SC 13D/A
|
|
|
|
OMB APPROVAL |
|
|
OMB Number: 3235-0145 |
|
|
Expires: February 28, 2009
|
|
|
Estimated average burden hours per response...14.5 |
|
|
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D/A
Under the Securities Exchange Act of 1934
(Amendment No. 4 )*
(Name of Issuer)
COMMON STOCK, $0.01 Par Value
(Title of Class of Securities)
(CUSIP Number)
Company
Secretary
Glencore Holding AG
Baarermattstrasse 3
CH-6341
Baar, Switzerland
Phone: 41-41-709-2000
(Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications)
(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 of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. o
Note: Schedules filed in paper format shall
include a signed original and five copies of the schedule, including all exhibits. See § 240.13d-7 for other parties to whom copies are to be sent.
* The remainder of this cover page shall be filled out for a reporting persons 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).
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS
Glencore Investment Pty Ltd |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) o |
|
(b) o |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
Western Australia
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
None |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
14,818,840 shares (1) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
None |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
14,818,840 shares (1) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
14,818,840 shares (1) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
n/a
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
30.2% |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
CO |
(1) Excludes 15,580,014 shares of Common Stock issuable upon conversion of Series A Preferred Stock owned by Glencore Investment Pty Ltd (Glencore Investment), which are convertible only (i) upon the occurrence of events that have not transpired and that are outside of the control of Glencore Investment, or (ii) in circumstances that would not result in an increase in the percentage of shares of Common Stock beneficially owned by Glencore Investment. Includes
22,500 shares subject to options and 1,047 shares of restricted Common Stock held directly by Mr. Willy R. Strothotte, who holds such shares as nominee for the Reporting Persons.
2
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS
Glencore Investments AG |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) o |
|
(b) o |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
Switzerland
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
None |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
14,818,840 shares (1) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
None |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
14,818,840 shares (1) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
14,818,840 shares (1) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
n/a
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
30.2% |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
CO, HC |
(1) Excludes 15,580,014 shares of Common Stock issuable upon conversion of Series A Preferred Stock owned by Glencore Investment, which are convertible only (i) upon the occurrence of events that have not transpired and that are outside of the control of Glencore Investment, or (ii) in circumstances that would not result in an increase in the percentage of shares of Common Stock beneficially owned by Glencore Investment. Includes 22,500 shares subject to options
and 1,047 shares of restricted Common Stock held directly by Mr. Willy R. Strothotte, who holds such shares as nominee for the Reporting Persons.
3
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS
Glencore International AG |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) o |
|
(b) o |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
Switzerland
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
None |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
14,818,840 shares (1) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
None |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
14,818,840 shares (1) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
14,818,840 shares (1) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
n/a
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
30.2% |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
CO, HC |
(1) Excludes 15,580,014 shares of Common Stock issuable upon conversion of Series A Preferred Stock owned by Glencore Investment, which are convertible only (i) upon the occurrence of events that have not transpired and that are outside of the control of Glencore Investment, or (ii) in circumstances that would not result in an increase in the percentage of shares of Common Stock beneficially owned by Glencore Investment. Includes 22,500 shares subject to options
and 1,047 shares of restricted Common Stock held directly by Mr. Willy R. Strothotte, who holds such shares as nominee for the Reporting Persons.
4
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS
Glencore Holding AG |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) o |
|
(b) o |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
Switzerland
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
|
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
14,818,840 shares (1) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
|
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
14,818,840 shares (1) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
14,818,840 shares (1) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
n/a
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
30.2% |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
CO, HC |
(1) Excludes 15,580,014 shares of Common Stock issuable upon conversion of Series A Preferred Stock owned by Glencore Investment, which are convertible only (i) upon the occurrence of events that have not transpired and that are outside of the control of Glencore Investment, or (ii) in circumstances that would not result in an increase in the percentage of shares of Common Stock beneficially owned by Glencore Investment. Includes 22,500 shares subject to options
and 1,047 shares of restricted Common Stock held directly by Mr. Willy R. Strothotte, who holds such shares as nominee for the Reporting Persons.
5
Explanatory Note:
This is the fourth amendment (Amendment No. 4) to the statement on Schedule 13D originally filed by
Glencore AG, Glencore International AG (Glencore International) and Glencore Holding AG (Glencore
Holding) with the Securities and Exchange Commission on April 12, 2001, and amended on May 25, 2004,
November 27, 2007 and July 8, 2008, relating to the common stock, par value $0.01 per share (Common
Stock) of Century Aluminum Company (the Company). The information set forth in this Amendment No.
