0001193125-18-256288.txt : 20180823 0001193125-18-256288.hdr.sgml : 20180823 20180823160705 ACCESSION NUMBER: 0001193125-18-256288 CONFORMED SUBMISSION TYPE: 6-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180823 FILED AS OF DATE: 20180823 DATE AS OF CHANGE: 20180823 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: 181034851 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: 181034852 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 d614493d6k.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

August 23, 2018

 

 

 

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

(Address of principal executive offices)

   

NOVA SOUTH, 160 VICTORIA STREET,

LONDON, SW1e 5LB

UNITED KINGDOM

(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

   

BHP Billiton Limited ordinary shares

ISIN: AU000000BHP4

b)

    Nature of the transaction    The lapse of 213,701 Long Term Incentive Plan 2013 awards.
c)    Price(s) and volume(s)        

Price(s)

   

Volume(s)

         Nil    213,701

d)

   

Aggregated information

- Aggregated volume

- Price

    N/A

e)

    Date of the transaction    2018-08-22

f)

    Place of the transaction    Outside a trading venue

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

   

BHP Billiton Limited ordinary shares

ISIN: AU000000BHP4

b)

    Nature of the transaction   

1. The acquisition of 10,958 ordinary shares in BHP Billiton Limited following the vesting of Deferred Shares under the FY2016 Short Term Incentive Plan and 686 ordinary shares in BHP Billiton Limited in accordance with the Group’s policy on Dividend Equivalent Payments. (109,993 FY2013 Long Term Incentive Plan awards have lapsed).

2. The on-market sale of 68,072 ordinary shares in BHP Billiton Limited in order to meet expected tax obligations arising from the transactions described in 1 and in order to fund the construction of a residential dwelling (the PDMR’s remaining shareholding is in excess of the minimum shareholding requirement).

c)    Price(s) and volume(s)        

Price(s)

   

Volume(s)

      1    Nil    11,644
      2    AUD $32.19    68,072
d)   

Aggregated information

- Aggregated volume

- Price

    N/A
e)    Date of the transaction   

1. 2018-08-22

2. 2018-08-22

f)

    Place of the transaction   

1. Outside a trading venue

2. Australian Securities Exchange (XASX)

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. BHP Billiton Limited ordinary shares

ISIN: AU000000BHP4

b)

    Nature of the transaction   

1. The acquisition of 10,663 ordinary shares in BHP Billiton Limited following the vesting of Deferred Shares under the FY2016 Short Term Incentive Plan and 668 ordinary shares in BHP Billiton Limited in accordance with the Group’s policy on Dividend Equivalent Payments. (120,993 FY2013 Long Term Incentive Plan awards have lapsed).

2. The on-market sale of 5,262 ordinary shares in BHP Billiton Limited made in order to meet expected tax obligations arising from the transactions described in 1.

c)    Price(s) and volume(s)        

Price(s)

   

Volume(s)

      1    Nil    11,331
      2    AUD $32.16    5,262
d)   

Aggregated information

- Aggregated volume

- Price

    N/A
e)    Date of the transaction   

1. 2018-08-22

2. 2018-08-22

f)

    Place of the transaction   

1. Outside a trading venue

2. Australian Securities Exchange (XASX)

1

    Details of the person discharging managerial responsibilities / persons closely associated

a)

    Name    Daniel 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

   

BHP Billiton Limited ordinary shares

ISIN: AU000000BHP4

b)

    Nature of the transaction    The acquisition of 9,694 ordinary shares in BHP Billiton Limited following the vesting of Deferred Shares under the FY2016 Short Term Incentive Plan and 607 ordinary shares in BHP Billiton Limited in accordance with the Group’s policy on Dividend Equivalent Payments. (93,495 FY2013 Long Term Incentive Plan awards have lapsed)
c)    Price(s) and volume(s)        

Price(s)

   

Volume(s)

         Nil    10,301
d)   

Aggregated information

- Aggregated volume

- Price

    N/A
e)    Date of the transaction    2018-08-22

f)

    Place of the transaction    Outside a trading venue

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

   

BHP Billiton Limited ordinary shares

ISIN: AU000000BHP4

b)

    Nature of the transaction   

1. The acquisition of 21,775 ordinary shares in BHP Billiton Limited following the vesting of Restricted Shares under the FY2016 Management Award Plan; 2,697 ordinary shares in BHP Billiton Limited following the vesting of Deferred Shares under the FY2016 Short Term Incentive Plan and 169 ordinary shares in BHP Billiton Limited in accordance with the Group’s policy on Dividend Equivalent Payments; and 5,435 ordinary shares in BHP Billiton Limited following the vesting of Deferred Shares under the FY2016 Group Short Term Incentive Plan.

2. The on-market sale of 12,234 ordinary shares in BHP Billiton Limited made in order to meet expected tax obligations arising from the transactions described in 1.

c)    Price(s) and volume(s)        

Price(s)

   

Volume(s)

      1    Nil    30,076
      2    AUD $32.16    12,234
d)   

Aggregated information

- Aggregated volume

- Price

    N/A
e)    Date of the transaction   

1. 2018-08-22

2. 2018-08-22

f)

    Place of the transaction   

1. Outside a trading venue

2. Australian Securities Exchange (XASX)

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: August 23, 2018    By:   

/s/ Rachel Agnew

   Name:    Rachel Agnew
   Title:    Company Secretary