6-K
RIO TINTO PLC (RIO)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM 6-K
REPORT OF FOREIGN PRIVATE ISSUER
PURSUANT TO RULE 13A-16 OR 15D-16 UNDER
THE SECURITIES EXCHANGE ACT OF 1934
Month of January 2023
| Commission file number: 001-10533 | Commission file number: 001-34121 |
|---|---|
| Rio Tinto plc | Rio Tinto Limited |
| ABN 96 004 458 404 | |
| (Translation of registrant’s name into English) | (Translation of registrant’s name into English) |
| 6 St. James’s Square | Level 43, 120 Collins Street |
| London, SW1Y 4AD, United Kingdom | Melbourne, Victoria 3000, Australia |
| (Address of principal executive offices) | (Address of principal executive offices) |
Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F:
Form 20-F ☒ Form 40-F ☐
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(1): ☐
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(7): ☐
EXHIBITS
99.1Stock Exchange announcement dated 3 January 2023 entitled ‘Total voting rights and issued capital’
99.8Media Release dated 30 January 2023 entitled ‘Nuton Acquires Common Shares of Regulus Resources’
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrants have duly caused this report to be signed on their behalf by the undersigned, thereunto duly authorised.
| Rio Tinto plc | Rio Tinto Limited | ||
|---|---|---|---|
| (Registrant) | (Registrant) | ||
| By | /s/ Steve Allen | By | /s/ Steve Allen |
| Name | Steve Allen | Name | Steve Allen |
| Title | Company Secretary | Title | Joint Company Secretary |
| Date | 1 February 2023 | Date | 1 February 2023 |
Document
EXHIBIT 99.1
Notice to ASX/LSE
| 3 January 2023 |
|---|
Total voting rights and issued capital
In accordance with the Financial Conduct Authority’s (FCA) Disclosure Guidance and Transparency Rule 5.6.1R, Rio Tinto plc notifies the market that as of 30 December 2022:
1.Rio Tinto plc’s issued share capital comprised 1,255,843,808 Ordinary shares of 10p each, each with one vote.
2.6,189,083 ordinary shares of 10p each are held in treasury. These shares are not taken into consideration in relation to the payment of dividends and voting at shareholder meetings.
Accordingly the total number of voting rights in Rio Tinto plc is 1,249,654,725. This figure may be used by shareholders (and others with notification obligations) as the denominator for the calculation by which they will determine if they are required to notify their interest in, or a change to their interest in, Rio Tinto plc under the FCA’s Disclosure Guidance and Transparency Rules.
Note:
As at the date of this announcement:
(a)Rio Tinto plc has also issued one Special Voting Share of 10p and one DLC Dividend Share of 10p in connection with its dual listed companies (‘DLC’) merger with Rio Tinto Limited which was designed to place the shareholders of both companies in substantially the same position as if they held shares in a single enterprise owning all of the assets of both companies;
(b)the Special Voting Share facilitates joint voting by shareholders of Rio Tinto plc and Rio Tinto Limited on joint electorate resolutions; and
(c)there are 371,216,214 publicly held Rio Tinto Limited shares in issue which do not form part of the share capital of Rio Tinto plc.
LEI: 213800YOEO5OQ72G2R82
Classification: 2.5 Total number of voting rights and capital disclosed under article 15 of the Transparency Directive
| Contacts | Please direct all enquiries to media.enquiries@riotinto.com |
|---|---|
| Media Relations, UK<br><br>Matthew Klar<br><br>M+ 44 7796 630 637<br><br><br><br>David Outhwaite<br><br>M +44 7787 597 493<br><br><br><br>Media Relations, Americas<br><br>Simon Letendre<br><br>M +514 796 4973<br><br><br><br>Malika Cherry<br><br>M +1 418 592 7293<br><br><br><br>Investor Relations, UK<br><br>Menno Sanderse<br><br>M: +44 7825 195 178<br><br><br><br>David Ovington<br><br>M +44 7920 010 978<br><br><br><br>Clare Peever<br><br>M +44 7788 967 877 | Media Relations, Australia<br><br>Matt Chambers<br><br>M +61 433 525 739<br><br><br><br>Jesse Riseborough<br><br>M +61 436 653 412<br><br><br><br><br><br><br><br><br><br><br><br>Investor Relations, Australia<br><br>Tom Gallop<br><br>M +61 439 353 948<br><br><br><br>Amar Jambaa<br><br>M +61 472 865 948 |
| --- | --- |
| Rio Tinto plc<br><br>6 St James’s Square<br><br>London SW1Y 4AD<br><br>United Kingdom<br><br><br><br>T +44 20 7781 2000<br><br>Registered in England<br><br>No. 719885 | Rio Tinto Limited<br><br>Level 43, 120 Collins Street<br><br>Melbourne 3000<br><br>Australia<br><br><br><br>T +61 3 9283 3333<br><br>Registered in Australia<br><br>ABN 96 004 458 404 |
This announcement is authorised for release to the market by Steve Allen, Rio Tinto’s Group Company Secretary.
