Amendment No.14 to Schedule 13D/A

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13D/A

Under the Securities Exchange Act of 1934

(Amendment No. 14)*

 

 

 

Ivanhoe Mines Ltd.

(Name of Issuer)

 

 

 

Common Shares, without par value

(Title of class of securities)

 

46579N

(CUSIP Number)

Ben Mathews

Rio Tinto plc

2 Eastbourne Terrace

London W2 6LG

United Kingdom

+44 (0) 20 7781 2058

(Name, Address and Telephone Number of Person Authorised to Receive Notices and Communications)

 

 

with copy to:

Thomas B. Shropshire, Jr.

Linklaters LLP

One Silk Street

London EC2Y 8HQ

United Kingdom

+44 (0) 20 7456 3223

 

December 12, 2011

(Date of Event which Requires Filing of this Statement)

 

 

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.  ¨

 

 

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits.

See § 240.13d-7 for other parties to whom copies are to be sent.

 

 

 

*   The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 


CUSIP No. 46579N  

 

  1   

NAME OF REPORTING PERSON.

 

Rio Tinto plc

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

(a)  ¨        (b)  x (See Item 4)

 

  3  

SEC USE ONLY

 

  4  

SOURCE OF FUNDS (SEE INSTRUCTIONS)

 

    WC

  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)

 

    ¨

  6  

CITIZENSHIP OR PLACE OF ORGANISATION

 

    England and Wales

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

     7    

SOLE VOTING POWER

 

    0

     8   

SHARED VOTING POWER

 

    361,858,442 (see Items 3 and 5)

     9   

SOLE DISPOSITIVE POWER

 

    0

   10   

SHARED DISPOSITIVE POWER

 

    361,858,442 (see Items 3 and 5)

11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON

 

    361,858,442 (see Items 3 and 5)

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)

 

    49.0 per cent (see Item 5)

14

 

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

    HC, CO

 

2


CUSIP No. 46579N  

 

  1   

NAME OF REPORTING PERSON.

 

Rio Tinto International Holdings Limited

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

(a)  ¨        (b)  x (See Item 4)

 

  3  

SEC USE ONLY

 

  4  

SOURCE OF FUNDS (SEE INSTRUCTIONS)

 

    AF

  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)

 

    ¨

  6  

CITIZENSHIP OR PLACE OF ORGANISATION

 

    England and Wales

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

     7    

SOLE VOTING POWER

 

    0

     8   

SHARED VOTING POWER

 

    361,858,442 (see Items 3 and 5)

     9   

SOLE DISPOSITIVE POWER

 

    0

   10   

SHARED DISPOSITIVE POWER

 

    361,858,442 (see Items 3 and 5)

  11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON

 

    361,858,442 (see Items 3 and 5)

  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)

 

    49.0 per cent (see Item 5)

  14

 

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

    HC, CO

 

 

3


Item 1. Security and Issuer

This Amendment No. 14 to Schedule 13D amends and supplements the statement on Schedule 13D originally filed by Rio Tinto plc (“Rio Tinto”) and Rio Tinto International Holdings Limited (“RTIH”) on November 3, 2006, and amended on September 12, 2007, October 26, 2007, January 7, 2008, April 10, 2008, October 30, 2009, March 4, 2010, July 7, 2010, September 13, 2010, December 14, 2010, February 4, 2011, June 28, 2011, August 24, 2011 and September 27, 2011 (as amended and supplemented, the “Schedule 13D”) with the Securities and Exchange Commission (the “SEC”), relating to the common shares, without par value (the “Shares”), of Ivanhoe Mines Ltd., a corporation continued under the laws of the Yukon Territory, Canada (the “Company”). This Amendment No. 14 is being filed to update Rio Tinto and RTIH’s intentions with regard to the Company, further to a successful arbitration against the Company in respect of the Company’s shareholder rights plan.

Item 4. Purpose of Transaction

Item 4 of the Schedule 13D is supplemented as follows and should be read in conjunction with the existing Item 4 disclosure previously filed:

From January 19, 2012, Rio Tinto and RTIH will no longer be subject to a standstill agreement with the Company. Thereafter, depending upon their assessment of the Company’s business, prospects and financial condition, the market for the Shares, general economic and tax conditions and other factors, Rio Tinto or RTIH may seek opportunities to increase their shareholding in the Company to a majority position, but currently have no intention of making a full takeover bid for the Shares. Rio Tinto and RTIH reserve the right to change their intentions in the future.

