CUSIP No. 833636103 (Series A)
CUSIP No. 833635105 (Series B)
|
Page 2 of 21 Pages
|
1
|
NAME OF REPORTING PERSONS
Inversiones Global Mining (Chile) Limitada
|
|||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) ☒
(b) ☐
|
|||
3
|
SEC USE ONLY
|
|||
4
|
SOURCE OF FUNDS (See Instructions)
Series A Shares: Not Applicable
Series B Shares: Not Applicable
|
|||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
☐
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Chile
|
|||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
Series A Shares: None
Series B Shares: None
|
||
8
|
SHARED VOTING POWER
Series A Shares: 8,798,539
Series B Shares: None
|
|||
9
|
SOLE DISPOSITIVE POWER
Series A Shares: None
Series B Shares: None
|
|||
10
|
SHARED DISPOSITIVE POWER
Series A Shares: 8,798,539
Series B Shares: None
|
|||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Series A Shares: 8,798,539
Series B Shares: None
|
|||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
|
☐
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Series A Shares: 6.16%
Series B Shares: None
|
|||
14
|
TYPE OF REPORTING PERSON (See Instructions)
PN
|
|||
CUSIP No. 833636103 (Series A)
CUSIP No. 833635105 (Series B)
|
Page 3 of 21 Pages
|
1
|
NAME OF REPORTING PERSONS
Global Mining Investment Inc., Agencia en Chile
|
|||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) ☒
(b) ☐
|
|||
3
|
SEC USE ONLY
|
|||
4
|
SOURCE OF FUNDS (See Instructions)
Series A Shares: Not Applicable
Series B Shares: Not Applicable
|
|||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
☐
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Chile
|
|||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
Series A Shares: None
Series B Shares: None
|
||
8
|
SHARED VOTING POWER
Series A Shares: 8,798,539
Series B Shares: None
|
|||
9
|
SOLE DISPOSITIVE POWER
Series A Shares: None
Series B Shares: None
|
|||
10
|
SHARED DISPOSITIVE POWER
Series A Shares: 8,798,539
Series B Shares: None
|
|||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Series A Shares: 8,798,539
Series B Shares: None
|
|||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
|
☐
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Series A Shares: 6.16%
Series B Shares: None
|
|||
14
|
TYPE OF REPORTING PERSON (See Instructions)
OO
|
|||
CUSIP No. 833636103 (Series A)
CUSIP No. 833635105 (Series B)
|
Page 4 of 21 Pages
|
1
|
NAME OF REPORTING PERSONS
Global Mining Investment Inc.
|
|||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) ☒
(b) ☐
|
|||
3
|
SEC USE ONLY
|
|||
4
|
SOURCE OF FUNDS (See Instructions)
Series A Shares: Not Applicable
Series B Shares: Not Applicable
|
|||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
☐
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Panama
|
|||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
Series A Shares: None
Series B Shares: None
|
||
8
|
SHARED VOTING POWER
Series A Shares: 8,798,539
Series B Shares: None
|
|||
9
|
SOLE DISPOSITIVE POWER
Series A Shares: None
Series B Shares: None
|
|||
10
|
SHARED DISPOSITIVE POWER
Series A Shares: 8,798,539
Series B Shares: None
|
|||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Series A Shares: 8,798,539
Series B Shares: None
|
|||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
|
☐
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Series A Shares: 6.16%
Series B Shares: None
|
|||
14
|
TYPE OF REPORTING PERSON (See Instructions)
CO
|
|||
CUSIP No. 833636103 (Series A)
CUSIP No. 833635105 (Series B)
|
Page 5 of 21 Pages
|
1
|
NAME OF REPORTING PERSONS
Calichera Caiman, Inc.
|
|||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) ☒
(b) ☐
|
|||
3
|
SEC USE ONLY
|
|||
4
|
SOURCE OF FUNDS (See Instructions)
Series A Shares: Not Applicable
Series B Shares: Not Applicable
|
|||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
☐
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Panama
|
|||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
Series A Shares: None
Series B Shares: None
|
||
8
|
SHARED VOTING POWER
Series A Shares: 8,798,539
Series B Shares: None
|
|||
9
|
SOLE DISPOSITIVE POWER
Series A Shares: None
Series B Shares: None
|
|||
10
|
SHARED DISPOSITIVE POWER
Series A Shares: 8,798,539
Series B Shares: None
|
|||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Series A Shares: 8,798,539
Series B Shares: None
|
|||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
|
☐
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Series A Shares: 6.16%
Series B Shares: None
|
|||
14
|
TYPE OF REPORTING PERSON (See Instructions)
CO
|
|||
CUSIP No. 833636103 (Series A)
CUSIP No. 833635105 (Series B)
|
Page 6 of 21 Pages
|
1
|
NAME OF REPORTING PERSONS
Sociedad de Inversiones Pampa Calichera S.A.
|
|||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) ☒
(b) ☐
|
|||
3
|
SEC USE ONLY
|
|||
4
|
SOURCE OF FUNDS (See Instructions)
Series A Shares: BK, AF, WC
Series B Shares: BK, AF, WC, OO
|
|||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
☐
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Chile
|
|||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
Series A Shares: None
Series B Shares: None
|
||
8
|
SHARED VOTING POWER
Series A Shares: 53,692,691
Series B Shares: 7,007,688
|
|||
9
|
SOLE DISPOSITIVE POWER
Series A Shares: None
Series B Shares: None
|
|||
10
|
SHARED DISPOSITIVE POWER
Series A Shares: 53,692,691
Series B Shares: 7,007,688
|
|||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Series A Shares: 53,692,691
Series B Shares: 7,007,688
|
|||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
|
☐
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Series A Shares: 37.59%
Series B Shares: 5.82%
|
|||
14
|
TYPE OF REPORTING PERSON (See Instructions)
CO
|
|||
CUSIP No. 833636103 (Series A)
CUSIP No. 833635105 (Series B)
|
Page 7 of 21 Pages
|
1
|
NAME OF REPORTING PERSONS
Sociedad de Inversiones Oro Blanco S.A.
|
|||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) ☒
(b) ☐
|
|||
3
|
SEC USE ONLY
|
|||
4
|
SOURCE OF FUNDS (See Instructions)
Series A Shares: BK, AF, WC
Series B Shares: Not Applicable
|
|||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
☐
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Chile
|
|||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
Series A Shares: None
Series B Shares: None
|
||
8
|
SHARED VOTING POWER
Series A Shares: 53,692,691
Series B Shares: 7,007,688
|
|||
9
|
SOLE DISPOSITIVE POWER
Series A Shares: None
Series B Shares: None
|
|||
10
|
SHARED DISPOSITIVE POWER
Series A Shares: 53,692,691
Series B Shares: 7,007,688
|
|||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Series A Shares: 53,692,691
Series B Shares: 7,007,688
|
|||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
|
☐
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Series A Shares: 37.59%
Series B Shares: 5.82%
|
|||
14
|
TYPE OF REPORTING PERSON (See Instructions)
CO
|
|||
CUSIP No. 833636103 (Series A)
CUSIP No. 833635105 (Series B)
|
Page 8 of 21 Pages
|
1
|
NAME OF REPORTING PERSONS
Potasios de Chile S.A.
|
|||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) ☒
(b) ☐
|
|||
3
|
SEC USE ONLY
|
|||
4
|
SOURCE OF FUNDS (See Instructions)
Series A Shares: WC, AF*
Series B Shares: Not Applicable
|
|||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
☐
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Chile
|
|||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
Series A Shares: None
Series B Shares: None
|
||
8
|
SHARED VOTING POWER
Series A Shares: 18,179,147
Series B Shares: None
|
|||
9
|
SOLE DISPOSITIVE POWER
Series A Shares: None
Series B Shares: None
|
|||
10
|
SHARED DISPOSITIVE POWER
Series A Shares: 18,179,147
Series B Shares: None
|
|||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Series A Shares: 18,179,147
Series B Shares: None
|
|||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
|
☐
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Series A Shares: 12.73%
Series B Shares: Not Applicable
|
|||
14
|
TYPE OF REPORTING PERSON (See Instructions)
CO
|
|||
CUSIP No. 833636103 (Series A)
CUSIP No. 833635105 (Series B)
|
Page 9 of 21 Pages
|
1
|
NAME OF REPORTING PERSONS
Nitratos de Chile S.A.
|
|||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) ☒
(b) ☐
|
|||
3
|
SEC USE ONLY
|
|||
4
|
SOURCE OF FUNDS (See Instructions)
Series A Shares: AF
Series B Shares: Not Applicable
|
|||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
☐
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Chile
|
|||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
Series A Shares: None
Series B Shares: None
|
||
8
|
SHARED VOTING POWER
Series A Shares: 18,179,147
Series B Shares: None
|
|||
9
|
SOLE DISPOSITIVE POWER
Series A Shares: None
Series B Shares: None
|
|||
10
|
SHARED DISPOSITIVE POWER
Series A Shares: 18,179,147
Series B Shares: None
|
|||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Series A Shares: 18,179,147
Series B Shares: None
|
|||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
|
☐
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Series A Shares: 12.73%
Series B Shares: Not Applicable
|
|||
14
|
TYPE OF REPORTING PERSON (See Instructions)
CO
|
|||
CUSIP No. 833636103 (Series A)
CUSIP No. 833635105 (Series B)
|
Page 10 of 21 Pages
|
1
|
NAME OF REPORTING PERSONS
Norte Grande S.A.
|
|||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) ☒
(b) ☐
|
|||
3
|
SEC USE ONLY
|
|||
4
|
SOURCE OF FUNDS (See Instructions)
Series A Shares: Not Applicable
Series B Shares: AF, WC
|
|||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
☐
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Chile
|
|||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
Series A Shares: None
Series B Shares: None
|
||
8
|
SHARED VOTING POWER
Series A Shares: 71,871,838
Series B Shares: 7,007,688
|
|||
9
|
SOLE DISPOSITIVE POWER
Series A Shares: None
Series B Shares: None
|
|||
10
|
SHARED DISPOSITIVE POWER
Series A Shares: 71,871,838
Series B Shares: 7,007,688
|
|||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Series A Shares: 71,871,838
Series B Shares: 7,007,688
|
|||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
|
☐
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Series A Shares: 50.32%
Series B Shares: 5.82%
|
|||
14
|
TYPE OF REPORTING PERSON (See Instructions)
CO
|
|||
CUSIP No. 833636103 (Series A)
CUSIP No. 833635105 (Series B)
|
Page 11 of 21 Pages
|
1
|
NAME OF REPORTING PERSONS
Inversiones SQYA Limitada
|
|||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) ☒
(b) ☐
|
|||
3
|
SEC USE ONLY
|
|||
4
|
SOURCE OF FUNDS (See Instructions)
Series A Shares: Not Applicable
Series B Shares: Not Applicable
|
|||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
☐
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Chile
|
|||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
Series A Shares: None
Series B Shares: None
|
||
8
|
SHARED VOTING POWER
Series A Shares: 71,871,838
Series B Shares: 7,007,688
|
|||
9
|
SOLE DISPOSITIVE POWER
Series A Shares: None
Series B Shares: None
|
|||
10
|
SHARED DISPOSITIVE POWER
Series A Shares: 71,871,838
Series B Shares: 7,007,688
|
|||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Series A Shares: 71,871,838
Series B Shares: 7,007,688
|
|||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
|
☐
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Series A Shares: 50.32%
Series B Shares: 5.82%
|
|||
14
|
TYPE OF REPORTING PERSON (See Instructions)
PN
|
|||
CUSIP No. 833636103 (Series A)
CUSIP No. 833635105 (Series B)
|
Page 12 of 21 Pages
|
1
|
NAME OF REPORTING PERSONS
Inversiones SQ Limitada
|
|||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) ☒
(b) ☐
|
|||
3
|
SEC USE ONLY
|
|||
4
|
SOURCE OF FUNDS (See Instructions)
Series A Shares: Not Applicable
Series B Shares: Not Applicable
|
|||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
☐
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Chile
|
|||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
Series A Shares: None
Series B Shares: None
|
||
8
|
SHARED VOTING POWER
Series A Shares: 71,871,838
Series B Shares: 7,007,688
|
|||
9
|
SOLE DISPOSITIVE POWER
Series A Shares: None
Series B Shares: None
|
|||
10
|
SHARED DISPOSITIVE POWER
Series A Shares: 71,871,838
Series B Shares: 7,007,688
|
|||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Series A Shares: 71,871,838
Series B Shares: 7,007,688
|
|||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
|
☐
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Series A Shares: 50.32%
Series B Shares: 5.82%
|
|||
14
|
TYPE OF REPORTING PERSON (See Instructions)
PN
|
|||
CUSIP No. 833636103 (Series A)
CUSIP No. 833635105 (Series B)
|
Page 13 of 21 Pages
|
1
|
NAME OF REPORTING PERSONS
S.Q. Grand Corp.
