0001193125-16-792416.txt : 20161214 0001193125-16-792416.hdr.sgml : 20161214 20161214062411 ACCESSION NUMBER: 0001193125-16-792416 CONFORMED SUBMISSION TYPE: 6-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161214 FILED AS OF DATE: 20161214 DATE AS OF CHANGE: 20161214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BHP BILLITON LTD CENTRAL INDEX KEY: 0000811809 STANDARD INDUSTRIAL CLASSIFICATION: METAL MINING [1000] IRS NUMBER: 000000000 STATE OF INCORPORATION: C3 FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 6-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-09526 FILM NUMBER: 162050262 BUSINESS ADDRESS: STREET 1: 16/171 COLLINS STREET STREET 2: MELBOURNE CITY: VICTORIA AUSTRALIA STATE: C3 ZIP: 3000 BUSINESS PHONE: 011611300554757 MAIL ADDRESS: STREET 1: GPO BOX 86 STREET 2: MELBOURNE CITY: VICTORIA AUSTRALIA STATE: C3 ZIP: 3001 FORMER COMPANY: FORMER CONFORMED NAME: BHP LTD DATE OF NAME CHANGE: 20010129 FORMER COMPANY: FORMER CONFORMED NAME: BROKEN HILL PROPRIETARY CO LTD DATE OF NAME CHANGE: 19960116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BHP BILLITON PLC CENTRAL INDEX KEY: 0001171264 STANDARD INDUSTRIAL CLASSIFICATION: BITUMINOUS COAL & LIGNITE MINING [1220] IRS NUMBER: 000000000 STATE OF INCORPORATION: X0 FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 6-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-31714 FILM NUMBER: 162050263 BUSINESS ADDRESS: STREET 1: 8TH FLOOR - NEATHOUSE PLACE CITY: LONDON STATE: X0 ZIP: SW1V 1BH BUSINESS PHONE: 011442078024054 MAIL ADDRESS: STREET 1: 8TH FLOOR - NEATHOUSE PLACE CITY: LONDON STATE: X0 ZIP: SW1V 1BH FORMER COMPANY: FORMER CONFORMED NAME: BHP BILLITON PLC/ADR DATE OF NAME CHANGE: 20020416 6-K 1 d271982d6k.htm FORM 6-K Form 6-K

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

Form 6-K

REPORT OF FOREIGN PRIVATE ISSUER

PURSUANT TO RULE 13a-16 OR 15d-16

UNDER THE SECURITIES EXCHANGE ACT OF 1934

December 14, 2016

 

 

 

BHP BILLITON LIMITED   BHP BILLITON PLC
(ABN 49 004 028 077)   (REG. NO. 3196209)
(Exact name of Registrant as specified in its charter)   (Exact name of Registrant as specified in its charter)

 

VICTORIA, AUSTRALIA   ENGLAND AND WALES
(Jurisdiction of incorporation or organisation)   (Jurisdiction of incorporation or organisation)

171 COLLINS STREET, MELBOURNE,

VICTORIA 3000 AUSTRALIA

  

NEATHOUSE PLACE, LONDON,

UNITED KINGDOM

(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):  ☐

Indicate by check mark whether the registrant by furnishing the information contained in this Form is also thereby furnishing the information to the Commission pursuant to Rule 12g3-2(b) under the Securities Exchange Act of 1934:  ☐ Yes    ☒ No

If “Yes” is marked, indicate below the file number assigned to the registrant in connection with Rule 12g3-2(b): n/a

 

 

 

BHP BILLITON PLC and BHP BILLITON LIMITED

Notification and public disclosure of transactions by

Persons Discharging Managerial Responsibilities

 

1

    Details of the person discharging managerial responsibilities / persons closely associated

a)

    Name    Andrew Mackenzie

2

    Reason for the notification         

a)

    Position/status    PDMR (Chief Executive Officer)

b)

    Initial notification/Amendment    Initial notification

3

    Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor

a)

    Name    BHP Billiton Plc

b)

    LEI    N/A

4

    Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted.

a)

   

Description of the financial instrument, type of instrument

 

Identification code

   

Performance Shares (ordinary shares of BHP Billiton Limited) under the Long Term Incentive Plan

 

Identification code: N/A

b)

    Nature of the transaction    The award of 339,753 Performance Shares under the Long Term Incentive Plan.
c)    Price(s) and volume(s)        

Price(s)

   

Volume(s)

         Nil    339,753

d)

   

Aggregated information

- Aggregated volume

- Price

    N/A

e)

    Date of the transaction    2016-12-09

f)