4 reflects, among other things: (i) the transfer of 11,706,307 shares of Common Stock previously
reported as held directly by Glencore AG to Glencore Investment Pty Ltd (Glencore Investment), a
direct wholly-owned subsidiary of Glencore Investments AG, which is a direct wholly-owned subsidiary
of Glencore International, and (ii) the acquisition by Glencore Investment of additional shares of
Common Stock.
Glencore Investment, Glencore Investments AG, Glencore International and Glencore Holding are
referred to collectively herein as the Reporting Persons. Unless otherwise indicated herein, each
capitalized term used but not defined herein shall have the meaning assigned to such term in the
original Schedule 13D, as amended through the date hereof (the Schedule 13D).
|
|
|
Item 3. |
|
Source and Amount of Funds or Other Consideration |
Item 3 of the Schedule 13D is hereby amended by adding the following to the end thereof:
The aggregate consideration paid by Glencore Investment for the shares of Common Stock acquired in
the Public Offering and pursuant to open market purchases, each as described in Item 4 below, was
$115,318,125 and $47,192,519 in cash, respectively, which was obtained from its internal working
capital.
|
|
|
Item 4. |
|
Purpose of the Transaction |
Item 4 of the Schedule 13D is hereby amended by adding the following to the end thereof:
Glencore Investment purchased an additional 1,852,500 shares of Common Stock in a registered public
offering of the Companys Common Stock that closed on July 16, 2008 (the Public Offering).
Glencore Investment acquired the shares at the public offering price of $62.25 per share.
Effective July 16, 2008, in accordance with the Certificate of Designation for the Companys Series A
convertible preferred stock, par value $0.01 per share (the Preferred Stock), 4,199.86 shares of
Preferred Stock owned by the Reporting Persons were automatically converted into 419,986 shares of
Common Stock, in order to restore the Reporting Persons percentage ownership of the Companys Common
Stock to 28.5% following the completion of the Public Offering (after taking into account Glencore
Investments acquisition of shares in the Public Offering).
Glencore Investment also acquired an additional 816,500 shares of Common Stock in open market
purchases on July 17 and 18, 2008. The shares were purchased in two transactions at purchase prices
of $54.9369 per share and $57.8415 per share resulting in a weighted average purchase price of
$57.7985 per share.
The Reporting Persons acquired shares of Common Stock in the Public Offering and
6
pursuant to the open-market transactions described above in order to maintain an economic interest in the Company at
a level equal to forty-seven percent (47%) of all economic interests in the Company (based on the
number of shares of Common Stock and Preferred Stock issued and outstanding after completion of the
Public Offering, including the exercise of the underwriters overallotment option). Pursuant to
the July 7, 2008 Standstill and Governance Agreement entered into by Glencore AG and the Company, if
the Reporting Persons acquire shares of Common Stock that cause the Reporting Persons to
beneficially own Common Stock equal to more than (i) 28.5% of the Companys issued and outstanding
Common Stock prior to April 8, 2009 or (ii) 49% of the Companys issued and outstanding Common Stock
prior to January 8, 2010, then to the extent their beneficial ownership of Common Shares then
entitled to vote exceeds such percentage, they may not vote a number of shares equivalent to such
excess unless authorized by the Companys Board of Directors, and then, only at the Boards
direction. The acquisitions described above have resulted in the Reporting Persons beneficially
owning 30.16% of the issued and outstanding Common Stock (excluding 23,547 shares of Common Stock
held directly by Willy R. Strothotte, which are subject to unexercised options or to vesting and
therefore not entitled to vote). As a result, prior to April 8, 2009, up to 816,500 shares of
Common Stock beneficially owned by the Reporting Persons may not be voted to the extent they cause
the Reporting Persons beneficial ownership of Common Stock to exceed 28.5% of the Companys issued
and outstanding Common Stock.