|
|||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) ☒
(b) ☐
|
|||
3
|
SEC USE ONLY
|
|||
4
|
SOURCE OF FUNDS (See Instructions)
Series A Shares: Not Applicable
Series B Shares: Not Applicable
|
|||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
☐
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Panama
|
|||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
Series A Shares: None
Series B Shares: None
|
||
8
|
SHARED VOTING POWER
Series A Shares: 71,871,838
Series B Shares: 7,007,688
|
|||
9
|
SOLE DISPOSITIVE POWER
Series A Shares: None
Series B Shares: None
|
|||
10
|
SHARED DISPOSITIVE POWER
Series A Shares: 71,871,838
Series B Shares: 7,007,688
|
|||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Series A Shares: 71,871,838
Series B Shares: 7,007,688
|
|||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
|
☐
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Series A Shares: 50.32%
Series B Shares: 5.82%
|
|||
14
|
TYPE OF REPORTING PERSON (See Instructions)
CO
|
|||
CUSIP No. 833636103 (Series A)
CUSIP No. 833635105 (Series B)
|
Page 14 of 21 Pages
|
1
|
NAME OF REPORTING PERSONS
Pacific Atlantic International Holding Corporation
|
|||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) ☒
(b) ☐
|
|||
3
|
SEC USE ONLY
|
|||
4
|
SOURCE OF FUNDS (See Instructions)
Series A Shares: Not Applicable
Series B Shares: Not Applicable
|
|||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
☐
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Panama
|
|||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
Series A Shares: None
Series B Shares: None
|
||
8
|
SHARED VOTING POWER
Series A Shares: 71,871,838
Series B Shares: 7,007,688
|
|||
9
|
SOLE DISPOSITIVE POWER
Series A Shares: None
Series B Shares: None
|
|||
10
|
SHARED DISPOSITIVE POWER
Series A Shares: 71,871,838
Series B Shares: 7,007,688
|
|||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Series A Shares: 71,871,838
Series B Shares: 7,007,688
|
|||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
|
☐
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Series A Shares: 50.32%
Series B Shares: 5.82%
|
|||
14
|
TYPE OF REPORTING PERSON (See Instructions)
CO
|
|||
CUSIP No. 833636103 (Series A)
CUSIP No. 833635105 (Series B)
|
Page 15 of 21 Pages
|
1
|
NAME OF REPORTING PERSONS
The Pacific Trust
|
|||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) ☒
(b) ☐
|
|||
3
|
SEC USE ONLY
|
|||
4
|
SOURCE OF FUNDS (See Instructions)
Series A Shares: Not Applicable
Series B Shares: Not Applicable
|
|||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
☐
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
British Virgin Islands
|
|||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
Series A Shares: None
Series B Shares: None
|
||
8
|
SHARED VOTING POWER
Series A Shares: 71,871,838
Series B Shares: 7,007,688
|
|||
9
|
SOLE DISPOSITIVE POWER
Series A Shares: None
Series B Shares: None
|
|||
10
|
SHARED DISPOSITIVE POWER
Series A Shares: 71,871,838
Series B Shares: 7,007,688
|
|||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Series A Shares: 71,871,838
Series B Shares: 7,007,688
|
|||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
|
☐
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Series A Shares: 50.32%
Series B Shares: 5.82%
|
|||
14
|
TYPE OF REPORTING PERSON (See Instructions)
OO
|
|||
CUSIP No. 833636103 (Series A)
CUSIP No. 833635105 (Series B)
|
Page 16 of 21 Pages
|
1
|
NAME OF REPORTING PERSONS
Julio Ponce Lerou
|
|||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) ☒
(b) ☐
|
|||
3
|
SEC USE ONLY
|
|||
4
|
SOURCE OF FUNDS (See Instructions)
Series A Shares: Not Applicable
Series B Shares: Not Applicable
|
|||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
☐
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Chile
|
|||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
Series A Shares: None
Series B Shares: None
|
||
8
|
SHARED VOTING POWER
Series A Shares: 71,871,838
Series B Shares: 7,007,688
|
|||
9
|
SOLE DISPOSITIVE POWER
Series A Shares: None
Series B Shares: None
|
|||
10
|
SHARED DISPOSITIVE POWER
Series A Shares: 71,871,838
Series B Shares: 7,007,688
|
|||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Series A Shares: 71,871,838
Series B Shares: 7,007,688
|
|||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
|
☐
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Series A Shares: 50.32%
Series B Shares: 5.82%
|
|||
14
|
TYPE OF REPORTING PERSON (See Instructions)
IN
|
|||
CUSIP No. 833636103 (Series A)
CUSIP No. 833635105 (Series B)
|
Page 17 of 21 Pages
|
1
|
NAME OF REPORTING PERSONS
Inversiones La Esperanza (Chile) Ltda.
|
|||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) ☒
(b) ☐
|
|||
3
|
SEC USE ONLY
|
|||
4
|
SOURCE OF FUNDS (See Instructions)
Series A Shares: WC
Series B Shares: WC
|
|||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
☐
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Chile
|
|||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
Series A Shares: None
Series B Shares: None
|
||
8
|
SHARED VOTING POWER
Series A Shares: 3,711,598
Series B Shares: 46,500
|
|||
9
|
SOLE DISPOSITIVE POWER
Series A Shares: None
Series B Shares: None
|
|||
10
|
SHARED DISPOSITIVE POWER
Series A Shares: 3,711,598
Series B Shares: 46,500
|
|||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Series A Shares: 3,711,598
Series B Shares: 46,500
|
|||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
|
☐
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Series A Shares: 2.60%
Series B Shares: *
|
|||
14
|
TYPE OF REPORTING PERSON (See Instructions)
PN
|
|||
CUSIP No. 833636103 (Series A)
CUSIP No. 833635105 (Series B)
|
Page 18 of 21 Pages
|
1
|
NAME OF REPORTING PERSONS
La Esperanza Delaware Corporation
|
|||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) ☒
(b) ☐
|
|||
3
|
SEC USE ONLY
|
|||
4
|
SOURCE OF FUNDS (See Instructions)
Series A Shares: WC
Series B Shares: WC
|
|||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
☐
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
United States
|
|||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
Series A Shares: None
Series B Shares: None
|
||
8
|
SHARED VOTING POWER
Series A Shares: 3,939,148
Series B Shares: 46,500
|
|||
9
|
SOLE DISPOSITIVE POWER
Series A Shares: None
Series B Shares: None
|
|||
10
|
SHARED DISPOSITIVE POWER
Series A Shares: 3,939,148
Series B Shares: 46,500
|
|||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Series A Shares: 3,939,148
Series B Shares: 46,500
|
|||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
|
☐
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Series A Shares: 2.76%
Series B Shares: *
|
|||
14
|
TYPE OF REPORTING PERSON (See Instructions)
CO
|
|||
CUSIP No. 833636103 (Series A)
CUSIP No. 833635105 (Series B)
|
Page 19 of 21 Pages
|
1
|
NAME OF REPORTING PERSONS
Kochi S.A.
|
|||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) ☒
(b) ☐
|
|||
3
|
SEC USE ONLY
|
|||
4
|
SOURCE OF FUNDS (See Instructions)
Series A Shares: WC
Series B Shares: WC
|
|||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
☐
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Chile
|
|||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
Series A Shares: None
Series B Shares: None
|
||
8
|
SHARED VOTING POWER
Series A Shares: 737,057
Series B Shares: 50,000
|
|||
9
|
SOLE DISPOSITIVE POWER
Series A Shares: None
Series B Shares: None
|
|||
10
|
SHARED DISPOSITIVE POWER
Series A Shares: 737,057
Series B Shares: 50,000
|
|||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Series A Shares: 737,057
Series B Shares: 50,000
|
|||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
|
☐
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Series A Shares: *
Series B Shares: *
|
|||
14
|
TYPE OF REPORTING PERSON (See Instructions)
CO
|
|||
CUSIP No. 833636103 (Series A)
CUSIP No. 833635105 (Series B)
|
Page 20 of 21 Pages
|
1
|
NAME OF REPORTING PERSONS
Kowa Company Ltd.
|
|||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) ☒
(b) ☐
|
|||
3
|
SEC USE ONLY
|
|||
4
|
SOURCE OF FUNDS (See Instructions)
Series A Shares: AF
Series B Shares: AF
|
|||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
☐
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Japan
|
|||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
Series A Shares: None
Series B Shares: None
|
||
8
|
SHARED VOTING POWER
Series A Shares: 5,457,634
Series B Shares: 96,500
|
|||
9
|
SOLE DISPOSITIVE POWER
Series A Shares: None
Series B Shares: None
|
|||
10
|
SHARED DISPOSITIVE POWER
Series A Shares: 5,457,634
Series B Shares: 96,500
|
|||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Series A Shares: 5,457,634
Series B Shares: 96,500
|
|||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
|
☐
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Series A Shares: 3.82%
Series B Shares: *
|
|||
14
|
TYPE OF REPORTING PERSON (See Instructions)
CO
|
|||
CUSIP No. 833636103 (Series A)
CUSIP No. 833635105 (Series B)
|
Page 21 of 21 Pages
|
1
|
NAME OF REPORTING PERSONS
Yoshihiro Miwa
|
|||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) ☒
(b) ☐
|
|||
3
|
SEC USE ONLY
|
|||
4
|
SOURCE OF FUNDS (See Instructions)
Series A Shares: Not Applicable
Series B Shares: Not Applicable
|
|||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
☐
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Japan
|
|||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
Series A Shares: None
Series B Shares: None
|
||
8
|
SHARED VOTING POWER
Series A Shares: 5,457,634
Series B Shares: 96,500
|
|||
9
|
SOLE DISPOSITIVE POWER
Series A Shares: None
Series B Shares: None
|
|||
10
|
SHARED DISPOSITIVE POWER
Series A Shares: 5,457,634
Series B Shares: 96,500
|
|||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Series A Shares: 5,457,634
Series B Shares: 96,500
|
|||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
|
☐
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Series A Shares: 3.82%
Series B Shares: *
|
|||
14
|
TYPE OF REPORTING PERSON (See Instructions)
IN
|
|||
Item 1. |
Security and Issuer
|
Item 2. |
Identity and Background
|
Item 3. |
Source and Amount of Funds or Other Consideration
|
Item 4. |
Purpose of Transaction
|
Item 5. |
Interest in Securities of the Issuer
|
Item 6. |
Contracts, Arrangements, Understandings or Relationship with Respect to Securities of the Issuer
|
(a) |
Shareholders Agreements
|
(b) |
Pledge Agreement relating to the Senior Notes
|
(c) |
Scotiabank Credit Agreements
|
(d) |
Itau Corpbanca Credit Agreements
|
(e) |
Santander Pledge Agreement
|
(f) |
BCI Pledge Agreement
|
Item 7. |
Materials to Be Filed as Exhibits
|
Exhibit
|
Description
|
1.