riotinto.com
| Notice to ASX/LSE Page 2 of 2 |
|---|
ex2d12notification
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 1 / 7 Announcement Summary Entity name RIO TINTO LIMITED Date of this announcement Thursday January 12, 2023 The +securities the subject of this notification are: Total number of +securities to be issued/transferred ASX +security code Security description Total number of +securities to be issued/transferred Issue date RIOAL SHARE RIGHTS 9,867 31/12/2022 Refer to next page for full details of the announcement +Other securities issued under an +employee incentive scheme that are not intended to be quoted on ASX EXHIBIT 99.2
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 2 / 7 Part 1 - Entity and announcement details 1.1 Name of entity RIO TINTO LIMITED We (the entity named above) give notice of the issue, conversion or payment up of the following unquoted +securities. 1.2 Registered number type ABN Registration number 96004458404 1.3 ASX issuer code RIO 1.4 The announcement is 1.5 Date of this announcement 12/1/2023 New announcement
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 3 / 7 Part 2 - Issue details 2.1 The +securities the subject of this notification are: 2.2a This notification is given in relation to an issue of +securities in a class which is not quoted on ASX and which: has an existing ASX security code ("existing class") +Other securities issued under an +employee incentive scheme that are not intended to be quoted on ASX
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 4 / 7 Part 3B - number and type of +securities the subject of this notification (existing class) where issue has not previously been notified to ASX in an Appendix 3B ASX +security code and description RIOAL : SHARE RIGHTS Date the +securities the subject of this notification were issued 31/12/2022 Will these +securities rank equally in all respects from their issue date with the existing issued +securities in that class Were any of the +securities issued to +key management personnel (KMP) or an +associate? Please provide a URL link for a document lodged with ASX detailing the terms of the +employee incentive scheme or a summary of the terms Rio Tinto Limited Global Employee Share Plan (myShare) was approved by the shareholders at the 2021 annual general meeting and the terms of myShare is set out in the Notice of Meeting at: https://www.asx.com.au/asxpdf/20210308/pdf/44tfy5dwg3nsp1.pdf Any other information the entity wishes to provide about the +securities the subject of this notification Issue details Number of +securities 338 ASX +security code and description RIOAL : SHARE RIGHTS Date the +securities the subject of this notification were issued 31/12/2022 Will these +securities rank equally in all respects from their issue date with the existing issued No Yes
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 5 / 7 Will these +securities rank equally in all respects from their issue date with the existing issued +securities in that class Were any of the +securities issued to +key management personnel (KMP) or an +associate? Please provide a URL link for a document lodged with ASX detailing the terms of the +employee incentive scheme or a summary of the terms Rio Tinto Limited Equity Incentive Plan (EIP) Rules were approved by the shareholders at the 2018 annual general meeting and the terms of myShare is set out in the Notice of Meeting at https://www.asx.com.au/asxpdf/20180302/pdf/43s 3gxnhrdy1kj.pdf Any other information the entity wishes to provide about the +securities the subject of this notification Issue details Number of +securities 9,529 No Yes
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 6 / 7 Part 4 - +Securities on issue Following the issue, conversion or payment up of the +securities the subject of this application, the +securities of the entity will comprise: (A discrepancy in these figures compared to your own may be due to a matter of timing if there is more than one application for quotation/issuance currently with ASX for processing.) 4.1 Quoted +Securities (Total number of each +class of +securities quoted) ASX +security code and description Total number of +securities on issue RIO : ORDINARY FULLY PAID 371,216,214 4.2 Unquoted +Securities (Total number of each +class of +securities issued but not quoted on ASX) ASX +security code and description Total number of +securities on issue RIOAI : SPECIAL VOTING SHARE 1 RIOAK : DLC DIVIDEND SHARE 1 RIOAL : SHARE RIGHTS 3,484,288
