (ii) an extraordinary corporate transaction, such as a merger,
reorganization or liquidation, involving the Issuer or any of its subsidiaries,
(iii) a sale or transfer of a material amount of assets of the Issuer or of any
of its subsidiaries, (iv) any change in the present Board of Directors or
management of the Issuer, (v) any material change in the present capitalization
or dividend policy of the Issuer, (vi) any other material change in the Issuer's
business or corporate structure, (vii) changes in the Issuer's charter, bylaws
or instruments corresponding thereto or other actions which may impede the
acquisition of control of the Issuer by any person, (viii) a class of securities
of the Issuer being delisted from a national securities exchange or ceasing to
be authorized to be quoted in an inter-dealer quotation system of a registered
national securities association, (ix) a class of equity securities of the Issuer
becoming eligible for termination of registration, or (x) any action similar to
any of those enumerated above.
Item 5. Interest in Securities of the Issuer.
(a) The responses of the Reporting Persons to Rows (11) through (13) of
the cover pages of this Statement are incorporated herein by reference. The
Reporting Persons are the sole beneficial owners of 134,788,099 Ordinary Shares
representing 50.90% of the outstanding Ordinary Shares. The calculation of the
foregoing percentage is based on the number of Ordinary Shares outstanding as of
October 24, 2005 (the "Outstanding Shares").
Mr. R.M. Godsell is a beneficial owner of 9,177 Ordinary Shares and has
sole voting and dispositive power with respect to such Ordinary Shares. Mr. R.M.
Godsell is also a beneficial owner of 239,735 Ordinary Shares that Mr. Godsell
has the right to acquire upon the exercise of the options issued under the
Issuer's Share Incentive Scheme. The number of Ordinary Shares beneficially
owned by Mr. Godsell represents less than 0.1% of the Outstanding Shares.
Page 5
Mr. G.G. Gomwe is a beneficial owner of 120 Ordinary Shares and has
sole voting and dispositive power with respect to such Ordinary Shares. The
number of Ordinary Shares beneficially owned by Mr. Gomwe represents less than
0.1% of the Outstanding Shares.
As trustee of The BRO Trust, Mr. N.F. Oppenheimer shares with his fellow
trustees the power to direct the receipt of dividends from, or the proceeds from
the sale of, 4,370 Ordinary Shares, which represents less than 0.1% of the
Outstanding Shares. The exercise of such power requires the unanimous approval
of all trustees of the BRO Trust. Mr. Oppenheimer is not a beneficiary of The
BRO Trust, which is a charitable trust.
Except as disclosed in this Item 5(a), none of the Reporting Persons or
the Holding Companies nor, to the best of their knowledge, any of the persons
listed on Exhibit A to this Statement beneficially owns any Ordinary Shares or
has the right to acquire any Ordinary Shares.
(b) All decisions with respect to the voting and/or disposition of the Ordinary
Shares owned by the Reporting Persons are currently made by the Board of
Directors of Anglo American. Accordingly, Anglo American has the power to direct
the voting and/or disposition of the Ordinary Shares held by Anglo SA
Capital, and Anglo SA Capital has the power to vote and/or dispose of the
Ordinary Shares (which power is exercised at the direction of Anglo American).
The responses of the Reporting Persons to (i) Rows (7) through (10) of the cover
pages of this Statement and (ii) Item 5(a) hereof are incorporated herein by
reference.
(c) On June 18, 2004, Anglo SA Capital settled its acquisition of 2,700,000
Ordinary Shares from Lonmin plc at a price of ZAR 194.43 per Ordinary Share
(including securities tax and other costs) as part of an international offering
by Lonmin plc of the Ordinary Shares owned by Lonmin plc.
Except as disclosed in this Amendment No. 5, none of the Reporting
Persons or the Holding Companies nor, to the best of their knowledge, any of the
persons listed on Exhibit A has effected any transaction in the Ordinary Shares
since June 21, 2004, the date of Amendment No. 4.
(d) To the best knowledge of the Reporting Persons, other than the Holding
Companies, no other person has the right to receive or the power to direct the
receipt of dividends from, or the proceeds from the sale of, the Ordinary Shares
beneficially owned by the Reporting Persons.
(e) Not applicable.
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect
to Securities of the Issuer.
There are no contracts, arrangements, understandings or relationships
(legal or otherwise) between any of the Reporting Persons and between such
persons and any other person with respect to any securities of the Issuer,
including, but not limited to, transfer or voting of any securities, finder's
fees, joint ventures, loan or option arrangements, puts or calls, guarantees of
profits, division of profits or losses, or the giving or withholding of proxies.
Item 7. Materials to be Filed as Exhibits.
Exhibit Description
Exhibit A Directors and Officers of Anglo American and Anglo SA Capital.
Exhibit B Anglo American plc press release
Page 6
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
Dated:
October 26, 2005 ANGLO AMERICAN PLC
/s/ Nicholas Jordan
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Signature
Nicholas Jordan/Company Secretary
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Name/Title
Dated:
October 26, 2005 ANGLO SOUTH AFRICA CAPITAL (PTY) LTD
By: ANGLO AMERICAN PLC
Pursuant to the Joint Filing Agreement
/s/ Nicholas Jordan
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Signature
Nicholas Jordan/Company Secretary
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Name/Title
Page 7
EXHIBIT INDEX
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Exhibit Description
Exhibit A Directors and Officers of Anglo American and Anglo SA Capital.
Exhibit B Anglo American plc press release
Page 8