|
Joint Filing Agreement, dated as of June 5, 2017, by and among Inversiones Global Mining (Chile) Limitada, Global Mining Investment Inc., Agencia en Chile, Global Mining Investment Inc., Calichera Caiman, Inc., Sociedad de Inversiones Pampa Calichera S.A., Sociedad de Inversiones Oro Blanco S.A., Potasios de Chile S.A., Nitratos de Chile S.A., Norte Grande S.A., Inversiones SQYA Limitada, SQ Limitada, S.Q. Grand Corp., Pacific Atlantic International Holding Corporation, The Pacific Trust, Mr. Julio Ponce Lerou, Inversiones La Esperanza (Chile) Ltda., La Esperanza Delaware Corporation, Kochi S.A., Kowa Company Ltd. and Mr. Yoshihiro Miwa.
|
2.
|
Yara Shareholders Agreement of Inversiones SQNH dated April 18, 2002 among Inversiones SQ Holding S.A. and Norsk Hydro Holland B.V. (filed as Exhibit 2 to the Ponce Lerou Reporting Persons’ Schedule 13D filed on February 15, 2005).
|
3.
|
Kowa Shareholders Agreement, dated December 22, 2006 between Sociedad de Inversiones Pampa Calichera S.A. and Kowa Company Ltd. (filed as Exhibit 1 to the Ponce Lerou Reporting Persons’ Schedule 13D filed on February 2, 2007).
|
4.
|
First Amendment to the Kowa Shareholders Agreement, dated April 3, 2008 between Sociedad de Inversiones Pampa Calichera S.A. and Kowa Company Ltd.
|
5.
|
Indenture, 7.75% Senior Secured Notes due 2022, dated as of February 14, 2007, among Sociedad de Inversiones Pampa Calichera S.A., Deutsche Bank Trust Company Americas as Trustee and Deutsche Bank Luxembourg S.A., as Luxembourg Paying Agent and Listing Agent (filed as Exhibit 4 to the Schedule 13D filed jointly by the Ponce Lerou Reporting Persons and the Grupo Miwa Reporting Persons on September 7, 2007).
|
6.
|
First Supplemental Indenture dated as of December 4, 2008, by and among Sociedad de Inversiones Pampa Calichera S.A., Deutsche Bank Trust Company Americans, as trustee and Deutsche Bank Luxembourg S.A., as Luxembourg Paying Agent and Listing Agent, under the Indenture dated February 14, 2007.
|
7.
|
Second Supplemental Indenture dated as of August 22, 2012, by and among Sociedad de Inversiones Pampa Calichera S.A., Deutsche Bank Trust Company Americans, as trustee and Deutsche Bank Luxembourg S.A., as Luxembourg Paying Agent and Listing Agent, under the Indenture dated February 14, 2007
|
8.
|
Letter Agreement, dated as of April 17, 2017, by and among Inversiones El Boldo Limitada, Inversiones RAC Chile Limitada, Inversiones PCS Chile Limitada, Sociedad de Inversiones Pampa Calichera S.A., Potasios de Chile S.A., Inversiones Global Mining Chile Limitada, Kowa Company Ltd., Inversiones La Esperanza (Chile) Limitada, Kochi S.A. and La Esperanza Delaware Corporation.
|
Inversiones Global Mining (Chile) Limitada
|
Global Mining Investment Inc., Agencia en Chile
|
||||||
By:
|
/s/ Ricardo Moreno Moreno
|
By:
|
/s/ Aldo Motta Camp
|
||||
Name:
|
Ricardo Moreno Moreno |
Name:
|
Aldo Motta Camp
|
||||
Title:
|
CEO |
Title:
|
Officer | ||||
Global Mining Investment Inc.
|
Calichera Caiman, Inc.
|
||||||
By:
|
/s/ Aldo Motta Camp
|
By:
|
/s/ Patricio Phillips Sáenz
|
||||
Name:
|
Aldo Motta Camp
|
Name:
|
Patricio Phillips Sáenz | ||||
Title:
|
Officer |
Title:
|
Officer | ||||
Sociedad de Inversiones Pampa Calichera S.A.
|
Sociedad de Inversiones Oro Blanco S.A.
|
||||||
By:
|
/s/ Ricardo Moreno Moreno
|
By:
|
/s/ Ricardo Moreno Moreno
|
||||
Name:
|
Ricardo Moreno Moreno
|
Name:
|
Ricardo Moreno Moreno
|
||||
Title:
|
CEO |
Title:
|
CEO | ||||
Potasios de Chile S.A.
|
Nitratos de Chile S.A.
|
||||||
By:
|
/s/ Ricardo Moreno Moreno
|
By:
|
/s/ Ricardo Moreno Moreno
|
||||
Name:
|
Ricardo Moreno Moreno
|
Name:
|
Ricardo Moreno Moreno
|
||||
Title:
|
CEO |
Title:
|
CEO | ||||
Norte Grande S.A.
|
Inversiones SQYA Limitada
|
||||||
By:
|
/s/ Ricardo Moreno Moreno
|
By:
|
/s/ Aldo Motta Camp
|
||||
Name:
|
Ricardo Moreno Moreno
|
Name:
|
Aldo Motta Camp
|
||||
Title:
|
CEO |
Title:
|
Officer | ||||
Inversiones SQ Limitada
|
S.Q. Grand Corp.
|
||||||
By:
|
/s/ Aldo Motta Camp
|
By:
|
/s/ Felipe García Huidobro M. | ||||
Name:
|
Aldo Motta Camp
|
Name:
|
Felipe García Huidobro M. | ||||
Title:
|
Officer |
Title:
|
Officer | ||||
Pacific Atlantic International Holding Corporation
|
The Pacific Trust
|
||||||
By:
|
/s/ Felipe García Huidobro M.
|
By:
|
/s/ Luis López
|
||||
Name:
|
Felipe García Huidobro M. |
Name:
|
Luis López on behalf of Alfaro, Ferrer & Ramirez,
|
||||
Title:
|
Officer |
Title:
|
Trustee of the Pacific Trust | ||||
Mr. Julio Ponce Lerou
|
|||||||
By:
|
/s/ Julio Ponce Lerou | ||||||
Name:
|
Julio Ponce Lerou | ||||||
Title:
|
Inversiones La Esperanza (Chile) Ltda.
|
La Esperanza Delaware Corporation
|
||||||
By:
|
/s/ Yoshihito Hata |
By:
|
/s/ Yoshihito Hata | ||||
Name:
|
Yoshihito Hata
|
Name:
|
Yoshihito Hata
|
||||
Title:
|
General Manager
|
Title:
|
Attorney-in-Fact
|
||||
Kochi S.A.
|
Kowa Company Ltd.
|
||||||
By:
|
/s/ Yoshihito Hata |
By:
|
/s/ Yoshihito Hata | ||||
Name:
|
Yoshihito Hata
|
Name:
|
Yoshihito Hata
|
||||
Title:
|
General Manager
|
Title:
|
Attorney-in-Fact
|
||||
Yoshihiro Miwa
|
|||||||
By:
|
/s/ Yoshihito Hata | ||||||
Name:
|
Yoshihito Hata
|
||||||
Title:
|
Attorney-in-Fact
|
||||||
Name
|
Business Address
|
Present Principal Occupation or
Employment and Name of Employer
|
Citizenship
|
|||
Mr. Ricardo Moreno Moreno (Officer)
|
El Trovador 4285, 11th Floor, Las Condes Santiago, Chile
|
Chief Executive Officer - Sociedad de Inversiones Pampa Calichera S.A., Sociedad de Inversiones Oro Blanco S.A., Potasios de Chile S.A., Nitratos de Chile S.A. and Norte Grande S.A.
|
Chile
|
Name
|
Business Address
|
Present Principal Occupation or
Employment and Name of Employer
|
Citizenship
|
|||
Mr. Aldo César Motta Camp (Officer)
|
Campos de Deportes 780, Ñuñoa, Santiago, Chile
|
Attorney-in-Fact
|
Chile
|
Name
|
Business Address
|
Present Principal Occupation or
Employment and Name of Employer
|
Citizenship
|
|||
Mr. Aldo César Motta Camp (Officer)
|
Campos de Deportes 780, Ñuñoa, Santiago, Chile
|
Attorney-in-Fact
|
Chile
|
|||
Arlix Santamaria (Director)
|
Dúplex No. 6, Obarrio, calle 61, Panama City, Panama
|
Attorney-in-Fact
|
Panama
|
|||
Karen Saldaña (Director)
|
Dúplex No. 6, Obarrio, calle 61, Panama City, Panama
|
Attorney-in-Fact
|
Panama
|
|||
Erika Oses (Director)
|
Dúplex No. 6, Obarrio, calle 61, Panama City, Panama
|
Attorney-in-Fact
|
Panama
|
Name
|
Business Address
|
Present Principal Occupation or
Employment and Name of Employer
|
Citizenship
|
|||
Patricio Phillips Sáenz (Officer)
|
Onofre Jarpa 269, La Reina, Santiago, Chile
|
Entrepreneur and Attorney-in-Fact
|
Chile
|
|||
Arlix Santamaria (Director)
|
Dúplex No. 6, Obarrio, calle 61, Panama City, Panama
|
Attorney-in-Fact
|
Panama
|
|||
Karen Saldaña (Director)
|
Dúplex No. 6, Obarrio, calle 61, Panama City, Panama
|
Attorney-in-Fact
|
Panama
|
|||
Erika Oses (Director)
|
Dúplex No. 6, Obarrio, calle 61, Panama City, Panama
|
Attorney-in-Fact
|
Panama
|
Name
|
Business Address
|
Present Principal Occupation or
Employment and Name of Employer
|
Citizenship
|
|||
Mr. Rafael Guilisasti Gana (Chairman of Board of Directors)
|
Nueva Tajamar 481, South Tower office 905, Providencia, Santiago, Chile
|
Chairman of Board of Directors – Norte Grande S.A., Sociedad de Inversiones Oro Blanco S.A. and Sociedad de Inversiones Pampa Calichera S.A. Vice-Chairman of Viña Concha y Toro S.A.
|
Chile
|
|||
Mr. Patricio Contesse Fica (Vice-Chairman of Board of Directors)
|
El Trovador 4285 11th Floor, Las Condes, Santiago, Chile
|
Vice-Chairman of Board of Directors – Norte Grande S.A., Sociedad de Inversiones Oro Blanco S.A., Sociedad de Inversiones Pampa Calichera S.A. and Potasios de Chile S.A.
|
Chile
|
|||
Mr. Francisco Guerrero Novoa (Director)
|
Av. Presidente Riesco 5561, office 901, Las Condes, Santiago, Chile
|
CEO of Sanasalud S.A.