Item 7. Materials to be Filed as Exhibits

 

Exhibit
Number
   Description
A    Joint Filing Agreement between Rio Tinto plc and Rio Tinto International Holdings Limited
B    Private Placement Agreement between Ivanhoe Mines Ltd. and Rio Tinto International Holdings Limited*
C    Shareholders’ Agreement between Robert M Friedland and Rio Tinto International Holdings Limited*
D    Registration Rights Agreement by and between Ivanhoe Mines Ltd. and Rio Tinto International Holdings Limited*
E    Amending Agreement between Rio Tinto International Holdings Limited and Ivanhoe Mines Ltd.**
F    Heads of Agreement between Rio Tinto International Holdings Limited and Ivanhoe Mines Ltd.**
G    Amending and Additional Rights Agreement between Rio Tinto International Holdings Limited and Ivanhoe Mines Ltd.***

 

* Filed as an exhibit to the original Schedule 13D on November 3, 2006.
** Filed as an exhibit to the amended Schedule 13D on September 12, 2007.
*** Filed as an exhibit to the amended Schedule 13D on October 26, 2007.

 

4


Exhibit
Number
   Description
H    Credit Agreement between Rio Tinto International Holdings Limited and Ivanhoe Mines Ltd.***
I    Heads Of Agreement between Ivanhoe Mines Ltd. and Rio Tinto International Holdings Limited dated December 8, 2010****
J    Agreement between RTIH and the Government of Mongolia dated June 8, 2011*****
K    Press Release dated August 24, 2011******

 

**** Filed as an exhibit to the amended and restated Schedule 13D on December 14, 2010.
***** Filed as an exhibit to the amended Schedule 13D on June 28, 2011.
****** Filed as an exhibit to the amended Schedule 13D on August 24, 2011.

 

5


SIGNATURES

After reasonable inquiry and to the best of my knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct.

Dated: December 16, 2011

Rio Tinto plc

 

By:  

/s/ Ben Mathews

  Signature
 

Ben Mathews / Company Secretary

  Name/Title

Rio Tinto International Holdings Limited

 

By:  

/s/ Ben Mathews

  Signature
 

Ben Mathews / Director

  Name/Title

 

6


SCHEDULE A

The response set forth in Schedule A of the Schedule 13D is hereby amended and restated in its entirety with the information below:

Rio Tinto plc

Directors and Executive Officers

 

Name

 

Present Principal

Occupation

 

Business Address

 

Citizenship

Directors

     
Jan du Plessis   Chairman of Rio Tinto  

2 Eastbourne Terrace

London W2 6LG

United Kingdom

  United Kingdom
Tom Albanese   Chief Executive of Rio Tinto  

2 Eastbourne Terrace

London W2 6LG

United Kingdom

  United States of America
Guy Elliott   Finance Director of Rio Tinto  

2 Eastbourne Terrace

London W2 6LG

United Kingdom

  United Kingdom
Sam Walsh   Chief Executive of the Iron Ore Group  

120 Collins Street

Melbourne Victoria 3000 Australia

  Australia
Robert Brown   Company Director  

1188 Sherbrooke Street

West, Montreal, Quebec

H3A 3G2, Canada

  Canada
Vivienne Cox   Company Director  

2 Eastbourne Terrace

London W2 6LG

United Kingdom

  United Kingdom
Mike Fitzpatrick   Company Director  

120 Collins Street

Melbourne

Victoria 3000

Australia

  Australia
Ann Godbehere   Company Director  

2 Eastbourne Terrace

London W2 6LG

United Kingdom

  Canada and United Kingdom
Richard Goodmanson   Company Director  

2 Eastbourne Terrace

London W2 6LG

United Kingdom

  United States of America
Andrew Gould   Chairman and Chief Executive Officer of Schlumberger Ltd.  

