10/02/2024 | Press release | Distributed by Public on 10/02/2024 08:37
FORM 4
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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 or Section 30(h) of the Investment Company Act of 1940 |
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1. Title of Derivate Security | 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 | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security | 8. Price of Derivative Security | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) | 11. Nature of Indirect Beneficial Ownership |
Code | V | (A) | (D) | Date Exercisable | Expriation Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GLENCORE INTERNATIONAL AG BAARERMATTSTRASSE 3 P.O. BOX 1363 BAAR, V8CH-6341 |
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X |
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Glencore AG BAARERMATTSTRASSE 3 P.O. BOX 1363 BAAR, V8CH-6341 |
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X |
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Glencore plc BAARERMATTSTRASSE 3 P.O. BOX 1363 BAAR, V8CH-6341 |
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X |
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GLENCORE AG By: /s/ Martin Haering Name: Martin Haering Title: Director By: /s/ Carlos Perezagua Name: Carlos Perezagua Title: Director | 2024-10-02 |
**Signature of Reporting Person | Date |
GLENCORE INTERNATIONAL AG By: /s/ John Burton Name: John Burton Title: Director By: /s/ Steven Kalmin Name: Steven Kalmin Title: Director | 2024-10-02 |
**Signature of Reporting Person | Date |
GLENCORE PLC By: /s/ John Burton Name: John Burton Title: Company Secretary | 2024-10-02 |
**Signature of Reporting Person | Date |
(*) | If the form is filed by more than one reporting person, see Instruction 5(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 131.92 shares of Series A Convertible Preferred Stock on September 30, 2024. |
(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 Line 1 of 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 may be deemed to be indirectly beneficially owned by Glencore International AG. The Common Stock reported on Line 2 of Table I is held directly by Glencore International AG. Glencore International AG is wholly owned by Glencore plc, which may be deemed an indirect beneficial owner of the securities held by Glencore AG and Glencore International AG. |