|
Chile
|
|||
Mr. Rafael Garrido Illanes (Director)
|
Augusto Leguia Norte 44, Depto. 103, Las Condes, Santiago, Chile
|
General Manager of Recon Chile S.A
|
Chile
|
|||
Mr. Cristian Antonio Leay Moran (Director)
|
Nueva Los Leones 281, Providencia, Santiago, Chile
|
Entrepreneur
|
Chile
|
|||
Mrs. Francisca Ponce Pinochet (Director)
|
El Trovador 4285 11th Floor, Las Condes, Santiago, Chile
|
Entrepreneur
|
Chile
|
|||
Mr. Andrés Nieme Balanda (Director)
|
El Trovador 4285 11th Floor, Las Condes, Santiago, Chile
|
Lawyer and Entrepreneur
|
Chile
|
|||
Mr. Ricardo Moreno Moreno (Chief Executive Officer)
|
El Trovador 4285 11th Floor, Las Condes, Santiago, Chile
|
Chief Executive Officer - Sociedad de Inversiones Pampa Calichera S.A., Sociedad de Inversiones Oro Blanco S.A., Potasios de Chile S.A., Nitratos de Chile S.A. and Norte Grande S.A.
|
Chile
|
Name
|
Business Address
|
Present Principal Occupation or
Employment and Name of Employer
|
Citizenship
|
|||
Mr. Rafael Guilisasti Gana (Chairman of Board of Directors)
|
Nueva Tajamar 481, South Tower office 905, Providencia, Santiago, Chile
|
Chairman of Board of Directors – Norte Grande S.A., Sociedad de Inversiones Oro Blanco S.A. and Sociedad de Inversiones Pampa Calichera S.A. Vice-Chairman of Viña Concha y Toro S.A.
|
Chile
|
|||
Mr. Patricio Contesse Fica (Vice-Chairman of Board of Directors)
|
El Trovador 4285 11th Floor, Las Condes, Santiago, Chile
|
Vice-Chairman of Board of Directors – Norte Grande S.A., Sociedad de Inversiones Oro Blanco S.A., Sociedad de Inversiones Pampa Calichera S.A. and Potasios
|
Chile
|
|||
Mr. Fanor Velasco Calvo (Director)
|
El Trovador 4285 11th Floor, Las Condes, Santiago, Chile
|
Entrepreneur
|
Chile
|
|||
Mr. Rafael Garrido Illanes (Director)
|
Augusto Leguia Norte 44, Depto. 103, Las Condes, Santiago, Chile
|
General Manager of Recon Chile S.A.
|
Chile
|
|||
Mr. Cristian Antonio Leay Moran (Director)
|
Nueva Los Leones 281, Providencia, Santiago, Chile
|
Entrepreneur
|
Chile
|
|||
Mrs. Francisca Ponce Pinochet (Director)
|
El Trovador 4285 11th Floor, Las Condes, Santiago, Chile
|
Entrepreneur
|
Chile
|
|||
Mr. Iván Diaz Molina (Director)
|
Av. Plaza 1905, Las Condes, Santiago, Chile
|
Professor of Universidad de Los Andes
|
Argentina
|
|||
Mr. Ricardo Moreno Moreno (Chief Executive Officer)
|
El Trovador 4285 11th Floor, Las Condes, Santiago, Chile
|
Chief Executive Officer - Sociedad de Inversiones Pampa Calichera S.A., Sociedad de Inversiones Oro Blanco S.A., Potasios de Chile S.A., Nitratos de Chile S.A. and Norte Grande S.A.
|
Chile
|
Name
|
Business Address
|
Present Principal Occupation or
Employment and Name of Employer
|
Citizenship
|
|||
Mr. Patricio Phillips Saenz (Chairman of Board of Directors)
|
El Trovador 4285 11th Floor, Las Condes, Santiago, Chile
|
Entrepreneur and Chairman of Board of Directors – Nitratos de Chile S.A. and Potasios de Chile S.A.
|
Chile
|
|||
Mr. Patricio Contesse Fica (Vice-Chairman of Board of Directors)
|
El Trovador 4285 11th Floor, Las Condes, Santiago, Chile
|
Vice-Chairman of Board of Directors – Norte Grande S.A., Sociedad de Inversiones Oro Blanco S.A., Sociedad de Inversiones Pampa Calichera S.A. and Potasios
|
Chile
|
|||
Mr. Rafael Garrido Illanes (Director)
|
Augusto Leguia Norte 44, Depto. 103, Las Condes, Santiago, Chile
|
General Manager of Recon Chile S.A
|
Chile
|
|||
Mr. Manuel Diaz de Valdes Olavarrieta (Director)
|
Don Carlos 2939, office 904, Las Condes, Santiago, Chile
|
Lawyer- Poduje & Cía Abogados
|
Chile
|
|||
Mr. Julio César Ponce Pinochet (Director)
|
Av. Kennedy 5600, office 315, Las Condes, Santiago, Chile
|
Entrepreneur
|
Chile
|
|||
Mrs. Francisca Ponce Pinochet (Director)
|
El Trovador 4285 11th Floor, Las Condes, Santiago, Chile
|
Entrepreneur
|
Chile
|
|||
Mr. Andres Nieme Balanda (Director)
|
El Trovador 4285 11th Floor, Las Condes, Santiago, Chile
|
Lawyer and Entrepreneur
|
Chile
|
|||
Mr. Ricardo Moreno Moreno (Chief Executive Officer)
|
El Trovador 4285 11th Floor, Las Condes, Santiago, Chile
|
Chief Executive Officer - Sociedad de Inversiones Pampa Calichera S.A., Sociedad de Inversiones Oro Blanco S.A., Potasios de Chile S.A., Nitratos de Chile S.A. and Norte Grande S.A.
|
Chile
|
Name
|
Business Address
|
Present Principal Occupation or
Employment and Name of Employer
|
Citizenship
|
|||
Mr. Patricio Phillips Saenz (Chairman of Board of Directors)
|
El Trovador 4285 11th Floor, Las Condes, Santiago, Chile
|
Entrepreneur and Chairman of Board of Directors – Nitratos de Chile S.A. and Potasios de Chile S.A.
|
Chile
|
|||
Mr. Alexander Fernandez Montenegro (Vice-Chairman of Board of Directors)
|
Paseo Las Palmas 2212, office 64, Providencia, Santiago, Chile
|
Entrepreneur
|
Chile
|
|||
Mr. Rafael Garrido Illanes (Director)
|
Augusto Leguia Norte 44, Depto. 103, Las Condes, Santiago, Chile
|
General Manager of Recon Chile S.A.
|
Chile
|
|||
Mr. Pedro Pellegrini Ripamonti (Director)
|
Av. Vitacura 2939, 8th Floor, Las Condes, Santiago, Chile
|
Lawyer- Guerrero Olivos
|
Chile
|
|||
Mr. Pedro Pablo Bustos Valderrama (Director)
|
El Trovador 4285 11th Floor, Las Condes, Santiago, Chile
|
Entrepreneur
|
Chile
|
|||
Mr. Patricio Contesse Fica (Director)
|
El Trovador 4285 11th Floor, Las Condes, Santiago, Chile
|
Vice-Chairman of Board of Directors – Norte Grande S.A., Sociedad de Inversiones Oro Blanco S.A., Sociedad de Inversiones Pampa Calichera S.A. and Potasios
|
Chile
|
|||
Mr. Andres Nieme Balanda (Director)
|
El Trovador 4285 11th Floor, Las Condes, Santiago, Chile
|
Lawyer and Entrepreneur
|
Chile
|
|||
Mr. Ricardo Moreno Moreno (Chief Executive Officer)
|
El Trovador 4285 11th Floor, Las Condes, Santiago, Chile
|
Chief Executive Officer - Sociedad de Inversiones Pampa Calichera S.A., Sociedad de Inversiones Oro Blanco S.A., Potasios de Chile S.A., Nitratos de Chile S.A. and Norte Grande S.A.
|
Chile
|
Name
|
Business Address
|
Present Principal Occupation or
Employment and Name of Employer
|
Citizenship
|
|||
Mr. Rafael Guilisasti Gana (Chairman of Board of Directors)
|
Nueva Tajamar 481, South Tower office 905, Providencia, Santiago, Chile
|
Chairman of Board of Directors – Norte Grande S.A., Sociedad de Inversiones Oro Blanco S.A. and Sociedad de Inversiones Pampa Calichera S.A. Vice-Chairman of Viña Concha y Toro S.A.
|
Chile
|
|||
Mr. Patricio Contesse Fica (Vice-Chairman of Board of Directors)
|
El Trovador 4285 11th Floor, Las Condes, Santiago, Chile
|
Vice-Chairman of Board of Directors – Norte Grande S.A., Sociedad de Inversiones Oro Blanco S.A., Sociedad de Inversiones Pampa Calichera S.A. and Potasios
|
Chile
|
|||
Mr. Hernán Manuel Contreras Molina (Director)
|
El Trovador 4285 11th Floor, Las Condes, Santiago, Chile
|
Lawyer and Entrepreneur
|
Chile
|
|||
Mr. Patricio Phillips Saenz (Director)
|
El Trovador 4285 11th Floor, Las Condes, Santiago, Chile
|
Entrepreneur and Chairman of Board of Directors – Nitratos de Chile S.A. and Potasios de Chile S.A.
|
Chile
|
|||
Mr. Sergio Montes Varas (Director)
|
Av. Apoquindo 3910, 15th Floor, Las Condes, Santiago, Chile
|
Lawyer- Figueroa, Pacheco, Montes Abogados y Cía Limitada
|
Chile
|
|||
Mr. Rodrigo Zegers Reyes (Director)
|
Av. Santa Lucía 330, 5th Floor, Santiago, Chile
|
Lawyer- Rivadeneira, Colombara y Zegers Abogados
|
Chile
|
|||
Mr. Rafael Garrido Illanes (Director)
|
Augusto Leguia Norte 44, Depto. 103, Las Condes, Santiago, Chile
|
General Manager of Recon Chile S.A.
|
Chile
|
|||
Mr. Ricardo Moreno Moreno (Chief Executive Officer)
|
El Trovador 4285 11th Floor, Las Condes, Santiago, Chile
|
Chief Executive Officer - Sociedad de Inversiones Pampa Calichera S.A., Sociedad de Inversiones Oro Blanco S.A., Potasios de Chile S.A., Nitratos de Chile S.A. and Norte Grande S.A.