Effective July 8, 2008, the Reporting Persons effected certain intercompany transactions pursuant to
which the 11,706,307 shares of Common Stock previously reported as beneficially owned by the
Reporting Persons on this statement, which were previously held directly by Glencore AG, were
transferred to Glencore Investment.
|
|
|
Item 5. |
|
Interest in Securities of the Issuer |
Item 5 of the Schedule 13D is hereby amended and restated to read in its entirety as follows:
(a) The Reporting Persons beneficially own 14,818,840 shares of Common Stock, or 30.2% of the Companys
outstanding Common Stock. The shares reported as beneficially owned by the Reporting Persons: (i) do
not include the 15,580,014 shares of Common Stock issuable upon conversion of the 155,800.14 shares of
Preferred Stock owned by the Reporting Persons, which are convertible only (a) upon the occurrence of
events that have not transpired and that are outside of the control of the Reporting Persons, or (b) in
circumstances that would not result in an increase in the percentage of shares of Common Stock
beneficially owned by the Reporting Persons, and (ii) include 22,500 shares subject to options and
1,047 shares of restricted Common Stock held directly by Mr. Willy R. Strothotte, who holds such shares
as nominee for the Reporting Persons. The aggregate number and percentage of shares of Common Stock
beneficially owned by each person (other than the Reporting Persons) named in Item 2 is set forth
opposite his name on Schedule I hereto. The beneficial ownership percentages reported herein are based
upon (i) the 48,628,410 shares of Common Stock reported as outstanding as of July 16, 2008 (after
giving effect to the Public Offering and the exercise of the underwriters overallotment option), in
the Companys prospectus supplement, dated July 10, 2008, to the Registration Statement on Form S-3
filed with the Securities and Exchange Commission on May 29, 2007, plus (ii) the 419,986 shares of
Common Stock issued to the Reporting Persons upon conversion of 4,199.86 shares of Preferred Stock, as
described in Item 4 above, plus (iii) 22,500 shares which are subject to options presently exercisable
or exercisable within 60 days and 1,047 shares which are subject to vesting in one year or upon earlier
termination of Mr. Willy R. Strothottes service as a Company director due to death or disability all
of which are held directly by Mr. Strothotte as nominee for the reporting persons.
7
(b) The Reporting Persons share the power to vote or to direct the vote and dispose or to direct the
disposition of 14,818,840 shares of Common Stock. To the best knowledge of the Reporting Persons, each
person (other than the Reporting Persons) named in Item 2 has the sole power to vote or to direct the
vote and dispose or to direct the disposition of the number of shares of Common Stock set forth
opposite his name on Schedule I hereto.
(c) During the past 60 days, the persons identified in Item 2 effected the following transactions in
Company Common Stock:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Date of |
|
Number of |
|
|
Transaction Party |
|
Nature of Transaction |
|
Transaction |
|
Shares |
|
Price per Share |
Willy R. Strothotte |
|
Sale (1) |
|
|
6/9/2008 |
|
|
|
1,500 |
|
|
$ |
16.72 |
|
|
Willy R. Strothotte |
|
Stock Grant (2) |
|
|
6/25/2008 |
|
|
|
1,047 |
|
|
$ |
0.00 |
|
|
|
|
(1) |
|
Represents the sale to and purchase by the Reporting Persons
of Common Stock issued to Mr. Willy R. Strothotte upon the
exercise of non-employee director stock options awarded to
Mr. Strothotte in connection with his service as a director of
the Company. Mr. Strothotte holds such shares as nominee for the Reporting Persons and disclaims beneficial ownership of such shares, except to the extent of his pecuniary
interest therein. |
|
|
(2) |
|
Represents shares of restricted stock issued to Mr. Willy R. Strothotte
in connection with his service as a director of the Company. |
To the best knowledge of the Reporting Persons, except for the foregoing and the transactions described in Item 4
above, there have been no transactions in Common Stock by the Reporting Persons or any other person named in Item 2 during the past sixty days.
|
(d) |
|
None. |
|
|
(e) |
|
Not applicable. |
|
|
|
Item 6. |
|
Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer |
Item 6 is hereby amended by adding the following to the end thereof:
In
connection with the Public Offering, each of Glencore Investment,
Glencore AG and Mr. Willy R.
Strothotte entered into a Lock-Up Agreement (the Lock-Up Agreements) pursuant to which they agreed
that without the prior written consent of Credit Suisse Securities (USA) LLC and Morgan Stanley & Co.