    Place of the transaction    Outside a trading venue

BHP BILLITON PLC and BHP BILLITON LIMITED

Notification and public disclosure of transactions by

Persons Discharging Managerial Responsibilities

 

1

    Details of the person discharging managerial responsibilities / persons closely associated

a)

    Name    Peter Beaven

2

    Reason for the notification         

a)

    Position/status    PDMR (Chief Financial Officer)

b)

    Initial notification/Amendment    Initial notification

3

    Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor

a)

    Name    BHP Billiton Plc

b)

    LEI    N/A

4

    Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted.

a)

   

Description of the financial instrument, type of instrument

 

Identification code

   

1. Performance Shares (ordinary shares of BHP Billiton Limited) under the Long Term Incentive Plan

2. Deferred Shares (ordinary shares of BHP Billiton Limited) under the Short Term Incentive Plan.

 

1. Identification code: N/A

2. Identification code: N/A

b)

    Nature of the transaction   

1. The award of 174,873 Performance Shares under the Long Term Incentive Plan.

2. The award of 10,958 Deferred Shares under the Short Term Incentive Plan.

c)    Price(s) and volume(s)        

Price(s)

   

Volume(s)

      1    Nil    174,873
      2    Nil    10,958

d)

   

Aggregated information

- Aggregated volume

- Price

    N/A

e)

    Date of the transaction   

1. 2016-12-09

2. 2016-12-09

f)

    Place of the transaction   

1. Outside a trading venue

2. Outside a trading venue

BHP BILLITON PLC and BHP BILLITON LIMITED

Notification and public disclosure of transactions by

Persons Discharging Managerial Responsibilities

 

1

    Details of the person discharging managerial responsibilities / persons closely associated

a)

    Name    Geoff Healy

2

    Reason for the notification         

a)

    Position/status    PDMR (Chief External Affairs Officer)

b)

    Initial notification/Amendment    Initial notification

3

    Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor

a)

    Name    BHP Billiton Plc

b)

    LEI    N/A

4

    Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted.

a)

   

Description of the financial instrument, type of instrument

 

Identification code

   

1. Performance Shares (ordinary shares of BHP Billiton Limited) under the Long Term Incentive Plan

2. Deferred Shares (ordinary shares of BHP Billiton Limited) under the Short Term Incentive Plan.

 

1. Identification code: N/A

2. Identification code: N/A

b)

    Nature of the transaction   

1. The award of 174,873 Performance Shares under the Long Term Incentive Plan.

2. The award of 9,694 Deferred Shares under the Short Term Incentive Plan.

c)    Price(s) and volume(s)        

Price(s)

   

Volume(s)

      1    Nil    174,873
      2    Nil    9,694

d)

   

Aggregated information

- Aggregated volume

- Price

    N/A

e)

    Date of the transaction   

1. 2016-12-09

2. 2016-12-09

f)

    Place of the transaction   

1. Outside a trading venue

2. Outside a trading venue

BHP BILLITON PLC and BHP BILLITON LIMITED

Notification and public disclosure of transactions by

Persons Discharging Managerial Responsibilities

 

1

    Details of the person discharging managerial responsibilities / persons closely associated

a)

    Name    Mike Henry

2

    Reason for the notification         

a)

    Position/status    PDMR (President Operations, Minerals Australia)

b)

    Initial notification/Amendment    Initial notification

3

    Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor

a)

    Name    BHP Billiton Plc

b)

    LEI    N/A

4

    Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted.

a)

   

Description of the financial instrument, type of instrument

 

Identification code

   

1. Performance Shares (ordinary shares of BHP Billiton Limited) under the Long Term Incentive Plan

2. Deferred Shares (ordinary shares of BHP Billiton Limited) under the Short Term Incentive Plan.

 

1. Identification code: N/A

2. Identification code: N/A

b)

    Nature of the transaction   

1. The award of 192,360 Performance Shares under the Long Term Incentive Plan.

2. The award of 10,663 Deferred Shares under the Short Term Incentive Plan.

c)    Price(s) and volume(s)        

Price(s)

   

Volume(s)

      1    Nil    192,360
      2    Nil    10,663

d)

   

Aggregated information

- Aggregated volume

- Price

    N/A

e)

    Date of the transaction   

1. 2016-12-09

2. 2016-12-09

f)

    Place of the transaction   

1. Outside a trading venue

2. Outside a trading venue

BHP BILLITON PLC and BHP BILLITON LIMITED

Notification and public disclosure of transactions by

Persons Discharging Managerial Responsibilities

 

1

    Details of the person discharging managerial responsibilities / persons closely associated

a)