|
Chile
|
Name
|
Business Address
|
Present Principal Occupation or
Employment and Name of Employer
|
Citizenship
|
|||
Mr. Aldo César Motta Camp (Officer)
|
Campos de Deportes 780, Ñuñoa, Santiago, Chile
|
Attorney-in-Fact
|
Chile
|
Name
|
Business Address
|
Present Principal Occupation or
Employment and Name of Employer
|
Citizenship
|
|||
Mr. Aldo César Motta Camp (Officer)
|
Campos de Deportes 780, Ñuñoa, Santiago, Chile
|
Attorney-in-Fact
|
Chile
|
Name
|
Business Address
|
Present Principal Occupation or
Employment and Name of Employer
|
Citizenship
|
|||
Luis Felipe García-Huidobro Mac-Auliffe (Officer)
|
Campos de Deportes 780, Ñuñoa, Santiago, Chile
|
Attorney-in-Fact
|
Chile
|
|||
Camilo Andrés Méndez Chong (Director)
|
R.G. Hodge Plaza, Second Floor, Upper main Street P.O. Box 915 Road Town, Tortola Virgin Islands
|
Attorney-in-Fact
|
Panama
|
|||
Brunilda Gabriela Broce (Director)
|
R.G. Hodge Plaza, Second Floor, Upper main Street P.O. Box 915 Road Town, Tortola Virgin Islands
|
Attorney-in-Fact
|
Panama
|
|||
Attorney-in-Fact of DIRSERV INC. (Director)
|
R.G. Hodge Plaza, Second Floor, Upper main Street P.O. Box 915 Road Town, Tortola Virgin Islands
|
Attorney-in-Fact
|
British Virgin Islands
|
Name
|
Business Address
|
Present Principal Occupation or
Employment and Name of Employer
|
Citizenship
|
|||
Luis Felipe García-Huidobro Mac-Auliffe (Officer)
|
Campos de Deportes 780, Ñuñoa, Santiago, Chile
|
Attorney-in-Fact
|
Chile
|
|||
Camilo Andrés Méndez Chong (Director)
|
R.G. Hodge Plaza, Second Floor, Upper main Street P.O. Box 915 Road Town, Tortola Virgin Islands
|
Attorney-in-Fact
|
Panama
|
|||
Brunilda Gabriela Broce (Director)
|
R.G. Hodge Plaza, Second Floor, Upper main Street P.O. Box 915 Road Town, Tortola Virgin Islands
|
Attorney-in-Fact
|
Panama
|
|||
Attorney-in-Fact of DIRSERV INC. (Director)
|
R.G. Hodge Plaza, Second Floor, Upper main Street P.O. Box 915 Road Town, Tortola Virgin Islands
|
Attorney-in-Fact
|
British Virgin Islands
|
Name
|
Business Address
|
Present Principal Occupation or
Employment and Name of Employer
|
Citizenship
|
|||
Mr. Yoshihito Hata
|
Avenida Apoquindo 3472 of. 1201, Chile
|
General Manager
|
Japan
|
Name
|
Business Address
|
Present Principal Occupation or
Employment and Name of Employer
|
Citizenship
|
|||
Mr. Yoshihito Hata
|
Avenida Apoquindo 3472 of. 1201, Chile
|
Attorney-in-Fact
|
Japan
|
Name
|
Business Address
|
Present Principal Occupation or
Employment and Name of Employer
|
Citizenship
|
|||
Junji Inoue (President and Director)
|
Apoquindo 3472 of. 1201, Las Condes, Santiago, Chile
|
Chairman
|
Japan
|
|||
Yasuo Nomura (Director)
|
Apoquindo 3472 of. 1201, Las Condes, Santiago, Chile
|
Director
|
Japan
|
|||
Masayoshi Sako (Director)
|
Apoquindo 3472 of. 1201, Las Condes, Santiago, Chile
|
Director
|
USA
|
|||
Hiroki Kanamori (Director)
|
Apoquindo 3472 of. 1201, Las Condes, Santiago, Chile
|
Director
|
Japan
|
|||
Yoshihito Hata (Director)
|
Apoquindo 3472 of. 1201, Las Condes, Santiago, Chile
|
General Manager
|
Japan
|
Name
|
Business Address
|
Present Principal Occupation or
Employment and Name of Employer
|
Citizenship
|
|||
Mr. Yoshihiro Miwa
|
6-29, Nishiki 3-Chome, Naka-ku, Nagoya, Japan.
|
President
|
Japan
|
|||
Mr. Yoshihito Hata
|
Apoquindo 3472 of. 1201, Las Condes, Santiago, Chile
|
Attorney-in-Fact
|
Japan
|
Date
|
Series A Shares Purchased
|
Price Per Share in Chilean Pesos
|
August 1, 2007
|
625,000
|
9,701.71
|
August 2, 2007
|
55,000
|
10,110.00
|
August 14, 2007
|
525,000
|
10,514.33
|
August 16, 2007
|
350,000
|
10,510.00
|
August 17, 2007
|
700,000
|
10,535.50
|
August 20, 2007
|
1,198,755
|
10,566.47
|
Date
|
Series B Shares Purchased
|
Price Per Share in Chilean Pesos
|
August 24, 2007
|
210,000
|
8,250.00
|
August 27, 2007
|
90,000
|
8,255.00
|
August 28, 2007
|
150,000
|
8,210.00
|
August 30, 2007
|
120,000
|
8,200.00
|
August 30, 2007
|
100,000
|
8,200.00
|
September 4, 2007
|
341,840
|
8,318.78
|
Date
|
Series B Shares Sold
|
Price Per Share in Chilean Pesos
|
October 12, 2007
|
68,325
|
9,832.04
|
October 16, 2007
|
181,675
|
9,621.81
|
October 17, 2007
|
100,000
|
9,625.00
|
October 18, 2007
|
62,240
|
9,465.47
|
October 19, 2007
|
11,338
|
9,400.00
|
October 22, 2007
|
66,422
|
9,324.09
|
October 23, 2007
|
10,000
|
9,400.00
|
Date
|
Series B Shares Sold
|
Aggregate Selling Price in Chilean Pesos
|
March 28, 2008
|
45,053
|
474,522,975
|
March 31, 2008
|
134,809
|
1,370,174,410
|
April 1, 2008
|
50,138
|
520,107,546
|
April 2, 2008
|
115,000
|
1,249,000,050
|
April 3, 2008
|
120,000
|
1,337,347,200
|
April 4, 2008
|
35,000
|
402,250,100
|
April 7, 2008
|
200,000
|
2,430,846,000
|
April 8, 2008
|
145,385
|
1,821,912,481
|
April 9, 2008
|
4,615
|
57,916,635
|
Date
|
Series B Shares Purchased
|
Series B Shares Sold
|
Aggregate Price in Chilean Pesos
|
October 14, 2009
|
260,000
|
5,477,578,600
|
|
October 15, 2009
|
1,340,000
|
27,416,855,600
|
|
October 19, 2009
|
225,000
|
4,806,866,250
|
|
October 20, 2009
|
260,000
|
5,500,874,600
|
|
October 21, 2009
|
238,000
|
4,997,890,282
|
|
October 28, 2009
|
108,574
|
2,114,307,103
|
|
October 30, 2009
|
200,000
|
3,872,210,000
|
|
November 2, 2009
|
130,000
|
2,505,817,600
|
|
November 3, 2009
|
32,950
|
634,421,607
|
|
November 6, 2009
|
130,000
|
2,575,978,600
|
|
November 9, 2009
|
187,068
|
3,730,180,816
|
|
November 10, 2009
|
76,413
|
1,520,466,638
|
|
November 17, 2009
|
57,469
|
1,104,423,725
|
|
November 18, 2009
|
44,293
|
858,106,006
|
|
November 20, 2009
|
120,487
|
2,361,231,934
|
|
November 23, 2009
|
146,862
|
2,888,486,222
|
|
November 24, 2009
|
7,887
|
152,351,365
|
|
November 25, 2009
|
248,593
|
4,738,617,618
|
|
November 26, 2009
|
74,257
|
1,380,220,057
|
|
November 26, 2009
|
50,000
|
948,500,000
|
|
November 30, 2009
|
1,000,000
|
18,600,000,000
|
|
December 1, 2009
|
190,880
|
3,612,689,254
|
|
Date
|
Series B Shares Purchased
|
Series B Shares Sold
|
Aggregate Price in Chilean Pesos
|
December 2, 2009
|
150,000
|
2,875,199,790
|
|
December 3, 2009
|
85,000
|
1,641,749,755
|
|
December 4, 2009
|
80,000
|
1,554,952,100
|
|
December 7, 2009
|
100,000
|
1,928,021,000
|
|
December 9, 2009
|
73,090
|
1,411,006,835
|
|
December 10, 2009
|
300,000
|
5,803,310,000
|
|
December 14, 2009
|
11,226
|
221,287,249
|
|
December 15, 2009
|
20,000
|
395,117,000
|
|
December 16, 2009
|
99,985
|
1,994,851,727
|
|
December 17, 2009
|
20,015
|
392,468,131
|
|
December 18, 2009
|
370,000
|
7,221,294,400
|
|
December 21, 2009
|
3,000,000
|
58,500,000,000
|
|
December 23, 2009
|
240,000
|
4,621,748,800
|
|
December 24, 2009
|
344,281
|
6,628,201,350
|
|
December 28, 2009
|
1,975,719
|
38,156,369,545
|
|
December 29, 2009
|
900,000
|
17,415,198,000
|
|
January 7, 2010
|
100,000
|
2,002,002,000
|
|
January 8, 2010
|
100,000
|
2,089,274,000
|
|
January 11, 2010
|
100,000
|
2,134,380,100
|
|
January 12, 2010
|
10,000
|
211,066,200
|
|
January 14, 2010
|
100,000
|
2,105,079,387
|
Date
|
Series B Shares Sold
|
Aggregate Purchase Price in Chilean Pesos
|
October 6, 2010
|
30,000
|
697,200,000
|
October 8, 2010
|
52,000
|
1,218,828,000
|
October 14, 2010
|
150,178
|
3,624,654,158
|
December 2, 2010
|
390,000
|
9,911,378,100
|
December 9, 2010
|
530,000
|
13,924,716,500
|
December 13, 2010
|
110,000
|
2,859,690,900
|
January 3, 2011
|
16,000
|
422,400,000
|
Date
|
Series A Shares Purchased
|
Aggregate Purchase Price in Chilean Pesos
|
July 7, 2015
|
1,164
|
18,282,285
|
July 8, 2015
|
132
|
2,106,280
|
July 9, 2015
|
70
|
1,120,000
|
July 27, 2015
|
711
|
11,442,699
|
July 28, 2015
|
200
|
3,290,000
|
July 30, 2015
|
30,030
|
461,799,326
|
July 31, 2015
|
2,548
|
41,744,000
|
August 3, 2015
|
751
|
12,396,900
|
August 4, 2015
|
2,949
|
48,952,456
|
August 5, 2015
|
900
|
14,480,001
|
August 6, 2015
|
1,200
|
19,199,304
|
August 7, 2015
|
200
|
3,239,400
|
August 10, 2015
|
1,208
|
19,606,577
|
August 11, 2015
|
200
|
3,320,000
|
Date
|
Series A Shares Purchased
|
Aggregate Purchase Price in Chilean Pesos
|
September 1, 2015
|
1,100
|
18,793,907
|
September 2, 2015
|
600
|
10,196,700
|
September 3, 2015
|
500
|
8,243,500
|
September 4, 2015
|
500
|
8,124,400
|
September 7, 2015
|
200
|
3,293,530
|
September 8, 2015
|
256
|
4,223,488
|
September 9, 2015
|
400
|
6,596,836
|
September 11, 2015
|
200
|
3,200,000
|
September 14, 2015
|
132
|
2,178,000
|
September 15, 2015
|
1,350
|
21,040,007
|
September 16, 2015
|
693
|
11,061,597
|
September 17, 2015
|
250
|
3,997,500
|
September 21, 2015
|
414
|
6,682,858
|
September 22, 2015
|
200
|
3,200,000
|
September 23, 2015
|
300
|
4,875,000
|
September 24, 2015
|
300
|
4,875,000
|
September 25, 2015
|
400
|
6,510,000
|
September 28, 2015
|
100
|
1,624,500
|
September 29, 2015
|
200
|
3,247,000
|
September 30, 2015
|
500
|
8,006,800
|
October 1, 2015
|
480
|
7,535,971
|
October 2, 2015
|
250
|
3,944,850
|
October 5, 2015
|
200
|
3,160,000
|
Date
|
Series A Shares Purchased
|
Aggregate Purchase Price in Chilean Pesos
|
October 6, 2015
|
200
|
3,300,000
|
October 7, 2015
|
50
|
825,000
|
October 8, 2015
|
262
|
4,322,937
|
October 13, 2015
|
315
|
5,612,387
|
October 14, 2015
|
200
|
3,600,000
|
October 15, 2015
|
200
|
3,600,000
|
Exhibit
|
Description
|
1.
|
Joint Filing Agreement, dated as of June 5, 2017, by and among Inversiones Global Mining (Chile) Limitada, Global Mining Investment Inc., Agencia en Chile, Global Mining Investment Inc., Calichera Caiman, Inc., Sociedad de Inversiones Pampa Calichera S.A., Sociedad de Inversiones Oro Blanco S.A., Potasios de Chile S.A., Nitratos de Chile S.A., Norte Grande S.A., Inversiones SQYA Limitada, SQ Limitada, S.Q. Grand Corp., Pacific Atlantic International Holding Corporation, The Pacific Trust, Mr. Julio Ponce Lerou, Inversiones La Esperanza (Chile) Ltda., La Esperanza Delaware Corporation, Kochi S.A., Kowa Company Ltd. and Mr. Yoshihiro Miwa.
