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Citibank, N.A./ADR – ‘F-6 POS’ on 5/29/14 re: Glencore plc

On:  Thursday, 5/29/14, at 7:54pm ET   ·   As of:  5/30/14   ·   Effective:  5/30/14   ·   Accession #:  1193805-14-1124   ·   File #:  333-189255

Previous ‘F-6 POS’:  ‘F-6 POS’ on 5/28/14   ·   Next:  ‘F-6 POS’ on 7/15/14   ·   Latest:  ‘F-6 POS’ on 3/27/24

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  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 5/30/14  Citibank, N.A./ADR                F-6 POS     5/30/14    3:196K Glencore plc                      E-Data Systems, Inc./FA

Post-Effective Amendment to an F-6   —   Form F-6
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: F-6 POS     Post-Effective Amendment to an F-6                  HTML     55K 
 2: EX-99.(A)   Miscellaneous Exhibit                               HTML     53K 
 3: EX-99.(E)   Miscellaneous Exhibit                               HTML      9K 


F-6 POS   —   Post-Effective Amendment to an F-6


This is an HTML Document rendered as filed.  [ Alternative Formats ]



  Unassociated Document  
 
As filed with the Securities and Exchange Commission on May 29, 2014
Registration No.  333-189255
 


SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.   20549
                                                                                     
 
FORM F-6/A
POST-EFFECTIVE AMENDMENT NO. 1 TO
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933 FOR DEPOSITARY SHARES EVIDENCED BY
AMERICAN DEPOSITARY RECEIPTS
                          
 
GLENCORE PLC
 (Exact name of issuer of deposited securities as specified in its charter)
                          
 
N/A
 (Translation of issuer's name in English)
                          
 
Bailiwick of Jersey
(Jurisdiction of incorporation or organization of issuer)
                            
 
CITIBANK, N.A.
(Exact name of depositary as specified in its charter)
                            
 
399 Park Avenue
(212) 723-5435
(Address, including zip code, and telephone number, including area code, of depositary's principal executive offices)
                                    
 
CITIBANK, N.A. – DEPOSITARY RECEIPTS DEPARTMENT
388 Greenwich Street
(877) 248-4237
(Name, address, including zip code, and telephone number, including area code of agent for service)
                                                                    
 
Copies to:
Herman H. Raspé, Esq.
Patterson Belknap Webb & Tyler LLP
1133 Avenue of the Americas
                                                                
 
It is proposed that this filing become effective under Rule 466:
 
x  immediately upon filing.
 
o Date and Time.
 
 
If a separate registration statement has been filed to register the deposited shares, check the following box : o
 
CALCULATION OF REGISTRATION FEE
Title of Each Class of
Securities to be Registered
Amount to be
Registered
Proposed Maximum
Offering Price Per Unit*
Proposed Maximum Aggregate Offering Price**
Amount of
Registration Fee
American Depositary Shares (“ADSs”), each ADS representing the right to receive two (2) ordinary shares of Glencore plc.
N/A
N/A
N/A
N/A
*
Each unit represents 100 ADSs.
**
Estimated solely for the purpose of calculating the registration fee.   Pursuant to Rule 457(k), such estimate is computed on the basis of the maximum aggregate fees or charges to be imposed in connection with the issuance of ADSs.
 
 
 

 
 
PART I
INFORMATION REQUIRED IN PROSPECTUS
 
Cross Reference Sheet
 
Item 1.   DESCRIPTION OF SECURITIES TO BE REGISTERED
 
Item Number and Caption
 
Location in Form of American
Depositary Receipt (“Receipt”)
Filed Herewith as Prospectus
         
1.
Name of Depositary and address of its principal executive office
 
Face of Receipt - Introductory Article
       
2.
Title of Receipts and identity of deposited securities
 
Face of Receipt - Top center.
       
Terms of Deposit:
   
     
 
(i)
The amount of deposited securities represented by one American Depositary Share (“ADS”)
 
Face of Receipt - Upper right corner.
         
 
(ii)
The procedure for voting, if any, the deposited securities
 
Reverse of Receipt - Paragraphs 12, 14 and 17
         
 
(iii)
The procedure for collecting and distributing dividends
 
Face of Receipt - Paragraphs 4 and 8;
Reverse of Receipt - Paragraphs 13, 14 and 17
         
 
(iv)
The procedure for transmitting notices, reports and proxy soliciting material
 
Reverse of Receipt - Paragraphs 11 and 12
         
 
(v)
The sale or exercise of rights
 
Reverse of Receipt - Paragraphs 13 and 14
         
 
(vi)
The deposit or sale of securities resulting from dividends, splits or plans of reorganization
 
Face of Receipt - Paragraphs 4 and 8;
Reverse of Receipt – Paragraphs 13, 14, 16 and 17
         