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 7 / 7 Part 5 - Other Listing Rule requirements 5.1 Were the +securities issued under an exception in Listing Rule 7.2 and therefore the issue did not need any security holder approval under Listing Rule 7.1? 5.2 Has the entity obtained, or is it obtaining, +security holder approval for the issue under listing rule 7.1? 5.2b Are any of the +securities being issued without +security holder approval using the entity's 15% placement capacity under listing rule 7.1? 5.2b.1 How many +securities are being issued without +security holder approval using the entity's 15% placement capacity under listing rule 7.1? 338 5.2c Are any of the +securities being issued without +security holder approval using the entity's additional 10% placement capacity under listing rule 7.1A (if applicable)? No Yes No No
ex3d12notificationsec2
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 1 / 7 Announcement Summary Entity name RIO TINTO LIMITED Date of this announcement Thursday January 12, 2023 The +securities the subject of this notification are: Total number of +securities to be issued/transferred ASX +security code Security description Total number of +securities to be issued/transferred Issue date RIO ORDINARY FULLY PAID 11,451 31/12/2022 Refer to next page for full details of the announcement Unquoted options that have been exercised or other unquoted +convertible securities that have been converted EXHIBIT 99.3
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 2 / 7 Part 1 - Entity and announcement details 1.1 Name of entity RIO TINTO LIMITED We (the entity named above) give notice of the issue, conversion or payment up of the following unquoted +securities. 1.2 Registered number type ABN Registration number 96004458404 1.3 ASX issuer code RIO 1.4 The announcement is 1.5 Date of this announcement 12/1/2023 New announcement
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 3 / 7 Part 2 - Issue details 2.1 The +securities the subject of this notification are: 2.2b The +securities being issued, transferred or re-classified as a result of the options being exercised or other +convertible securities being converted are: securities that have already been quoted on ASX ("existing class") Unquoted options that have been exercised or other unquoted +convertible securities that have been converted
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 4 / 7 Part 3B - number and type of +securities the subject of this notification (existing class) where issue has not previously been notified to ASX in an Appendix 3B The right of the holder of the options or other +convertible securities to receive the +underlying securities is being satisfied by: The underlying securities being received by the holder are: Existing +securities converting into an existing class FROM (Existing Class) ASX +Security code and description RIOAL : SHARE RIGHTS TO (Existing Class) ASX +Security code and description RIO : ORDINARY FULLY PAID Please state the number of options that were exercised or other +convertible securities that were converted 2,000 The first date the options were exercised or other +convertible securities were converted 31/12/2022 The last date the options were exercised or other +convertible securities were converted 31/12/2022 Is this all of the options or other +convertible securities on issue of that type? Were the options being exercised or other +convertible securities being converted issued under an +employee incentive scheme? Are any of the options being exercised or other +convertible securities being converted held by +key management personnel (KMP) or an +associate? Date the +securities the subject of this notification were issued/transferred 31/12/2022 Any other information the entity wishes to provide about the +securities the subject of this notification No Yes Yes Already quoted by ASX A transfer of existing +securities
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 5 / 7 Issue details Number of +securities 2,000 The right of the holder of the options or other +convertible securities to receive the +underlying securities is being satisfied by: The underlying securities being received by the holder are: Existing +securities converting into an existing class FROM (Existing Class) ASX +Security code and description RIOAL : SHARE RIGHTS TO (Existing Class) ASX +Security code and description RIO : ORDINARY FULLY PAID Please state the number of options that were exercised or other +convertible securities that were converted 9,451 The first date the options were exercised or other +convertible securities were converted 31/12/2022 The last date the options were exercised or other +convertible securities were converted 31/12/2022 Is this all of the options or other +convertible securities on issue of that type? Were the options being exercised or other +convertible securities being converted issued under an +employee incentive scheme? Are any of the options being exercised or other +convertible securities being converted held by +key management personnel (KMP) or an +associate? Date the +securities the subject of this notification were issued/transferred 31/12/2022 Any other information the entity wishes to provide about the +securities the subject of this notification No Yes Yes Already quoted by ASX A transfer of existing +securities