|
2.
|
Yara Shareholders Agreement of Inversiones SQNH dated April 18, 2002 among Inversiones SQ Holding S.A. and Norsk Hydro Holland B.V. (filed as Exhibit 2 to the Ponce Lerou Reporting Persons’ Schedule 13D filed on February 15, 2005).
|
3.
|
Kowa Shareholders Agreement, dated December 22, 2006 between Sociedad de Inversiones Pampa Calichera S.A. and Kowa Company Ltd. (filed as Exhibit 1 to the Ponce Lerou Reporting Persons’ Schedule 13D filed on February 2, 2007).
|
4.
|
First Amendment to the Kowa Shareholders Agreement, dated April 3, 2008 between Sociedad de Inversiones Pampa Calichera S.A. and Kowa Company Ltd.
|
5.
|
Indenture, 7.75% Senior Secured Notes due 2022, dated as of February 14, 2007, among Sociedad de Inversiones Pampa Calichera S.A., Deutsche Bank Trust Company Americas as Trustee and Deutsche Bank Luxembourg S.A., as Luxembourg Paying Agent and Listing Agent (filed as Exhibit 4 to the Schedule 13D filed jointly by the Ponce Lerou Reporting Persons and the Grupo Miwa Reporting Persons on September 7, 2007).
|
6.
|
First Supplemental Indenture dated as of December 4, 2008, by and among Sociedad de Inversiones Pampa Calichera S.A., Deutsche Bank Trust Company Americans, as trustee and Deutsche Bank Luxembourg S.A., as Luxembourg Paying Agent and Listing Agent, under the Indenture dated February 14, 2007.
|
7.
|
Second Supplemental Indenture dated as of August 22, 2012, by and among Sociedad de Inversiones Pampa Calichera S.A., Deutsche Bank Trust Company Americans, as trustee and Deutsche Bank Luxembourg S.A., as Luxembourg Paying Agent and Listing Agent, under the Indenture dated February 14, 2007
|
8.
|
Letter Agreement, dated as of April 17, 2017, by and among Inversiones El Boldo Limitada, Inversiones RAC Chile Limitada, Inversiones PCS Chile Limitada, Sociedad de Inversiones Pampa Calichera S.A., Potasios de Chile S.A., Inversiones Global Mining Chile Limitada, Kowa Company Ltd., Inversiones La Esperanza (Chile) Limitada, Kochi S.A. and La Esperanza Delaware Corporation.
|
Inversiones Global Mining (Chile) Limitada
|
Global Mining Investment Inc., Agencia en Chile
|
||||||
By:
|
/s/ Ricardo Moreno Moreno
|
By:
|
/s/ Aldo Motta Camp
|
||||
Name:
|
Ricardo Moreno Moreno |
Name:
|
Aldo Motta Camp
|
||||
Title:
|
CEO |
Title:
|
Officer | ||||
Global Mining Investment Inc.
|
Calichera Caiman, Inc.
|
||||||
By:
|
/s/ Aldo Motta Camp
|
By:
|
/s/ Patricio Phillips Sáenz | ||||
Name:
|
Aldo Motta Camp
|
Name:
|
Patricio Phillips Sáenz | ||||
Title:
|
Officer |
Title:
|
Officer | ||||
Sociedad de Inversiones Pampa Calichera S.A.
|
Sociedad de Inversiones Oro Blanco S.A.
|
||||||
By:
|
/s/ Ricardo Moreno Moreno
|
By:
|
/s/ Ricardo Moreno Moreno
|
||||
Name:
|
Ricardo Moreno Moreno
|
Name:
|
Ricardo Moreno Moreno
|
||||
Title:
|
CEO |
Title:
|
CEO | ||||
Potasios de Chile S.A.
|
Nitratos de Chile S.A.
|
||||||
By:
|
/s/ Ricardo Moreno Moreno
|
By:
|
/s/ Ricardo Moreno Moreno
|
||||
Name:
|
Ricardo Moreno Moreno
|
Name:
|
Ricardo Moreno Moreno
|
||||
Title:
|
CEO |
Title:
|
CEO | ||||
Norte Grande S.A.
|
Inversiones SQYA Limitada
|
||||||
By:
|
/s/ Ricardo Moreno Moreno
|
By:
|
/s/ Aldo Motta Camp
|
||||
Name:
|
Ricardo Moreno Moreno
|
Name:
|
Aldo Motta Camp
|
||||
Title:
|
CEO |
Title:
|
Officer | ||||
Inversiones SQ Limitada
|
S.Q. Grand Corp.
|
||||||
By:
|
/s/ Aldo Motta Camp
|
By:
|
/s/ Felipe García Huidobro M. | ||||
Name:
|
Aldo Motta Camp
|
Name:
|
Felipe García Huidobro M. | ||||
Title:
|
Officer |
Title:
|
Officer | ||||
Pacific Atlantic International Holding Corporation
|
The Pacific Trust
|
||||||
By:
|
/s/ Felipe García Huidobro M.
|
By:
|
/s/ Luis López
|
||||
Name:
|
Felipe García Huidobro M. |
Name:
|
Luis López on behalf of Alfaro, Ferrer & Ramirez,
|
||||
Title:
|
Officer |
Title:
|
Trustee of the Pacific Trust | ||||
Mr. Julio Ponce Lerou
|
|||||||
By:
|
/s/ Julio Ponce Lerou | ||||||
Name:
|
Julio Ponce Lerou | ||||||
Title:
|
Inversiones La Esperanza (Chile) Ltda.
|
La Esperanza Delaware Corporation
|
||||||
By:
|
/s/ Yoshihito Hata |
By:
|
/s/ Yoshihito Hata | ||||
Name:
|
Yoshihito Hata
|
Name:
|
Yoshihito Hata
|
||||
Title:
|
General Manager
|
Title:
|
Attorney-in-Fact
|
||||
Kochi S.A.
|
Kowa Company Ltd.
|
||||||
By:
|
/s/ Yoshihito Hata |
By:
|
/s/ Yoshihito Hata | ||||
Name:
|
Yoshihito Hata
|
Name:
|
Yoshihito Hata
|
||||
Title:
|
General Manager
|
Title:
|
Attorney-in-Fact
|
||||
Yoshihiro Miwa
|
|||||||
By:
|
/s/ Yoshihito Hata | ||||||
Name:
|
Yoshihito Hata
|
||||||
Title:
|
Attorney-in-Fact
|
||||||
MODIFICACIÓN AL
ACUERDO DE ACTUACIÓN CONJUNTA |
AMENDMENT TO THE
JOINT PARTICIPATION AGREEMENT |
|
SOCIEDAD QUÍMICA Y MINERA DE CHILE
S.A. |
SOCIEDAD QUÍMICA Y MINERA DE CHILE
S.A. |
|
SOCIEDAD DE INVERSIONES
PAMPA CALICHERA S.A. |
KOWA COMPANY LTD.
|
Santiago, 3 de Abril de 2008
|
Santiago, April 3, 2008
|
||
MODIFICACIÓN
ACUERDO DE ACTUACIÓN CONJUNTA DE SOCIEDAD QUÍMICA Y MINERA DE CHILE S.A. |
AMENDMENT
JOINT PARTICIPATION AGREEMENT SOCIEDAD QUÍMICA Y MINERA DE CHILE S.A |
||
En Santiago, a 3 de Abril de 2008, entre (i) SOCIEDAD DE INVERSIONES PAMPA CALICHERA S.A., sociedad constituida de acuerdo con las leyes de la República de Chile, rol único tributario número 96.511.530-7, debidamente representada por don Jorge Araya Cabrera, ambos domiciliados para estos efectos en esta ciudad, El Trovador 4285 piso 11, comuna de Las Condes, que en lo sucesivo e indistintamente se denominará también “Calichera”; y (ii) KOWA COMPANY LTD., sociedad constituida de acuerdo con las leyes de Japón, rol único tributario número 59.046.730-8, debidamente representada por don Koji Yoshimoto, ambos domiciliados para estos efectos en esta ciudad, Augusto Leguía Sur 160, Of. 82, comuna de Las Condes, que en lo sucesivo e indistintamente se denominará también “Kowa”; ambas en lo sucesivo, así como sus respectivos sucesores o cesionarios autorizados, así como las demás personas que adhirieren al presente contrato en conformidad con el mismo, se denominarán colectivamente las “Partes” y cualquiera de ellas una “Parte”; se conviene lo siguiente:
|
In Santiago, on April 3, 2008, by and among (i) SOCIEDAD DE INVERSIONES PAMPA CALICHERA S.A., a corporation organized and existing under the laws of Chile, taxpayer identification number 96,511,530-7, duly represented by Mr. Jorge Araya Cabrera, both domiciled for this purpose at, El Trovador 4285, 11th floor, county of Las Condes, also referred to in this document as “Calichera”; and (ii) KOWA COMPANY LTD., a company organized and existing under the laws of Japan, Chilean taxpayer identification number 59,046,730-8, duly represented by Mr. Koji Yoshimoto, both domiciled for this purposes at Augusto Legula Sur 160, Of. 82, county of Las Condes, also referred in this document as “Kowa”; both herein, and their respective successors and permitted assignees, as well as other persons that may adhere to this agreement in accordance with its terms, collectively referred to as “Parties” and each one of them a “Party”, have agreed the following:
|
||
Cláusula 1.
Antecedentes. |
Clause 1.
Recitals. |
||
1.01. Mediante instrumento privado de fecha 21 de Diciembre de 2006, las Partes celebraron un acuerdo de actuación conjunta relativo a su participación en Sociedad Química y Minera de Chile S.A. (“SQM”), en términos que son conocidos de ellas, que en lo sucesivo se denominará el “Acuerdo”.
|
1.01. By means of a private deed executed as of December 21, 2006, the Parties entered into a certain joint participation agreement, regarding their shares in Sociedad Quimíca y Minera de Chile S.A. (“SOM”), in terms that are known for them, hereinafter the “Agreement”.
|
||
Para los efectos a que haya Lugar, los términos con mayúsculas en el presente instrumento tendrán el significado que se les otorga en el Acuerdo, salvo que en este instrumento se estipule expresamente algo distinto.
|
For all purposes that may take place, capitalized terms herein shall have the meaning given to such terms in the Agreement, unless otherwise is expressly stated herein.
|
||
1.02. Mediante oficios N° 04539 y N° 04540, ambos de fecha 27 de abril de 2007, dirigidos a Sociedad de Inversiones Pampa Calichera S.A. y a Kowa Company Ltd., respectivamente, la Superintendecia de Valores y Seguros (“SVS”) ordenó a las Partes dejar sin efecto el tercer párrafo de la cláusula 2.03 del Acuerdo, por las razones expresadas en los mismos, las cuales son conocidas de las Partes.
|
1.02. By means of official letters No. 04539 and No. 04540, both issued on April 27, 2007, addressed to Sociedad de Inversiones Pampa Calichera S.A. and Kowa Company Ltd., respectively, the Superintendecia de Valores y Seguros (“SVS”) instructed the Parties to cancel the third paragraph of section 2.03 of the Agreement, for the reasons expressed therein, which are known by the Parties.
|
||
Mediante presentación de fecha 9 de Mayo de 2007, las Partes manifestaron a la SVS que acordaron dejar sin efecto el tercer párrafo de la cláusula 2.03 del Acuerdo, con motivo de lo cual, en el caso de no existir acuerdo entre ellas respecto de la forma de votar en una junta de accionistas de SQM, no estarían obligadas a votar de la manera que acuerde la mayoría absoluta de las Partes, de la forma que se estipulaba en el mencionado párrafo, obligación que no resulta ya exigible.
|
By means of filing dated as of May 9, 2007, the Parties informed the SVS of their understanding in order to cancel the third paragraph of section 2.03 of the Agreement, and, therefore, in case they cannot reach an understanding in how to vote in a Shareholders’ Meeting of SQM, they will not be obligated to vote in the manner agreed by the majority of the Parties, as was set forth in the aforementioned paragraph, obligation that is no longer in force and effect.
|
||
Asimismo, en la referida presentación las Partes manifestaron que se encontraban en negociaciones a fin de acordar una nueva cláusula que sustituya las estipulaciones originalmente pactadas para el caso que ellas no lograran a un acuerdo en la forma de votar en una junta de accionistas de SQM.
|
Likewise, in the aforementioned filing, the Parties informed that they were engaged in negotiations with the purpose of agreeing in a new provision for the Agreement, in replace of the initially agreed for the case where they do not reach an understanding in how to vote in the shareholders’ meetings of SQM.
|
||
Cláusula 2.
