SC 13D/A

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13D/A

Under the Securities Exchange Act of 1934

(Amendment No. 20)*

 

 

Turquoise Hill Resources Ltd.

(formerly Ivanhoe Mines Ltd.)

(Name of Issuer)

Common Shares, without par value

(Title of class of securities)

46579N

(CUSIP Number)

Eleanor Evans    

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

July 5, 2013

(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

 

558,528,911 (see Items 3 and 5)

     9   

SOLE DISPOSITIVE POWER

 

0

   10   

SHARED DISPOSITIVE POWER

 

558,528,911 (see Items 3 and 5)

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON

 

558,528,911 (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)

 

55.5 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

 

558,528,911 (see Items 3 and 5)

     9   

SOLE DISPOSITIVE POWER

 

0

   10   

SHARED DISPOSITIVE POWER

 

558,528,911 (see Items 3 and 5)

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON

 

558,528,911 (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)

 

55.5 per cent (see Item 5)

14  

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

HC, CO

 

3


CUSIP No. 46579N  

 

  1   

NAME OF REPORTING PERSON.

 

7999674 Canada Inc.

  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

 

Canada

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

     7    

SOLE VOTING POWER

 

0

     8   

SHARED VOTING POWER

 

558,528,911 (see Items 3 and 5)

     9   

SOLE DISPOSITIVE POWER

 

0

   10   

SHARED DISPOSITIVE POWER

 

558,528,911 (see Items 3 and 5)

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON

 

558,528,911 (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)

 

55.5 per cent (see Item 5)

14  

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

CO

 

4


CUSIP No. 46579N  

 

  1   

NAME OF REPORTING PERSON.

 

46117 Yukon Inc.

  2  

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

 

(c)  ¨

 

(d)  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

 

Canada

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

     7    

SOLE VOTING POWER

 

0

     8   

SHARED VOTING POWER

 

558,528,911 (see Items 3 and 5)

     9   

SOLE DISPOSITIVE POWER

 

0

   10   

SHARED DISPOSITIVE POWER

 

558,528,911 (see Items 3 and 5)

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON

 

558,528,911 (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)

 

55.5 per cent (see Item 5)

14  

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

CO

 

5


Item 1. Security and Issuer

This Amendment No. 20 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”, and together with Rio Tinto, 7999674 Canada Inc. and 46117 Yukon Inc., the “Rio Tinto Companies”) 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, September 27, 2011, December 12, 2011, January 26, 2012, April 20, 2012, May 24, 2012, August 2, 2012 and July 3, 2013 (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 Turquoise Hill Resources Ltd. (formerly Ivanhoe Mines Ltd.), a corporation continued under the laws of the Yukon Territory, Canada (the “Company”). This Amendment No. 20 is being filed to update the OT Bridge Funding Agreement previously filed as Exhibit Q to the amended Schedule 13D on July 3, 2013.

 

Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer.

Item 6 of the Schedule 13D is supplemented as follows:

OT Bridge Funding Agreement

On June 28, 2013, the Rio Tinto Funding Company entered into the OT Bridge Funding Agreement with the Company, incorporated herein by reference as Exhibit Q. Confidential treatment has been requested for certain portions of the OT Bridge Funding Agreement which have been deemed by the Rio Tinto Companies and the Company to be financially and commercially sensitive. However, information regarding the commitment fee and the front end fee described in the OT Bridge Funding Agreement has since been publicly disclosed. This Amendment No. 20 is being filed to update the version of the OT Bridge Funding Agreement previously filed as Exhibit Q.

 

Item 7. Materials to be Filed as Exhibits

 

Exhibit
Number
   Description
A    Joint Filing Agreement between Rio Tinto plc, Rio Tinto International Holdings Limited, 7999674 Canada Inc. and 46117 Yukon Inc.
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.**

 

* 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.