Incorporated, as representatives on behalf of the underwriters of the Public Offering, they will not,
during the period ending 90 days after July 10, 2008: (i) offer, pledge, sell, contract to sell, sell
any option or contract to purchase, purchase any option or contract to sell, grant any option, right
or warrant to purchase, lend, or otherwise transfer or dispose of directly or indirectly, any shares
of Common Stock or any securities convertible into or exercisable or exchangeable for Common Stock or
(ii) enter into any swap or other arrangement that transfers to another, in whole or in part, any of
the economic consequences of ownership of the Common Stock. The restrictions in the Lock-Up
Agreements will not apply to certain transfers, including as part of a third party acquisition of the
Company.
The foregoing description of the Lock-Up Agreements is subject to, and qualified in its entirety by
reference to the full text thereof, the forms of which is attached hereto as Exhibits 2 and 3, and
are hereby incorporated herein by reference.
8
|
|
|
Item 7. |
|
Material to Be Filed as Exhibits |
The following exhibits are filed herewith:
|
|
|
Exhibit 1.
|
|
Joint Filing Agreement |
|
|
|
Exhibit 2.
|
|
Form of Glencore Investment Pty Ltd and Glencore AG Lock-Up Agreement |
|
|
|
Exhibit 3.
|
|
Form of Willy R. Strothotte Lock-Up Agreement |
|
|
|
Exhibit 24.1
|
|
Power of Attorney |
9
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.
Date: July 18, 2008
|
|
|
|
|
|
Glencore Investment Pty Ltd
|
|
|
By: |
/s/ Valarie A. Hing
|
|
|
|
Name: |
Valarie A. Hing |
|
|
|
Title: |
Attorney-in-Fact |
|
|
|
Glencore Investments AG
|
|
|
By: |
/s/ Valarie A. Hing
|
|
|
|
Name: |
Valarie A. Hing |
|
|
|
Title: |
Attorney-in-Fact |
|
|
|
Glencore International AG
|
|
|
By: |
/s/ Valarie A. Hing
|
|
|
|
Name: |
Valarie A. Hing |
|
|
|
Title: |
Attorney-in-Fact |
|
|
|
Glencore Holding AG
|
|
|
By: |
/s/ Valarie A. Hing
|
|
|
|
Name: |
Valarie A. Hing |
|
|
|
Title: |
Attorney-in-Fact |
|
10
SCHEDULE I
Set forth below are the names, business addresses and present principal occupations of the
directors and executive officers of Glencore Investment Pty Ltd, Glencore Investments AG, Glencore
International AG and Glencore Holding AG. The executive officers of each of Glencore Investment Pty
Ltd, Glencore Investments AG, Glencore Holding AG and Glencore International AG are the same
persons listed as directors of such company. Unless otherwise indicated, the present principal
occupation of each person is with Glencore International AG. If no business address is given, the
address is Baarermattstrasse 3, CH-6341, Baar, Switzerland. Unless otherwise indicated, all of the
persons listed below are citizens of Switzerland. To the best knowledge of the Reporting Persons,
except as set forth below, none of the persons listed below beneficially owns any shares of Common
Stock of the Company.
Directors of Glencore Investment Pty Ltd
|
|
|
|
|
|
|
Name |
|
Principal Occupation |
|
Business address |
|
Share Ownership |
|
|
|
|
|
|
|
Steven N. Isaacs
|
|
Chairman and Managing
Director of Glencore
Finance AG |
|
|
|
|
|
|
|
|
|
|
|
Richard James Marshall
|
|
In-house Counsel of
Glencore International AG |
|
|
|
|
|
|
|
|
|
|
|
Eric Diedrichsen
|
|
Employee of Glencore
International AG
Accounting |
|
|
|
|
|
|
|
|
|
|
|
Marc Ocksay
|
|
Employee of Glencore
International AG
Finance |
|
|
|
|
|
|
|
|
|
|
|
Ross Lind
|
|
Employee of Glencore
Investment Pty Ltd
|
|
Level 4, 30 The Esplanade, Perth, 6000, Australia |
|
|
|
|
|
|
|
|
|
Ron Hing
|
|
Employee of Glencore Australia Pty Ltd |