Modificación al Acuerdo. |
Clause 2.
Amendment of the Agreement |
||
2.01. Por el presente instrumento, las Partes vienen en modificar el Acuerdo, sustituyendo la cláusula 2.03 del mismo por la siguiente:
|
2.01. The Parties hereby agree to amend the Agreement in order to replace section 2.03 by the following:
|
||
“2.03 Para los efectos de lo indicado precedentemente, cada vez que el directorio de la Sociedad convoque a una junta general de accionistas, las Partes discutirán y decidirán una postura y voto común en dichas juntas de accionistas.
|
“2.03 In order to achieve the above objectives, each time the board of directors of the Company calls a shareholders meeting, the Parties will discuss and decide on a common position and vote on the shareholders meeting.
|
||
Tratándose de votaciones para la elección de directores de SQM, y salvo acuerdo distinto para cada elección, cada Parte votará independientemente, tantas acciones como sean necesarias para elegir por si soda cada una de ellas el mayor número de directores de la Sociedad. Las Partes también acuerdan que ocuparán los votos remanentes que les pudieren corresponder, para intentar elegir en conjunto un nuevo director de la Sociedad que les permita asegurar la mayoría de votos en las sesiones de Directorio de SQM y que resultará ser quien, formando parte de una lista de tres personas propuests por Kowa, sea determinado por Calichera. Si no hubiere ninguna persona de las propuestas por Kowa en la primera lista que sean determinadas por Calichera, Kowa presentará otra lista y así sucesivamente.”
|
Regarding the election of members of the board of SQM, and except a different agreement is adopted, each Party shall vote its shares independently as necessary to elect each one of them the maximum number of board members of the Company. Once the latter has occurred, the Parties shall use any remaining votes to attempt to jointly elect an additional board member, which would permit them to secure the majority of the votes in the board of directors meetings of SQM and which shall be such person chosen by Calichera among a list of three persons submitted by Kowa. If Calichera does not choose a person among those included in the list submitted by Kowa, Kowa shall submit a new list and so on.”
|
||
2.02. Por el presente instrumento, las Partes vienen en modificar el Acuerdo, sustituyendo la cláusula 5.01 del mismo por la siguiente:
|
2.02. The Parties hereby agree to amend the Agreement in order to replace section 5.01 by the following:
|
||
“5.01 El presente acuerdo de actuación conjunta comenzará a regir con esta fecha y tendrá una duración indefinida. No obstante lo anterior, una vez cumplido el quinto aniversario de la vigencia del presente contrato, cualquiera de las Partes podrá ponerle término en cualquier momento, respecto únicamente de ella, comunicando su voluntad en tal sentido a las demás Partes, con una anticipación mínima de 30 días a la fecha de término. Dicha terminación tendrá efecto únicamente respecto de la Parte que la ejerce o notifica a las demás, subsistiendo el presente acuerdo de actuación conjunta respecto de las demás Partes, sin perjuicio del derecho de ellas de terminarlo a su respecto de la manera indicada en esta cláusula.”
|
“5.01 This joint participation agreement shall become effective as of the date hereof and shall continue in effect indefinitely. Nevertheless, after the fifth anniversary of this agreement, each Party may terminate it at any moment, only regarding itself communicating its intention to the other Parties at least 30 days prior to the date of termination. Such termination will be effective only in regard to the Party performing it and giving notice, subsisting this agreement among the rest of the Parties, notwithstanding their right to terminate it as it is stated in this clause.”
|
||
2.03. En todo lo no modificado expresamente, permanecen inalteradas las demás estipulaciones del Acuerdo, las cuales resultan íntegramente aplicables a lo estipulado en este instrumento.
|
2.03. Except as expressly and specifically set forth herein, the Agreement shall remain in full force and effect and shall remain enforceable in accordance with the terms thereof.
|
||
Cláusula 3.
Materias varias. |
Clause 3.
Miscellaneous. |
||
3.01. Legislación. La presente modificación se regirá e interpretará en todo por las leyes de la República de Chile.
|
3.02. Governing Law. This amendment will be governed and construed in accordance with the laws of the Republic of Chile.
|
||
3.02. Domicilio. Para todos los efectos legales, las Partes fijan domicilio especial en la ciudad y comuna Santiago, prorrogando la competencia a los tribunales ordinarios de justicia con asiento en la comuna de Santiago, en todas aquellas materias que no sean de competencia arbitral.
|
3.04. Domicile. For all legal purposes hereof, the parties set their domicile in the city and municipal district of Santiago and submit to the jurisdiction of its Courts for all matters which are not subject to the jurisdiction of the arbitrator.
|
||
3.03. Ejemplares. El presente instrumento se otorga en 3 ejemplares de un mismo tenor y fecha, quedando uno en poder de cada una de las partes.
|
3.05. Copies. This document is signed in 3 copies of the same text and date, and each Party shall keep one of them.
|
Sociedad de Inversiones Pampa Calichera S.A.
|
Kowa Company Ltd.
|
SOCIEDAD DE INVERSIONES PAMPA CALICHERA S.A., as Issuer
|
||||
By:
|
||||
Name:
|
||||
Title:
|
||||
DEUTSCHE BANK COMPANY AMERICAS, as Trustee
|
||||
By:
|
||||
Name:
|
||||
Title:
|
||||
By:
|
||||
Name:
|
||||
Title:
|
||||
DEUTSCHE BANK LUXEMBOURG S.A., as Luxembourg Paying Agent and Listing Agent
|
||||
By:
|
||||
Name:
|
||||
Title:
|
||||
By:
|
||||
Name:
|
||||
Title:
|
SOCIEDAD DE INVERSIONES PAMPA CALICHERA S.A., as Issuer
|
||||
By:
|
||||
Name:
|
||||
Title:
|
||||
DEUTSCHE BANK COMPANY AMERICAS, as Trustee
|
||||
By:
|
||||
Name:
|
||||
Title:
|
||||
By:
|
||||
Name:
|
||||
Title:
|
||||
DEUTSCHE BANK LUXEMBOURG S.A., as Luxembourg Paying Agent and Listing Agent
|
||||
By:
|
||||
Name:
|
||||
Title:
|
||||
By:
|
||||
Name:
|
||||
Title:
|
1. |
Overall Governance. The business and affairs of SQM will be managed by its management under the direction of the SQM Board, and not by the Parties. Nothing herein will limit the powers or authority of the SQM Board or management, including as to matters that are the subject matter of this Agreement, or give any of the Parties the right or power to direct the SQM Board or management to take or not to take any action.
|
2. |
Dividend Policy. Each of the Parties (a) acknowledges and agrees that the dividend policy set forth on Exhibit A (the “Dividend Policy”) is in the best interests of all shareholders of SQM and (b) will take all actions available to it to cause the SQM Board, including any applicable committee thereof, to adopt and comply with the Dividend Policy from and after the date of this Agreement for the entire term of this Agreement.
|
3. |
Casting Vote. Notwithstanding anything to the contrary in the Organizational Documents or applicable law, each of the Parties will take all actions available to it to cause SQM to ensure that (a) no matter is approved by the Board of Directors of SQM (the “SQM Board”) unless it is affirmatively approved by at least five of the members of the SQM Board and (b) the Chairman of the SQM Board does not exercise a casting vote. Any of the Cascadas Shareholders, the Kowa Shareholders or the PCS Shareholders may terminate the foregoing provisions upon 30 days’ prior written notice after the expiration of the SQM Board Term. For purposes of this Agreement, (1) the “SQM Board Term” means the period in which the SQM Board, as elected at SQM’s 2017 annual meeting of shareholders, with the replacements, if any, that the SQM Board may appoint from time to time, serves as such until election by SQM shareholders of the entire SQM Board at a subsequent annual meeting of SQM shareholders, but not less than 12 months from the date of such meeting, and (2) “Organizational Documents” means the certificate of incorporation (escritura de constitución), certificate of existence and legal representation (certificado de existencia y representación legal), Bylaws (estatutos) or any other similar organizational documents of SQM.
|
4. |
SQM Board Successors. In the event that any member of the SQM Board elected by the Class A shareholders ceases to serve as such for any reason (whether by his resignation, removal, disability, death or otherwise) each of the Parties will take all actions available to it to cause the SQM Board to elect his or her successor (or any future successor that is nominated by another SQM Board member) in accordance with the recommendation of the same Party that elected the SQM Board member that ceased to be a member. In the event that the member of the SQM Board elected by the Class B shareholders ceases to serve as such for any reason (whether by his resignation, failure to be re-elected, removal, disability, death or otherwise) (a) none of the Cascadas Shareholders nor the Kowa Shareholders will vote any SQM shares or take any other action that affects the election of his successor or any future successor (the “Class B Successor”)
|
and (b) each of the Cascadas Shareholders and the Kowa Shareholders will take all actions available to it to ensure that the SQM Board does not approve any Class B Successor whose election was not approved by majority vote of the Class B shares (excluding any shares beneficially owned by any Cascadas Shareholder or Kowa Shareholder or as to which any Cascadas Shareholder or Kowa Shareholder has a proxy or exercises any voting control) or by the PCS Shareholders, as the case may be.
|
5. |
Further Assurances. In addition to other remedies, including specific performance (without the requirement of posting a bond or other form of assurance) or other equitable relief, as well as damages, in the event that the SQM Board takes action that is inconsistent with the expectations expressed in this Agreement, each of the Parties will take all actions available to it to remedy the situation, including, without limitation, reconstituting the Board, causing the removal of any member of the SQM Board who does not act in accordance with this Agreement and replacing such member of the SQM Board with one who will so comply, the Parties acknowledging that each of the Parties that first elected such removed member of the SQM Board will select his or her replacement. In addition, each of the Cascadas Shareholders, the Kowa Shareholders, and the PCS Shareholders will cooperate with each other, at the request of any other Party, to execute and deliver any other instruments or documents and take all such further action as any other Party may reasonably request in order to evidence or effectuate the consummation of the events contemplated hereby and to otherwise carry out the intent of the Parties under this Agreement. To the extent permitted by applicable law, in the event there is any conflict between the Organizational Documents and this Agreement, as among the Parties, this Agreement will prevail.