2 Eastbourne Terrace

London W2 6LG

United Kingdom

  United Kingdom
Lord Kerr   Company Director  

2 Eastbourne Terrace

London W2 6LG

United Kingdom

  United Kingdom
Christopher Lynch   Company Director  

120 Collins Street

Melbourne

Victoria 3000

Australia

  Australia

 

7


Name

 

Present Principal

Occupation

 

Business Address

 

Citizenship

Paul Tellier   Company Director  

1188 Sherbrooke Street

West, Montreal, Quebec

H3A 3G2, Canada

  Canada
John Varley   Company Director  

2 Eastbourne Terrace

London W2 6LG

United Kingdom

  United Kingdom
Executive Officers      
Hugo Bagué   Group Executive, People and Organisation  

2 Eastbourne Terrace

London W2 6LG

United Kingdom

  Belgium
Preston Chiaro   Group Executive, Technology & Innovation  

4700 Daybreak Parkway

South Jordan, Utah

84095

United States

  United States of America
Bret Clayton   Group Executive, Business Support and Operations  

2 Eastbourne Terrace

London W2 6LG

United Kingdom

  United States of America
Jacynthe Coté   Chief Executive of Rio Tinto Alcan  

2 Eastbourne Terrace

London W2 6LG

United Kingdom

  Canada
Andrew Harding   Chief Executive of Rio Tinto Copper  

2 Eastbourne Terrace

London W2 6LG

United Kingdom

  Australia
Harry Kenyon-Slaney   Chief Executive of Rio Tinto Diamonds & Minerals  

2 Eastbourne Terrace

London W2 6LG

United Kingdom

  United Kingdom
Doug Ritchie   Chief Executive of Rio Tinto Energy  

3 West Tower

410 Ann Street

Brisbane, QLD 4000

Australia

  Australia
Debra Valentine   Group Executive, Legal and External Affairs  

2 Eastbourne Terrace

London W2 6LG

United Kingdom

  United States of America

Rio Tinto International Holdings Limited

Directors and Executive Officer

Directors      
Dan Larsen   Director  

2 Eastbourne Terrace

London W2 6LG

United Kingdom

  United States of America
Ulf Quellmann   Director  

2 Eastbourne Terrace

London W2 6LG

United Kingdom

  Germany

 

8


Name

 

Present Principal

Occupation

 

Business Address

 

Citizenship

Ben Mathews   Director  

2 Eastbourne Terrace

London W2 6LG

United Kingdom

  United Kingdom
Executive Officer      
Matthew Whyte   Secretary  

2 Eastbourne Terrace

London W2 6LG

United Kingdom

  United Kingdom

 

9


EXHIBIT INDEX

 

Exhibit
Number
  Description
A   Joint Filing Agreement between Rio Tinto plc and Rio Tinto International Holdings Limited
B   Private Placement Agreement between Ivanhoe Mines Ltd. and Rio Tinto International Holdings Limited*
C   Shareholders’ Agreement between Robert M Friedland and Rio Tinto International Holdings Limited*
D   Registration Rights Agreement by and between Ivanhoe Mines Ltd. and Rio Tinto International Holdings Limited*
E   Amending Agreement between Rio Tinto International Holdings Limited and Ivanhoe Mines Ltd.**
F   Heads of Agreement between Rio Tinto International Holdings Limited and Ivanhoe Mines Ltd.**
G   Amending and Additional Rights Agreement between Rio Tinto International Holdings Limited and Ivanhoe Mines Ltd.***
H   Credit Agreement between Rio Tinto International Holdings Limited and Ivanhoe Mines Ltd.***
I   Heads Of Agreement between Ivanhoe Mines Ltd. and Rio Tinto International Holdings Limited dated December 8, 2010****
J   Agreement between RTIH and the Government of Mongolia dated June 8, 2011*****
K   Press Release dated August 24, 2011******

 

*    Filed as an exhibit to the original Schedule 13D on November 3, 2006.
**    Filed as an exhibit to the amended Schedule 13D on September 12, 2007.
***    Filed as an exhibit to the amended Schedule 13D on October 26, 2007.
****    Filed as an exhibit to the amended and restated Schedule 13D on December 14, 2011.
*****    Filed as an exhibit to the amended Schedule 13D on June 28, 2011.
******    Filed as an exhibit to the amended Schedule 13D on August 24, 2011.

 

10