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 6 / 7 Issue details Number of +securities 9,451
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 7 / 7 Part 4 - +Securities on issue Following the issue, conversion or payment up of the +securities the subject of this application, the +securities of the entity will comprise: (A discrepancy in these figures compared to your own may be due to a matter of timing if there is more than one application for quotation/issuance currently with ASX for processing.) 4.1 Quoted +Securities (Total number of each +class of +securities quoted) ASX +security code and description Total number of +securities on issue RIO : ORDINARY FULLY PAID 371,216,214 4.2 Unquoted +Securities (Total number of each +class of +securities issued but not quoted on ASX) ASX +security code and description Total number of +securities on issue RIOAI : SPECIAL VOTING SHARE 1 RIOAK : DLC DIVIDEND SHARE 1 RIOAL : SHARE RIGHTS 3,462,970
ex4d12notifsec3
Notification of cessation of +securities Notification of cessation of +securities 1 / 4 Announcement Summary Entity name RIO TINTO LIMITED Announcement Type New announcement Date of this announcement Thursday January 12, 2023 Details of +securities that have ceased ASX +security code Security description Number of +securities that have ceased The +securities have ceased due to Date of cessation RIOAL SHARE RIGHTS 89,908 Lapse of conditional right to securities because the conditions have not been, or have become incapable of being, satisfied 31/12/2022 Refer to next page for full details of the announcement EXHIBIT 99.4
Notification of cessation of +securities Notification of cessation of +securities 2 / 4 Part 1 - Announcement Details 1.1 Name of +Entity RIO TINTO LIMITED We (the entity named above) provide the following information about our issued capital. 1.2 Registered Number Type ABN Registration Number 96004458404 1.3 ASX issuer code RIO 1.4 The announcement is 1.5 Date of this announcement 12/1/2023 New announcement
Notification of cessation of +securities Notification of cessation of +securities 3 / 4 Part 2 - Details of +equity securities or +debt securities that have ceased ASX +Security Code and Description RIOAL : SHARE RIGHTS Unquoted +equity securities that have ceased Number of securities that have ceased 24,525 Reason for cessation Lapse of conditional right to securities because the conditions have not been, or have become incapable of being, satisfied Date of cessation 31/12/2022 Is the entity paying any consideration for the cessation? Any other information the entity wishes to notify to ASX about the cessation? ASX +Security Code and Description RIOAL : SHARE RIGHTS Unquoted +equity securities that have ceased Number of securities that have ceased 65,383 Reason for cessation Lapse of conditional right to securities because the conditions have not been, or have become incapable of being, satisfied Date of cessation 31/12/2022 Is the entity paying any consideration for the cessation? Any other information the entity wishes to notify to ASX about the cessation? No No
Notification of cessation of +securities Notification of cessation of +securities 4 / 4 Part 3 - Issued capital following changes Following the cessation of the +securities the subject of this notification, the issued capital of the entity will comprise: 3.1 Quoted +equity securities and +debt securities (total number of each +class of +securities quoted on ASX) ASX +security code and description Total number of +securities on issue RIO : ORDINARY FULLY PAID 371,216,214 3.2 Unquoted +equity securities (total number of each +class of +equity securities issued but not quoted on ASX) ASX +security code and description Total number of +securities on issue RIOAI : SPECIAL VOTING SHARE 1 RIOAK : DLC DIVIDEND SHARE 1 RIOAL : SHARE RIGHTS 3,384,513 Note: the figures stated in the tables above are used to calculate the total market capitalisation of the entity published by ASX from time to time. The table will not include those classes of +securities that have ceased or lapsed in their entirety in ASX records before the announcement date described in Q1.5, even if the entity has advised ASX of a change to that class of +security in Part 2 of this form.
Document
EXHIBIT 99.5
Notice to ASX/LSE
Shareholdings of persons discharging managerial responsibility (PDMR) / Key Management Personnel (KMP)
20 January 2023
As part of its dual listed company structure, Rio Tinto notifies dealings in Rio Tinto plc and Rio Tinto Limited securities by PDMR / KMPs to both the Australian Securities Exchange (ASX) and the London Stock Exchange (LSE).