    Name    Danny Malchuk

2

    Reason for the notification         

a)

    Position/status    PDMR (President Operations, Minerals Americas)

b)

    Initial notification/Amendment    Initial notification

3

    Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor

a)

    Name    BHP Billiton Plc

b)

    LEI    N/A

4

    Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted.

a)

   

Description of the financial instrument, type of instrument

 

Identification code

   

1. Performance Shares (ordinary shares of BHP Billiton Limited) under the Long Term Incentive Plan

2. Deferred Shares (ordinary shares of BHP Billiton Limited) under the Short Term Incentive Plan.

 

1. Identification code: N/A

2. Identification code: N/A

b)

    Nature of the transaction   

1. The award of 174,873 Performance Shares under the Long Term Incentive Plan.

2. The award of 9,694 Deferred Shares under the Short Term Incentive Plan.

c)    Price(s) and volume(s)        

Price(s)

   

Volume(s)

      1    Nil    174,873
      2    Nil    9,694

d)

   

Aggregated information

- Aggregated volume

- Price

    N/A

e)

    Date of the transaction   

1. 2016-12-09

2. 2016-12-09

f)

    Place of the transaction   

1. Outside a trading venue

2. Outside a trading venue

BHP BILLITON PLC and BHP BILLITON LIMITED

Notification and public disclosure of transactions by

Persons Discharging Managerial Responsibilities

 

1

    Details of the person discharging managerial responsibilities / persons closely associated

a)

    Name    Steve Pastor

2

    Reason for the notification         

a)

    Position/status    PDMR (President Operations, Petroleum)

b)

    Initial notification/Amendment    Initial notification

3

    Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor

a)

    Name    BHP Billiton Plc

b)

    LEI    N/A

4

    Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted.

a)

   

Description of the financial instrument, type of instrument

 

Identification code

   

1. Performance Shares (ordinary shares of BHP Billiton Limited) under the Long Term Incentive Plan

2. Deferred Shares (ordinary shares of BHP Billiton Limited) under the Short Term Incentive Plan.

3. Deferred Shares (ordinary shares of BHP Billiton Limited) under the Group Short Term Incentive Plan.

 

1. Identification code: N/A

2. Identification code: N/A

3. Identification code: N/A

b)

    Nature of the transaction   

1. The award of 139,898 Performance Shares under the Long Term Incentive Plan.

2. The award of 2,697 Deferred Shares under the Short Term Incentive Plan.

3. The award of 5,435 Deferred Shares under the Group Short Term Incentive Plan.

c)    Price(s) and volume(s)        

Price(s)

   

Volume(s)

      1    Nil    139,898
      2    Nil    2,697
      3    Nil    5,435

d)

   

Aggregated information

- Aggregated volume

- Price

    N/A

e)

    Date of the transaction   

1. 2016-12-09

2. 2016-12-09

3. 2016-12-09

f)

    Place of the transaction   

1. Outside a trading venue

2. Outside a trading venue

3. Outside a trading venue

BHP BILLITON PLC and BHP BILLITON LIMITED

Notification and public disclosure of transactions by

Persons Discharging Managerial Responsibilities

 

1

    Details of the person discharging managerial responsibilities / persons closely associated

a)

    Name    Athalie Williams

2

    Reason for the notification         

a)

    Position/status    PDMR (Chief People Officer)

b)

    Initial notification/Amendment    Initial notification

3

    Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor

a)

    Name    BHP Billiton Plc

b)

    LEI    N/A

4

    Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted.

a)

   

Description of the financial instrument, type of instrument

 

Identification code

   

1. Performance Shares (ordinary shares of BHP Billiton Limited) under the Long Term Incentive Plan

2. Deferred Shares (ordinary shares of BHP Billiton Limited) under the Short Term Incentive Plan.

 

1. Identification code: N/A

2. Identification code: N/A

b)

    Nature of the transaction   

1. The award of 112,418 Performance Shares under the Long Term Incentive Plan.

2. The award of 7,586 Deferred Shares under the Short Term Incentive Plan.

c)    Price(s) and volume(s)        

Price(s)

   

Volume(s)

      1    Nil    112,418
      2    Nil    7,586

d)

   

Aggregated information

- Aggregated volume

- Price

    N/A

e)

    Date of the transaction   

1. 2016-12-09

2. 2016-12-09

f)

    Place of the transaction   

1. Outside a trading venue

2. Outside a trading venue

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

          BHP Billiton Limited and BHP Billiton Plc
Date: December 14, 2016    By:   

/s/ Rachel Agnew

   Name:    Rachel Agnew
   Title:    Company Secretary