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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/05/24 Vale S.A. S-8 2/05/24 5:3M MZ Technologies/FA |
Document/Exhibit Description Pages Size
1: S-8 Registration Statement - Securities for an HTML 51K
Employee Benefit Plan
2: EX-4.2 Instrument Defining the Rights of Security Holders HTML 7K
3: EX-5.1 Opinion of Counsel re: Legality HTML 13K
4: EX-23.2 Consent of Expert or Counsel HTML 5K
5: EX-FILING FEES Calculation of Filing Fee Tables HTML 10K
| Page | (sequential) | (alphabetic) | ↑Top | ||
|---|---|---|---|---|---|
| 1 | 1st Page – Filing Submission | ||||
| " | 24.1 | ||||
| " | Power of Attorney (included in the signature page to this Registration Statement) | ||||
As filed with the Securities and Exchange Commission on February 5, 2024
Registration No. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM S-8
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
Vale S.A.
(Exact name of registrant as specified in its charter)
N.A.
(Translation of Registrant’s name into English)
| The Federative Republic of Brazil | N/A | |
|
(State or other jurisdiction of incorporation or organization) |
(I.R.S. Employer Identification No.) |
Praia de Botafogo 186 —
offices 701-1901 — Botafogo
Rio de Janeiro, RJ, Brazil
(Address of Registrant’s Principal Executive Offices)
Performance Shares Unit Program
(Full title of the Plan)
Vale Americas LLC
140 E. Ridgewood Avenue, Suite 415
South Tower, Paramus, New Jersey 07652
(Name and address of agent for service)
(416) 687- 6041
(Telephone number, including area code, of agent for service)
Copies to:
Julia L. Petty
Cleary Gottlieb Steen & Hamilton LLP
One Liberty Plaza
+1 (212) 225-2000
Indicate by check mark whether the Registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.
| Large accelerated filer | ☒ | Accelerated filer | ☐ | |||
| Non-accelerated filer | ☐ | Smaller reporting company | ☐ | |||
Emerging growth
Company ☐
If an emerging growth company, indicate by check mark if the Registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act. ☐
EXPLANATORY NOTE
This Registration Statement relates to the registration of 6,605,593 shares, par value US$0.000 per share (the “Common Stock”), of the Registrant to be offered and sold under the Performance Shares Unit Program (the “Plan”).
PART I
INFORMATION REQUIRED IN THE SECTION 10(a) PROSPECTUS
|
The document(s) containing the information specified in Part I will be sent or given to employees as specified by Rule 428(b)(1) (§230.428(b)(1)). Such documents are not being filed with the Securities and Exchange Commission (the “Commission”) either as part of this Registration Statement or as prospectuses or prospectus supplements pursuant to Rule 424 (§230.424). These documents and the documents incorporated by reference in this Registration Statement pursuant to Item 3 of Part II hereof, taken together, constitute a prospectus that meets the requirements of Section 10(a) of the Securities Act. See Rule 428(a)(1) (§230.428(a)(1)). |
|
|
PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
|
Item 3. Incorporation of Documents by Reference. The rules of the Commission allow us to incorporate by reference information into this Registration Statement. The information incorporated by reference is considered to be a part of this Registration Statement, and information that we file later with the Commission will automatically update and supersede this information. This Registration Statement incorporates by reference the documents listed below. In addition, any Report on Form 6-K of the Registrant hereafter furnished to the Commission pursuant to the Exchange Act shall be incorporated by reference into this Registration Statement if and to the extent provided in such document. |
| (a) | The Registrant’s annual report on Form 20-F for the fiscal year ended December 31, 2022, filed with the Commission on April 13, 2023 (File No. 001-15030), which includes the Registrant’s audited consolidated financial statements as of December 31, 2022 and 2021. |
| (b) | All other reports filed by the Registrant pursuant to Section 13(a) or 15(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) since December 31, 2021. | |
|
All reports and other documents subsequently filed by the Registrant pursuant to Sections 13(a), 13(c), 14 and 15(d) of the Exchange Act, prior to the filing of a post-effective amendment to this Registration Statement which indicates that all securities offered hereby have been sold or which deregisters all securities remaining unsold, shall be deemed to be incorporated by reference in this Registration Statement and to be a part hereof from the date of filing of such reports and other documents. Except as provided in the last sentence of the first paragraph of the section of this Registration Statement entitled “Item 3. Incorporation of Documents by Reference”, nothing in this Registration Statement shall be deemed to incorporate any information provided in documents that is furnished (rather than filed) or is otherwise not deemed to be filed under applicable Commission rules. |
||
Item 4. Description of Securities.
Not applicable.
Item 5. Interests of Named Experts and Counsel.
None.
Item 6. Indemnification of Directors and Officers.
Neither the laws of Brazil nor Vale’s bylaws or other constitutive documents provide for indemnification of directors and officers. Under the Brazilian Civil Code, a person engaged in an illegal action must indemnify any third person that incurred losses or damages arising from such illegal action. Vale has also entered into an indemnification agreement with each of its directors and officers, providing for indemnification for losses incurred by such director or officer as a result of actions or omissions in the performance of his or her functions or as a result of being a director or officer of Vale, subject to certain exceptions. Vale maintains standard policies of insurance under which coverage is provided (a) to its directors and officers against loss rising from claims made by reason of breach of duty or other wrongful act, and (b) to Vale itself with respect to payments which may be made by Vale to such officers and directors pursuant to the above indemnification provisions or otherwise as a matter of law.