Global Employee Share Plan (myShare)
Under myShare employees can purchase, on a quarterly basis, Rio Tinto plc ordinary shares of 10p each or Rio Tinto Limited ordinary shares (‘shares’). Shares are purchased out of monthly deductions from salary, and participants are allocated an equivalent number of shares free of charge (‘matching shares’), conditional upon satisfying the terms of myShare. Matching shares are subject to a three-year holding period, after which they vest.
myShare vesting
On 17 January 2023, the following PDMRs / KMPs received their vested matching shares under myShare, of which sufficient were sold on 17 January 2023 to pay applicable withholding tax and other deductions.
| Security | Name of PDMR/KMP | Number of Matching shares originally awarded | Number of shares vested* | Number of shares sold | Price per share sold | Number of shares retained |
|---|---|---|---|---|---|---|
| Rio Tinto plc<br><br>shares | Baatar, Bold | 8.037 | 10.077 | 4.358414 | GBP 61.325098 | 5.718586 |
| Rio Tinto plc<br><br>shares | Barrios, Alfredo | 15.9603 | 20.0121 | 3.758053 | GBP 61.325098 | 16.254047 |
| Rio Tinto plc<br><br>shares | Cunningham, Peter | 8.037 | 10.077 | 4.358414 | GBP 61.325098 | 5.718586 |
| Rio Tinto Limited shares | Kaufman, Sinead | 13.2965 | 16.499 | 0 | AUD 121.50 | 16.499 |
| Rio Tinto plc<br><br>shares | Stausholm, Jakob | 8.037 | 10.077 | 2.471546 | GBP 61.325098 | 7.605454 |
| Rio Tinto Limited shares | Vella, Ivan | 11.4133 | 14.1621 | 6.895796 | AUD 121.50 | 7.266304 |
*The number of shares vested includes additional shares calculated to reflect dividends declared during the vesting period on the original matching shares awarded, in accordance with the plan rules.
myShare purchase
The following PDMRs / KMPs acquired Rio Tinto shares under myShare and were allocated the same number of matching share awards as follows:
| Security | Name of PDMR / KMP | Number of shares acquired | Number of matching shares awarded | Price per share | Date of transaction |
|---|---|---|---|---|---|
| Rio Tinto plc<br><br>shares | Baatar, Bold | 6.137052 | 6.137052 | GBP 61.10423 | 17/01/2023 |
| Rio Tinto plc<br><br>shares | Barrios, Alf | 17.002422 | 17.002422 | GBP 61.10423 | 17/01/2023 |
| Rio Tinto plc<br><br>shares | Cunningham, Peter | 6.137052 | 6.137052 | GBP 61.10423 | 17/01/2023 |
| Rio Tinto Limited<br><br>shares | Kaufman, Sinead | 11.554989 | 11.554989 | AUD 120.9867 | 17/01/2023 |
| Rio Tinto plc<br><br>shares | Stausholm, Jakob | 6.137052 | 6.137052 | GBP 61.10423 | 17/01/2023 |
| Rio Tinto plc<br><br>shares | Vella, Ivan | 13.49039 | 13.49039 | GBP 61.10423 | 17/01/2023 |
UK Share Plan (UKSP)
The UKSP is an HMRC approved Share Incentive Plan under which qualifying UK employees can purchase, on a quarterly basis, Rio Tinto plc shares. Rio Tinto plc shares are purchased out of monthly deductions from salary, and participants are allocated an equivalent number of shares free of charge (UKSP matching shares).
The following PDMRs / KMPs purchased Rio Tinto plc shares under the UKSP and were allocated the same number of matching shares as follows:
| Name of PDMR | Number of shares<br><br>acquired | Number of Matching shares awarded | Price per share | Date of transaction |
|---|---|---|---|---|
| Baatar, Bold | 6 | 6 | GBP 61.10423 | 17/01/2023 |
| Stausholm, Jakob | 6 | 6 | GBP 61.10423 | 17/01/2023 |
FCA notifications in accordance with the EU Market Abuse Regulation have been issued to the London Stock Exchange contemporaneously with this release.
LEI: 213800YOEO5OQ72G2R82
Classification: 3.1. Information disclosed under article 19 of the Market Abuse Regulation.