|
Level 4, 30 The Esplanade, Perth, 6000, Australia |
|
|
|
|
|
|
|
|
|
Directors of Glencore Investments AG
|
|
|
|
|
|
|
|
|
|
|
Name |
|
Principal Occupation |
|
Business address |
|
Share Ownership |
Willy R. Strothotte
(Citizen of Germany)
|
|
Chairman
|
|
|
|
23,547 shares of Common Stock (which
includes 22,500 shares which are subject
to options presently exercisable or
exercisable within 60 days and 1,047
shares which are subject to vesting in one
year or upon earlier termination of
service as a Company director due to death
or disability) (1) |
|
|
|
|
|
|
|
Steven F. Kalmin
(Citizen of Australia)
|
|
Officer of Glencore
International AG
Accounting |
|
|
|
|
|
|
|
|
|
|
|
Andreas P. Hubmann
|
|
Officer of Glencore International AG Accounting |
|
|
|
|
11
Directors of Glencore International AG:
|
|
|
|
|
|
|
Name |
|
Principal Occupation |
|
Business address |
|
Share Ownership |
|
|
|
|
|
|
|
Willy R. Strothotte
(Citizen of Germany)
|
|
Chairman
|
|
|
|
23,547 shares of Common
Stock (which includes
22,500 shares which are
subject to options
presently exercisable or
exercisable within 60 days
and 1,047 shares which are
subject to vesting in one
year or upon earlier
termination of service as
a Company director due to
death or disability). (1) |
|
|
|
|
|
|
|
Ivan Glasenberg
(Citizen of Australia)
|
|
Chief Executive Officer |
|
|
|
|
|
|
|
|
|
|
|
Zbynek E. Zak
|
|
Non-Executive Director,
former CFO of Glencore
International AG (retired)
|
|
Buetzenweg 16
CH-6300 Zug
Switzerland |
|
|
|
|
|
|
|
|
|
Peter A. Pestalozzi
|
|
Attorney, Pestalozzi
Lachenal Patry Zurich Ltd.
|
|
Loewenstrasse 1
CH-8001 Zurich
Switzerland |
|
|
|
|
|
|
|
|
|
Craig A. Davis
(Citizen of the US)
|
|
Non-Executive Director,
former Chairman and CEO
of Century Aluminum
Company (retired)
|
|
|
|
457 shares of Common Stock. |
Directors of Glencore Holding AG:
|
|
|
|
|
|
|
Name |
|
Principal Occupation |
|
Business Address |
|
Share Ownership |
Willy R. Strothotte
(Citizen of Germany)
|
|
Chairman
|
|
|
|
23,547 shares of Common
Stock (which includes
22,500 shares which are
subject to options
presently exercisable or
exercisable within 60 days
and 1,047 shares which are
subject to vesting in one
year or upon earlier
termination of service as
a Company director due to
death or disability). (1) |
|
|
|
|
|
|
|
Ivan Glasenberg
(Citizen of Australia)
|
|
Chief Executive Officer |
|
|
|
|
|
|
|
|
|
|
|
Zbynek E. Zak
|
|
Non-Executive Director,
former CFO of Glencore
International AG (retired)
|
|
Buetzenweg 16
CH-6300 Zug
Switzerland |
|
|
|
|
|
|
|
|
|
Peter A. Pestalozzi
|
|
Attorney, Pestalozzi
Lachenal Patry Zurich Ltd.
|
|
Loewenstrasse 1
CH-8001 Zurich
Switzerland |
|
|
|
|
|
|
|
|
|
Craig A. Davis
(Citizen of the US)
|
|
Non-Executive Director,
former Chairman and CEO
of Century Aluminum
Company (retired)
|
|
|
|
457 shares of Common Stock. |
|
|
|
|
|
|
|
Andreas P. Hubmann
|
|
Officer of Glencore
International AG
Accounting |
|
|
|
|
|
|
|
(1) |
|
Represents shares underlying options and restricted stock that were issued to Mr. Willy R.
Strothotte in connection with his service as a director of the Company. Mr. Strothotte holds
such options and shares of restricted stock as nominee for the Reporting Persons and disclaims
beneficial ownership thereof, except to the extent of his pecuniary interest therein. |
12
Exhibit Index:
|
|
|
Exhibit 1.
|
|
Joint Filing Agreement |
|
|
|
Exhibit 2.
|
|
Form of Glencore Investment Pty Ltd and Glencore AG Lock-Up Agreement |
|
|
|
Exhibit 3.
|
|
Form of Willy R. Strothotte Lock-Up Agreement |
|
|
|
Exhibit 24.1
|
|
Power of Attorney |
13