Item 7. Exemption from Registration Claimed.
Not applicable.
| Item 8. | Exhibits. |
‡ Incorporated herein by reference
Item 9. Undertakings.
(a) The undersigned Registrant hereby undertakes:
(1) To file, during any period in which offers or sales are being made, a post-effective amendment to this registration statement:
(i) To include any prospectus required by section 10(a)(3) of the Securities Act;
(ii) To reflect in the prospectus any facts or events arising after the effective date of the registration statement (or the most recent post-effective amendment thereof) which, individually or in the aggregate, represent a fundamental change in the information set forth in the registration statement. Notwithstanding the foregoing, any increase or decrease in volume of securities offered (if the total dollar value of securities offered would not exceed that which was registered) and any deviation from the low or high end of the estimated maximum offering range may be reflected in the form of prospectus filed with the SEC pursuant to Rule 424(b) if, in the aggregate, the changes in volume and price represent no more than a 20% change in the maximum aggregate offering price set forth in the “Calculation of Registration Fee” table in the effective registration statement;
(iii) To include any material information with respect to the plan of distribution not previously disclosed in the registration statement or any material change to such information in the registration statement;
Provided, however, that paragraphs (a)(1)(i) and (a)(1)(ii) do not apply if the registration statement is on Form S-8, and the information required to be included in a post-effective amendment by those paragraphs is contained in periodic reports filed with or furnished to the SEC by the Registrant pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 that are incorporated by reference herein.
(2) That for the purpose of determining any liability under the Securities Act, each such post-effective amendment shall be deemed to be a new Registration Statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.
(3) To remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold at the termination of the offering.
(b) The undersigned Registrant hereby undertakes that, for purposes of determining any liability under the Securities Act, each filing of the Registrant’s annual report pursuant to section 13(a) or section 15(d) of the Securities Exchange Act of 1934 (and, where applicable, each filing of an employee benefit plan’s annual report pursuant to section 15(d) of the Securities Exchange Act of 1934) that is incorporated by reference in the Registration Statement shall be deemed to be a new Registration Statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.
(c) Insofar as indemnification for liabilities arising under the Securities Act may be permitted to directors, officers and controlling persons of the Registrant pursuant to the foregoing provisions, or otherwise, the Registrant has been advised that in the opinion of the Securities and Exchange Commission such indemnification is against public policy as expressed in the Securities Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of expenses incurred or paid by a director, officer or controlling person of the Registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Securities Act and will be governed by the final adjudication of such issue.
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, the Registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized, in Brazil, on February 5, 2024.
| Vale S.A. | ||
| By: | ||
| Name: Eduardo de Salles Bartolomeo | ||
|
Title: Chief Executive Officer
| ||
| By: | ||
| Name: Gustavo Duarte Pimenta | ||
|
Title: Chief Financial Officer
| ||
We, the undersigned directors and officers of Vale S.A. (the “Company”), do hereby severally constitute and appoint Eduardo de Salles Bartolomeo and Gustavo Duarte Pimenta, each our true and lawful attorneys and agents, to do any and all acts and things in our name and on our behalf in our capacities as directors and officers and to execute any and all instruments for us and in our names in the capacities indicated below, which said attorneys and agents, or any of them, may deem necessary or advisable to enable said Company to comply with the Securities Act of 1933, as amended (the “Securities Act”) and any rules, regulations and requirements of the Securities and Exchange Commission, in connection with the Registration Statement of the Company on Form S-8 including specifically, but without limitation, power and authority to sign for us or any of us in our names in the capacities indicated below, any and all amendments (including post-effective amendments) hereto; and we do each hereby ratify and confirm all that said attorneys and agents, or any one of them, shall do or cause to be done by virtue hereof. This Power of Attorney may be executed in multiple counterparts, each of which shall be deemed an original, but which taken together shall constitute one instrument.
Pursuant to the requirements of the Securities Act, this Registration Statement has been signed by the following persons in the indicated capacities as of the 5th of February, 2024.
| Signatures | Title | |
| /s/ Eduardo de Salles Bartolomeo | ||
| Eduardo de Salles Bartolomeo | Chief Executive Officer | |
| /s/ Gustavo Duarte Pimenta | ||
| Gustavo Duarte Pimenta | Chief Financial Officer | |
| /s/ Daniel André Stieler | ||
| Daniel André Stieler | Chairman of the Board of Directors | |
| /s/ Fernando Jorge Buso Gomes | ||
| Fernando Jorge Buso Gomes | Director | |
| /s/ João Luiz Fukunaga | ||
| João Luiz Fukunaga | Director | |
| /s/ José Luciano Duarte Penido | ||
| José Luciano Duarte Penido | Director | |
| /s/ Manuel Lino Silva de Sousa Oliveira | ||
| Manuel Lino Silva de Sousa Oliveira | Director | |
| /s/ Shunji Komai | ||
| Shunji Komai | Director | |
| /s/ Vera Marie Inkster | ||
| Vera Marie Inkster | Director | |
| /s/ Paul Casbar | ||
| Paul Casbar | Authorized Representative of Vale S.A. in the United States |
| This ‘S-8’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on / Effective on: | 2/5/24 | |||
| 4/13/23 | 20-F, F-3, POSASR | |||
| 12/31/22 | 20-F, 6-K, 6-K/A | |||
| 12/31/21 | 20-F, 6-K, 6-K/A | |||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 4/13/23 Vale S.A. 20-F 12/31/22 236:45M MZ Technologies/FA |