| Notice to ASX/LSE Page 2 of 3 | |
|---|---|
| Contacts | Please direct all enquiries to media.enquiries@riotinto.com |
| --- | --- |
| Media Relations, UK<br><br>Matthew Klar<br><br>M+ 44 7796 630 637<br><br><br><br>David Outhwaite<br><br>M +44 7787 597 493<br><br><br><br>Media Relations, Americas<br><br>Simon Letendre<br><br>M +514 796 4973<br><br><br><br>Malika Cherry<br><br>M +1 418 592 7293<br><br><br><br>Investor Relations, UK<br><br>Menno Sanderse<br><br>M: +44 7825 195 178<br><br><br><br>David Ovington<br><br>M +44 7920 010 978<br><br><br><br>Clare Peever<br><br>M +44 7788 967 877 | Media Relations, Australia<br><br>Matt Chambers<br><br>M +61 433 525 739<br><br><br><br>Jesse Riseborough<br><br>M +61 436 653 412<br><br><br><br><br><br><br><br><br><br><br><br>Investor Relations, Australia<br><br>Tom Gallop<br><br>M +61 439 353 948<br><br><br><br>Amar Jambaa<br><br>M +61 472 865 948 |
| --- | --- |
| Rio Tinto plc<br><br>6 St James’s Square<br><br>London SW1Y 4AD<br><br>United Kingdom<br><br><br><br>T +44 20 7781 2000<br><br>Registered in England<br><br>No. 719885 | Rio Tinto Limited<br><br>Level 43, 120 Collins Street<br><br>Melbourne 3000<br><br>Australia<br><br><br><br>T +61 3 9283 3333<br><br>Registered in Australia<br><br>ABN 96 004 458 404 |
This announcement is authorised for release to the market by Steve Allen, Rio Tinto’s Group Company Secretary.
riotinto.com
| Notice to ASX/LSE Page 3 of 3 |
|---|
ex6d24notifsec4
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 1 / 6 Announcement Summary Entity name RIO TINTO LIMITED Date of this announcement Tuesday January 24, 2023 The +securities the subject of this notification are: Total number of +securities to be issued/transferred ASX +security code Security description Total number of +securities to be issued/transferred Issue date RIOAL SHARE RIGHTS 153,266 17/01/2023 Refer to next page for full details of the announcement +Other securities issued under an +employee incentive scheme that are not intended to be quoted on ASX EXHIBIT 99.6
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 2 / 6 Part 1 - Entity and announcement details 1.1 Name of entity RIO TINTO LIMITED We (the entity named above) give notice of the issue, conversion or payment up of the following unquoted +securities. 1.2 Registered number type ABN Registration number 96004458404 1.3 ASX issuer code RIO 1.4 The announcement is 1.5 Date of this announcement 24/1/2023 New announcement
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 3 / 6 Part 2 - Issue details 2.1 The +securities the subject of this notification are: 2.2a This notification is given in relation to an issue of +securities in a class which is not quoted on ASX and which: has an existing ASX security code ("existing class") +Other securities issued under an +employee incentive scheme that are not intended to be quoted on ASX
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 4 / 6 Part 3B - number and type of +securities the subject of this notification (existing class) where issue has not previously been notified to ASX in an Appendix 3B ASX +security code and description RIOAL : SHARE RIGHTS Date the +securities the subject of this notification were issued 17/1/2023 Will these +securities rank equally in all respects from their issue date with the existing issued +securities in that class Were any of the +securities issued to +key management personnel (KMP) or an +associate? Provide details of the KMP or +associates being issued +securities. Name of KMP Name of registered holder Number of +securities Sinead Kaufman Computershare Trustees (Jersey) Limited on behalf of Ms Kaufman 12 Please provide a URL link for a document lodged with ASX detailing the terms of the +employee incentive scheme or a summary of the terms Rio Tinto Limited Global Employee Share Plan (myShare) was approved by the shareholders at the 2021 annual general meeting and the terms of myShare is set out in the Notice of Meeting at: https://www.asx.com.au/asxpdf/20210308/pdf/44tfy5dwg3nsp1.pdf Any other information the entity wishes to provide about the +securities the subject of this notification Issue details Number of +securities 153,266 Yes Yes
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 5 / 6 Part 4 - +Securities on issue Following the issue, conversion or payment up of the +securities the subject of this application, the +securities of the entity will comprise: (A discrepancy in these figures compared to your own may be due to a matter of timing if there is more than one application for quotation/issuance currently with ASX for processing.) 4.1 Quoted +Securities (Total number of each +class of +securities quoted) ASX +security code and description Total number of +securities on issue RIO : ORDINARY FULLY PAID 371,216,214 4.2 Unquoted +Securities (Total number of each +class of +securities issued but not quoted on ASX) ASX +security code and description Total number of +securities on issue RIOAI : SPECIAL VOTING SHARE 1 RIOAK : DLC DIVIDEND SHARE 1 RIOAL : SHARE RIGHTS 3,536,195