 
(vii)
Amendment, extension or termination of the deposit arrangements
 
Reverse of Receipt – Paragraphs 18 and 19 (no provision for extension)
         
  (viii) 
The rights that holders of Receipts have to inspect the transfer books of the Depositary and the list of Receipt holders
 
Face of Receipt - Paragraph 3
 
 
I-2

 
 
 
(ix) 
Any restrictions on the right to transfer or withdraw the underlying securities
 
Face of Receipt - Paragraphs 2, 4, 5, and 6
         
 
(x)
Any limitation on the Depositary’s liability
 
Face of Receipt - Paragraphs 1 and 8; Reverse of Receipt - Paragraphs 12, 15 and 17
         
3.
Fees and charges that a holder of Receipts may have to pay, either directly or indirectly
 
Reverse of Receipt – Paragraph 20
         
Item 2. AVAILABLE INFORMATION  
Reverse of Receipt - Paragraph 11
 
Based on the reasonable good faith belief of the Depositary after exercising reasonable diligence, the registrant represents that, as of the date hereof, Glencore plc (the “Company”) publishes in English the information contemplated in Rule 12g3-2(b) under the United States Securities Exchange Act of 1934, as amended (the “Exchange Act”), on its internet website or through an electronic information delivery system generally available to the public in the Company's primary trading market.  As of the date hereof the Company's internet website is www.glencore.com. The information so published by the Company cannot be retrieved from the Commission's internet website, and cannot be inspected or copied at the public reference facilities maintained by the Commission.
 
 
I-3

 
 
PROSPECTUS
 
IN ACCORDANCE WITH GENERAL INSTRUCTIONS III.  B OF FORM F-6, THIS PAGE AND THE FORM OF AMERICAN DEPOSITARY RECEIPT ATTACHED AS AN EXHIBIT TO THIS POST-EFFECTIVE AMENDMENT NO. 1 TO FORM F-6 REGISTRATION STATEMENT CONSTITUTE THE PROSPECTUS RELATING TO THE AMERICAN DEPOSITARY SHARES TO BE ISSUED PURSUANT TO THIS POST-EFFECTIVE AMENDMENT NO. 1 TO FORM F-6 REGISTRATION STATEMENT.
  
 
I-4

 
 
PART II
 
INFORMATION NOT REQUIRED IN PROSPECTUS
 
Item 3.    EXHIBITS
 
(a)  The agreement between Citibank, N.A., as depositary (the “Depositary”), and all holders and beneficial owners from time to time of American Depositary Shares registered hereunder.  – Filed herewith.
 
(b)  Any other agreement to which the Depositary is a party relating to the issuance of the American Depositary Shares registered hereunder or the custody of the deposited securities. — None.
 
(c)  Every material contract relating to the deposited securities between the Depositary and the issuer of the deposited securities in effect at any time within the last three years. — None.
 
(d)  Opinion of Patterson Belknap Webb & Tyler LLP, counsel for the Depositary, as to the legality of the securities to be registered.  – Previously filed.
 
(e)  Certification under Rule 466.  – Filed herewith.
 
Item 4.  UNDERTAKINGS
 
(a)  The Depositary hereby undertakes to make available at the principal office of the Depositary in the United States, for inspection by holders of the Receipts, any reports and communications received from the issuer of the deposited securities which are both (1) received by the Depositary as the holder of the deposited securities, and (2) made generally available to the holders of the underlying securities by the issuer.
 
(b)  The Depositary undertakes to prepare a separate document stating the amount of any fee charged and describing the service for which it is charged and to deliver promptly a copy of such fee schedule without charge to anyone upon request.  The Depositary undertakes to notify each registered holder of a Receipt thirty days before any change in the fee schedule.
 
 
II-1

 
 
SIGNATURES
 
Pursuant to the requirements of the Securities Act of 1933, the registrant certifies that it has reasonable grounds to believe that all the requirements for filing on Form F-6 are met and has duly caused this Post-effective Amendment No. 1 Registration Statement on Form F-6 to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of New York, State of New York, on the 29th day of May, 2014.
 
 
Legal entity created by the agreement set forth in the American Depositary Receipts evidencing American Depositary Shares representing the right to receive ordinary shares of Glencore plc.
 
CITIBANK, N.A., as Depositary
 
       
 
By:
 /s/ Mark Gherzo  
   
Title:   Vice President
 
       
       
 
 
II-2

 
 
 
Exhibit
Document
Sequentially
Numbered Page
     
(a)
Form of ADR
 
     
(e)
Rule 466 Undertaking
 
     

 

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘F-6 POS’ Filing    Date    Other Filings
Filed as of / Effective on:5/30/14F-6EF
Filed on:5/29/14
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Filing Submission 0001193805-14-001124   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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