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6. |
Disclaimer. Except as otherwise expressly set forth herein, this Agreement embodies the complete agreement and understanding between the Parties with respect to the subject matter hereof and supersedes and preempts any prior understandings, agreements or representations by or among the Parties, written or oral, that may have related to the subject matter hereof in any way. Without limitation, the Parties have no agreement, arrangement or understanding except as expressly set forth herein and agree that (a) this Agreement does not constitute a voting agreement nor an acuerdo de actuación conjunta under the Ley de Mercado de Valores of the Republic of Chile and (b) the Parties are not acting as a “group” within the meaning of Rule 13d-5 under the United States Securities Exchange Act of 1934, as amended, nor as a grupo controlador under the Ley de Mercado de Valores of the Republic of Chile.
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7. |
Delays or Omissions. No delay or omission to exercise any right, power or remedy accruing to any Party, upon any breach, default or noncompliance by another Party, will impair any such right, power or remedy, nor will it be construed to be a waiver of any such breach, default or noncompliance, or any acquiescence therein, or of or in any similar breach, default or noncompliance thereafter occurring. Any waiver, permit, consent or approval of any kind or character on the part of any Party of any breach, default or noncompliance under this Agreement or any waiver on such Party’s part of any provisions or conditions of this Agreement, must be in writing and signed by the Parties, or by email by an authorized agent, granting the waiver and will be effective only to the extent specifically set forth in such communication. All remedies will be cumulative and not alternative.
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8. |
Term. The Agreement will become effective as of the date hereof upon execution and continue in full force and effect during the SQM Board Term and such time thereafter until terminated by any of the PCS Shareholders, the Kowa Shareholders or the Cascadas Shareholders, as the case may be, upon 30 days prior written notice given to the other Parties after the expiration of the SQM Board Term.
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9. |
Language; Titles. This agreement is in the English language and will not be translated unless required by any competent governmental authority. In such event, the English version of this agreement will prevail. The titles of the sections of this Agreement are for convenience of reference only and are not to be considered in construing this Agreement.
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10. |
Successors and Assigns. This Agreement will bind and inure to the benefit of and be enforceable by the Parties and their respective successors and assigns, including any transferee of SQM stock.
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11. |
Governing Law; Jurisdiction.
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A. |
THIS AGREEMENT AND THE RIGHTS AND DUTIES OF THE PARTIES WILL BE GOVERNED BY, AND CONSTRUED IN ACCORDANCE WITH, THE LAWS OF NEW YORK WITHOUT REGARD TO ITS CONFLICT OF LAWS PRINCIPLES (EXCEPT THAT SUCH CORPORATE ACTIONS, DECISIONS AND ACTIVITIES TO BE CONDUCTED AND ADOPTED BY THE CORPORATE BODIES OF SQM WILL BE GOVERNED BY THE MANDATORY RULES STATED FOR SUCH ACTIONS, DECISIONS AND ACTIVITIES UNDER CHILEAN LAW).
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B. |
Each of the Parties irrevocably agrees that all disputes, controversies or claims arising out of or in connection with this Agreement will be finally settled by international arbitration under the Rules of Arbitration of the International Chamber of Commerce (the “ICC Rules”) by three arbitrators. Within 30 days of receiving notice of any dispute, controversy or claim arising out of or in connection with this Agreement, each of the PCS Shareholders, the Kowa Shareholders and the Cascadas Shareholders irrevocably agrees that they will in good faith attempt to agree on arbitrators who are qualified in New York Law. In the event the Parties cannot agree on arbitrators within such 30-day period, then the arbitrators will be appointed in accordance with the ICC Rules. The place of arbitration will be New York, New York. The language of the arbitration will be English. The arbitral award will be final and binding on the Parties, not subject to appeal, and enforceable in accordance with its terms. The Parties agree that by submitting the dispute, controversy or claim to arbitration under the ICC Rules, the Parties undertake to implement any final award rendered by the arbitral tribunal without delay and that the prevailing Parties will be entitled to have the final award enforced in any applicable court. The arbitration costs will be borne by the losing party (or parties) or such other party (or parties) as designated by the arbitrator or arbitral panel (as applicable). In case it is necessary for one or more parties to the dispute to enforce the arbitral award through any type of court proceedings, the other party (or parties) to the dispute will bear all reasonable costs, expenses and attorney fees including any extra court fees or arbitration fees.
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C. |
EACH OF THE PARTIES HEREBY IRREVOCABLY WAIVES TO THE FULLEST EXTENT PERMITTED BY APPLICABLE LAW ANY RIGHT IT MAY HAVE TO A TRIAL BY JURY WITH RESPECT TO ANY ACTION OR LIABILITY TO THE EXTENT ARISING OUT OF, UNDER OR IN CONNECTION WITH THIS AGREEMENT. EACH OF THE PARTIES HERETO HEREBY (1) CERTIFIES THAT NO REPRESENTATIVE OF ANY OTHER PARTY HAS REPRESENTED, EXPRESSLY OR OTHERWISE, THAT SUCH OTHER PARTY WOULD NOT, IN THE EVENT OF ANY SUCH ACTION OR LIABILITY, SEEK TO ENFORCE THE FOREGOING WAIVER AND (2) ACKNOWLEDGES THAT IT HAS BEEN INDUCED TO ENTER INTO THIS AGREEMENT AND THE TRANSACTIONS CONTEMPLATED BY THIS AGREEMENT, AS APPLICABLE, BY, AMONG OTHER THINGS, THE MUTUAL WAIVERS AND CERTIFICATIONS IN THIS SECTION 10(c).
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D. |
The foregoing, and any other provisions of this Agreement, do not affect the respective rights and obligations of the Parties or their respective affiliates in respect of any other matter, whether arising prior to or after the date of this Agreement.
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12. |
Counterparts. This Agreement may be executed in any number of counterparts, each of which will be an original, but all of which together will constitute one instrument. This Agreement may be executed by facsimile or electronic mail signature(s).
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13. |
Notices. All notices and other communications hereunder will be in writing and will be deemed duly given to the Party to whom the same is delivered by email or facsimile transmission at the address and with contact information set forth on the signature pages hereto (or at such other address and contact information for a Party as will be specified by notice by such Party to the other Parties).
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PCS SHAREHOLDERS:
|
|||
INVERSIONES EL BOLDO LIMITADA
|
|||
By:
|
|||
Name:
|
Jose Maria Eyzaguirre B.
|
||
Title:
|
Attorney-in-Fact
|
||
Av. Apoquindo 3721, piso 12
|
|||
comuna de Las Condes
|
|||
Santiago, Republic of Chile
|
|||
Email:
|
wayne.brownlee@potashcorp.com
|
||
jmeyzaguirre@claro.cl
|
|||
Attention:
|
Wayne Brownlee
|
||
Jose Maria Eyzaguirre B.
|
|||
INVERSIONES RAC CHILE LIMITADA
|
|||
By:
|
|||
Name:
|
Jose Maria Eyzaguirre B.
|
||
Title:
|
Attorney-in-Fact
|
||
Av. Apoquindo 3721, piso 12
|
|||
comuna de Las Condes
|
|||
Santiago, Republic of Chile
|
|||
Email:
|
wayne.brownlee@potashcorp.com
|
||
jmeyzaguirre@claro.cl
|
|||
Attention:
|
Wayne Brownlee
|
||
Jose Maria Eyzaguirre B.
|
|||
INVERSIONES PCS CHILE LIMITADA
|
|||
By:
|
|||
Name:
|
Jose Maria Eyzaguirre B.
|
||
Title:
|
Attorney-in-Fact
|
||
Av. Apoquindo 3721, piso 12
|
|||
comuna de Las Condes
|
|||
Santiago, Republic of Chile
|
|||
Email:
|
wayne.brownlee@potashcorp.com
|
||
jmeyzaguirre@claro.cl
|
|||
Attention:
|
Wayne Brownlee
|
||
Jose Maria Eyzaguirre B.
|
SOCIEDAD DE INVERSIONES PAMPA CALICHERA S.A.
|
||
By:
|
||
Name:
|
Patricio Contesse Fica
|
|
Title:
|
Executive Director
|
POTASIOS DE CHILE S.A.
|
||
By:
|
||
Name:
|
Patricio Contesse Fica
|
|
Title:
|
Executive Director
|
INVERSIONES GLOBAL MINING CHILE LIMITADA
|
||
By:
|
||
Name:
|
Ricardo Moreno Moreno
|
|
Title:
|
General Manager
|
KOWA COMPANY LTD.
|
||
By:
|
||
Name:
|
Yoshihito Hata
|
|
Title:
|
Legal Representative
|
INVERSIONES LA ESPERANZA (CHILE) LIMITADA
|
||
By:
|
||
Name:
|
Yoshihito Hata
|
|
Title:
|
General Manager
|
KOCHI S.A.
|
||
By:
|
||
Name:
|
Yoshihito Hata
|
|
Title:
|
General Manager
|
LA ESPERANZA DELAWARE CORPORATION
|
||
By:
|
||
Name:
|
Yoshihito Hata
|
|
Title:
|
Legal Representative
|
a) |
Distribute and pay, as a final dividend (dividendo definitivo) and in favor of the respective shareholders, a percentage of the net income that shall be determined per the following financial parameters:
|
(i) |
100% of the 2017 net income, when the following financial parameters are met: (a) that the total sum of cash and cash equivalent, other current financial assets (“Cash”) divided by the total sum of the current financial liabilities (“Current Financial Liabilities”) is equal to or exceeds 2.5 times, and (b) the total sum of the current liabilities and the non-current liabilities (“Total Liabilities”) divided by the total sum of the equity (“Equity”) is equal to or lower than 1.1 times.
|
(ii) |
80% of the 2017 net income when the following financial parameters are met: (a) that Cash divided by Current Financial Liabilities is equal to or exceeds 2.0 times, and (b) Total Liabilities divided by Equity is equal to or lower than 1.2 times.
|
(iii) |
60% of the 2017 net income when the following financial parameters are met: (a) that Cash divided by Current Financial Liabilities is equal to or exceeds 1.5 times, and (b) Total Liabilities divided by Equity is equal to or lower than 1.3 times.
|
b) |
Distribute and pay, if possible and during 2017, three interim dividends (dividendos provisorios) that will be charged against the aforementioned final dividend. These interim dividends shall likely be paid during the month following the approval of the March, June, and September 2017 interim financial statements, respectively. Its amounts shall be calculated as follows:
|
(i) |
For the interim dividends that will be charged to the accumulated net income reflected in the March 2017 interim financial statements, the percentage distributed shall be determined per the financial parameters expressed in letter a) above.
|
(ii) |
For the interim dividends that will be charged to the accumulated net income reflected in the June 2017 interim financial statements, the percentage distributed shall be determined per the financial parameters expressed in letter a) above, discounting the total amount of interim dividends previously distributed during 2017.
|
(iii) |
For the interim dividends that will be charged to the accumulated net income reflected in the September 2017 interim financial statements, the percentage distributed shall be determined per the financial parameters expressed in letter a) above, discounting the total amount of interim dividends previously distributed during 2017.
|
c) |
The amount of the interim dividends mentioned above may vary, pursuant to the information available to the Board of Directors on the date on which it agrees to the distribution of said dividends given that the dividend will not materially or negatively affect SQM’s capacity to impact its investments, fulfill its liabilities, or in general, comply with the investment and finance policy approved at the ordinary shareholders’ meeting.
|
d) |
At the ordinary shareholders meeting that will be held in 2018, the Board of Directors shall propose a final dividend pursuant to the financial parameters expressed in letter a) above, discounting the total amount of the interim dividends previously distributed during 2017.
|
e) |
If there is an excess of net income in 2017, this may be retained and assigned or allocated for financing its own operations, to one or more investment projects of the Company, notwithstanding a future distribution of potential dividends (dividendos eventuales) charged to the accumulated net income previously approved at the shareholders’ meeting, or the possible and future capitalization of all or part of the latter.
|
f) |
The Board of Directors does not consider the payment of additional dividends (dividendos adicionales).
|