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 6 / 6 Part 5 - Other Listing Rule requirements 5.1 Were the +securities issued under an exception in Listing Rule 7.2 and therefore the issue did not need any security holder approval under Listing Rule 7.1? 5.2 Has the entity obtained, or is it obtaining, +security holder approval for the issue under listing rule 7.1? 5.2b Are any of the +securities being issued without +security holder approval using the entity's 15% placement capacity under listing rule 7.1? 5.2b.1 How many +securities are being issued without +security holder approval using the entity's 15% placement capacity under listing rule 7.1? 153,266 5.2c Are any of the +securities being issued without +security holder approval using the entity's additional 10% placement capacity under listing rule 7.1A (if applicable)? No Yes No No
ex7d24notifsec5
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 1 / 6 Announcement Summary Entity name RIO TINTO LIMITED Date of this announcement Tuesday January 24, 2023 The +securities the subject of this notification are: Total number of +securities to be issued/transferred ASX +security code Security description Total number of +securities to be issued/transferred Issue date RIO ORDINARY FULLY PAID 73,938 17/01/2023 Refer to next page for full details of the announcement Unquoted options that have been exercised or other unquoted +convertible securities that have been converted EXHIBIT 99.7
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 2 / 6 Part 1 - Entity and announcement details 1.1 Name of entity RIO TINTO LIMITED We (the entity named above) give notice of the issue, conversion or payment up of the following unquoted +securities. 1.2 Registered number type ABN Registration number 96004458404 1.3 ASX issuer code RIO 1.4 The announcement is 1.5 Date of this announcement 24/1/2023 New announcement
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 3 / 6 Part 2 - Issue details 2.1 The +securities the subject of this notification are: 2.2b The +securities being issued, transferred or re-classified as a result of the options being exercised or other +convertible securities being converted are: securities that have already been quoted on ASX ("existing class") Unquoted options that have been exercised or other unquoted +convertible securities that have been converted
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 4 / 6 Part 3B - number and type of +securities the subject of this notification (existing class) where issue has not previously been notified to ASX in an Appendix 3B The right of the holder of the options or other +convertible securities to receive the +underlying securities is being satisfied by: The underlying securities being received by the holder are: Existing +securities converting into an existing class FROM (Existing Class) ASX +Security code and description RIOAL : SHARE RIGHTS TO (Existing Class) ASX +Security code and description RIO : ORDINARY FULLY PAID Please state the number of options that were exercised or other +convertible securities that were converted 73,938 The first date the options were exercised or other +convertible securities were converted 17/1/2023 The last date the options were exercised or other +convertible securities were converted 17/1/2023 Is this all of the options or other +convertible securities on issue of that type? Were the options being exercised or other +convertible securities being converted issued under an +employee incentive scheme? Are any of the options being exercised or other +convertible securities being converted held by +key management personnel (KMP) or an +associate? Provide details of the KMP or associates who are exercising options or converting convertible securities. Name of KMP Name of registered holder Number of +securities Sinead Kaufman Computershare Trustees (Jersey) Limited on behalf of Ms Kaufman 16 Ivan Vella Computershare Trustees (Jersey) Limited on behalf of Mr Vella 14 Date the +securities the subject of this notification were issued/transferred 17/1/2023 Yes Yes Yes Already quoted by ASX A transfer of existing +securities
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 5 / 6 Any other information the entity wishes to provide about the +securities the subject of this notification Issue details Number of +securities 73,938
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities Notification of Issue, Conversion or Payment up of Unquoted Equity Securities 6 / 6 Part 4 - +Securities on issue Following the issue, conversion or payment up of the +securities the subject of this application, the +securities of the entity will comprise: (A discrepancy in these figures compared to your own may be due to a matter of timing if there is more than one application for quotation/issuance currently with ASX for processing.) 4.1 Quoted +Securities (Total number of each +class of +securities quoted) ASX +security code and description Total number of +securities on issue RIO : ORDINARY FULLY PAID 371,216,214 4.2 Unquoted +Securities (Total number of each +class of +securities issued but not quoted on ASX) ASX +security code and description Total number of +securities on issue RIOAI : SPECIAL VOTING SHARE 1 RIOAK : DLC DIVIDEND SHARE 1 RIOAL : SHARE RIGHTS 3,308,991
Document
EXHIBIT 99.8
Media release
Nuton Acquires Common Shares of Regulus Resources
30 January 2023
LONDON--(BUSINESS WIRE)-- Rio Tinto venture Nuton LLC (“Nuton”) has completed an arm’s length non-brokered private placement financing with Regulus ("Regulus" or the “Company”) for a strategic investment of US$15 million (C$20,460,1531) (the “Financing”).
