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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 | ||||||||
Series A Convertible Preferred Stock | (2) | 09/30/2017 | C | 47.15 | (2) | (2) | Common Stock | 4,715 | (2) | 75,299.13 | D (3) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Glencore AG BAARERMATTSTRASSE 3 P.O. BOX 1301 BAAR, V8 CH-6341 |
X | |||
GLENCORE INTERNATIONAL AG BAARERMATTSTRASSE 3 P.O. BOX 1301 BAAR, V8 CH-6341 |
X | |||
Glencore plc BAARERMATTSTRASSE 3 P.O. BOX 1301 BAAR, V8 CH-6341 |
X |
GLENCORE AG /s/ Stephan Huber, Officer | 10/03/2017 | |
**Signature of Reporting Person | Date | |
GLENCORE AG /s/ David Streule, Officer | 10/03/2017 | |
**Signature of Reporting Person | Date | |
GLENCORE INTERNATIONAL AG /s/ Eric Diedrichsen, Officer | 10/03/2017 | |
**Signature of Reporting Person | Date | |
GLENCORE INTERNATIONAL AG /s/ Robin Scheiner, Officer | 10/03/2017 | |
**Signature of Reporting Person | Date | |
GLENCORE PLC GLENCORE PLC /s/ John Burton, Company Secretary | 10/03/2017 | |
**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 shares of Common Stock acquired upon conversion of 47.15 shares of Series A Convertible Preferred Stock on September 30, 2017. |
(2) | Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date. |
(3) | The shares of Common Stock reported in Table I and the shares of Series A Convertible Preferred Stock reported in Table II 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 plc. |