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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 |
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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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option | $ 7.34 | 06/25/2013 | C | 3,000 | (1) | 06/25/2013 | Common Stock | 3,000 | (1) | 12,000 (3) | I | By nominee (3) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Glencore AG BAARERMATTSTRASSE 3 P.O. BOX 666 BAAR, V8 CH-6341 |
X | |||
GLENCORE INTERNATIONAL AG BAARERMATTSTRASSE 3 P O BOX 555 CH 6341 BAAR SWITZERLAND |
X | |||
Glencore Xstrata plc BAARERMATTSTRASSE 3 P.O. BOX 777 BAAR, V8 CH-6341 |
X |
/s/ Steven Kalmin, Director, GLENCORE AG | 06/28/2013 | |
**Signature of Reporting Person | Date | |
/s/ Andreas Hubmann, Director, GLENCORE AG | 06/28/2013 | |
**Signature of Reporting Person | Date | |
/s/ Martin Haering, Officer, GLENCORE INTERNATIONAL AG | 06/28/2013 | |
**Signature of Reporting Person | Date | |
/s/ Andrew Caplan, Officer, GLENCORE INTERNATIONAL AG | 06/28/2013 | |
**Signature of Reporting Person | Date | |
/s/ Ivan Glasenberg, Director, GLENCORE XSTRATA PLC | 06/28/2013 | |
**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) | The shares of common stock reported in Table I represents shares of common stock acquired upon exercise of an option to acquire 3,000 shares of common stock by Mr. Willy R. Strothotte, who held the option as nominee for Glencore AG. As a result of the exercise of the option, the acquired shares are now held directly by Glencore AG. The option was granted on June 25, 2003 and vested and became exercisable in four equal installments on each of (i) the date three months following the date of grant, (ii) the date six months following the date of grant, (iii) the date nine months following the date of grant and (iv) the first anniversary of the date of grant. |
(2) | The shares of common stock reported in Table I are held directly, and the stock options reported in Table II are held indirectly, by Glencore AG a direct wholly-owned subsidiary of Glencore International AG, and indirectly by Glencore International AG and its parent, Glencore Xstrata plc. |
(3) | Represents options granted to Mr. Willy R. Strothotte, a former director of the issuer, between July 19, 2004 and May 24, 2007, which Mr. Strothotte holds as nominee for Glencore AG. Options vest and become exercisable in four equal installments on each of (i) the date three months following the date of grant, (ii) the date six months following the date of grant, (iii) the date nine months following the date of grant and (iv) the first anniversary of the date of grant. The options will expire and cease to be exercisable on the respective tenth anniversaries of the date of grant. |