Pursuant to the Financing, Nuton was issued 20,058,974 common shares in the capital of the Company (each, a “Common Share”) at an issuance price equal to C$1.02 per Common Share. Upon completion of the Financing, Nuton acquired beneficial ownership and control over 20,058,974 Common Shares representing 16.1% of the issued and outstanding Common Shares on completion on a non-diluted basis.
In connection with the Financing, Regulus and Nuton have entered into a collaboration agreement wherein Nuton was granted certain investor rights, including allowing Nuton to maintain its equity interest in Regulus if it maintains said interest above 10%. Additionally, Nuton shall be allowed to nominate a director to the board of directors of Regulus. The Company and Nuton have agreed to form a joint advisory committee to share expertise, exploration concepts and discuss development opportunities at the Company’s AntaKori project in Peru. The Company has granted exclusivity to Nuton in the area of novel, patented or trade secret leaching technologies, for a period of one year after the delivery of metallurgical samples from AntaKori to Nuton for testing. For a one-year period, Nuton has agreed to not sell any share of Regulus, acquire greater than a 19.9% interest in the Company and vote its common shares in favour of each director nominated by the Company. Nuton acquired the Common Shares for investment purposes.
This news release is issued pursuant to the early warning requirements of Canada’s National Instrument 62-104 and National Instrument 62-103 with respect to common shares of Regulus Resources Inc.
For further information and to obtain a copy of the early warning report filed under applicable Canadian provincial and territorial securities legislation in connection with the Transaction, please go to the Company's profile on the SEDAR website (www.sedar.com) or contact Rio Tinto’s Group Company Secretary.
Notes to editors
Nuton is an innovative new venture that aims to help grow Rio Tinto’s copper business. At the core of Nuton is a portfolio of proprietary copper leach-related technologies and capability – a product of almost 30 years of research and development. Nuton technologies offer the potential to economically unlock copper sulphide resources, copper bearing waste and tailings, and achieve higher copper recoveries on oxide and transitional material, allowing for a significantly increased copper production. One of the key differentiators of Nuton is the potential to deliver leading environmental performance, including more efficient water usage, lower carbon emissions, and the ability to reclaim mine sites by reprocessing mine waste.
1 Based on CAD/USD exchange rate on December 21, 2022, the date of announcement of the Financing.
| Contacts | Please direct all enquiries to media.enquiries@riotinto.com |
|---|---|
| Media Relations, UK<br><br>Matthew Klar<br><br>M+ 44 7796 630 637<br><br><br><br>David Outhwaite<br><br>M +44 7787 597 493<br><br><br><br>Media Relations, Americas<br><br>Simon Letendre<br><br>M +514 796 4973<br><br><br><br>Malika Cherry<br><br>M +1 418 592 7293<br><br><br><br>Investor Relations, UK<br><br>Menno Sanderse<br><br>M: +44 7825 195 178<br><br><br><br>David Ovington<br><br>M +44 7920 010 978<br><br><br><br>Clare Peever<br><br>M +44 7788 967 877 | Media Relations, Australia<br><br>Matt Chambers<br><br>M +61 433 525 739<br><br><br><br>Jesse Riseborough<br><br>M +61 436 653 412<br><br><br><br><br><br><br><br><br><br><br><br>Investor Relations, Australia<br><br>Tom Gallop<br><br>M +61 439 353 948<br><br><br><br>Amar Jambaa<br><br>M +61 472 865 948 |
| --- | --- |
| Rio Tinto plc<br><br>6 St James’s Square<br><br>London SW1Y 4AD<br><br>United Kingdom<br><br><br><br>T +44 20 7781 2000<br><br>Registered in England<br><br>No. 719885 | Rio Tinto Limited<br><br>Level 43, 120 Collins Street<br><br>Melbourne 3000<br><br>Australia<br><br><br><br>T +61 3 9283 3333<br><br>Registered in Australia<br><br>ABN 96 004 458 404 |
This announcement is authorised for release to the market by Steve Allen, Rio Tinto’s Group Company Secretary.
riotinto.com
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