 

6


Exhibit
Number
   Description
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******
L    Private Placement Agreement between Ivanhoe Mines Ltd. and Rio Tinto International Holdings Limited dated January 18, 2012*******
M    Press Release dated January 24, 2012*******
N    Memorandum of Agreement between Rio Tinto plc and Ivanhoe Mines Ltd. dated April 17, 2012********
O    Amending Agreement between Rio Tinto plc and Ivanhoe Mines Ltd. dated May 22, 2012*********
P    Press Release dated July 30, 2012**********
Q    OT Bridge Funding Agreement between Turquoise Hill Resources Ltd. and Rio Tinto South East Asia Limited dated June 28, 2013. Confidential treatment has been requested. Confidential material has been redacted and separately filed with the SEC.
R    Omnibus Amending Agreement between Turquoise Hill Resources Ltd., Rio Tinto International Holdings Limited and Rio Tinto South East Asia Limited dated June 28, 2013***********

 

***

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, 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.

*******

Filed as an exhibit to the amended Schedule 13D on January 26, 2012.

********

Filed as an exhibit to the amended Schedule 13D on April 20, 2012.

*********

Filed as an exhibit to the amended Schedule 13D on May 24, 2012.

**********

Filed as an exhibit to the amended Schedule 13D on August 2, 2012.

***********

Filed as an exhibit to the amended Schedule 13D on July 3, 2013.

 

7


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: July 9, 2013

 

Rio Tinto plc
By:   /s/ Eleanor Evans
  Signature
  Eleanor Evans / Company Secretary
  Name/Title

Rio Tinto International Holdings Limited

 

By:   /s/ Eleanor Evans
  Signature
  Eleanor Evans / Director
  Name/Title
7999674 Canada Inc.
By:   /s/ Julie Parent
  Signature
  Julie Parent / Corporate Secretary
  Name/Title

 

8


46117 Yukon Inc.
By:   /s/ Julie Parent
  Signature
  Julie Parent / Secretary
  Name/Title

 

9


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
Sam Walsh    Chief Executive of Rio Tinto   

2 Eastbourne Terrace

London W2 6LG

United Kingdom

   Australia
Christopher Lynch    Chief Financial Officer   

2 Eastbourne Terrace

London W2 6LG

United Kingdom

   Australia
Guy Elliott    Senior Executive Director   

2 Eastbourne Terrace

London W2 6LG

United Kingdom

   United Kingdom
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
Michael 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
Lord Kerr    Company Director   

2 Eastbourne Terrace

London W2 6LG

United Kingdom

   United Kingdom
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

 

10


Name

  

Present Principal

Occupation

  

Business Address

  

Citizenship

Executive Officers

        

Hugo Bagué

   Group Executive, Organisational Resources   

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

Jacynthe Coté

   Chief Executive of Rio Tinto Alcan   

2 Eastbourne Terrace

London W2 6LG

United Kingdom

   Canada

Alan Davies

   Chief Executive of Rio Tinto Diamonds & Minerals   

2 Eastbourne Terrace

London W2 6LG

United Kingdom

   Australia

Eleanor Evans

   Company Secretary   

2 Eastbourne Terrace

London W2 6LG

United Kingdom

   United Kingdom

Andrew Harding

   Chief Executive of Rio Tinto Iron Ore   

2 Eastbourne Terrace

London W2 6LG

United Kingdom

   Australia

Jean-Sébastien Jacques

   Chief Executive of Rio Tinto Copper   

2 Eastbourne Terrace

London W2 6LG

United Kingdom

   France

Harry Kenyon-Slaney

   Chief Executive of Rio Tinto Energy   

2 Eastbourne Terrace

London W2 6LG

United Kingdom

   United Kingdom

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

        

Michael Bossick

   Director   

2 Eastbourne Terrace

London W2 6LG

United Kingdom

   United Kingdom

Eleanor Evans

   Director   

2 Eastbourne Terrace

London W2 6LG

United Kingdom

   United Kingdom

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

 

11


Name

  

Present Principal

Occupation

  

Business Address

  

Citizenship

Executive Officer

        
Gemma Aldridge    Secretary   

2 Eastbourne Terrace

London W2 6LG

United Kingdom

   United Kingdom

7999674 Canada Inc.

Directors and Executive Officers

Directors         
Jocelin Paradis    Director   

1188 Sherbrooke Street

West

Montreal QC H3A 3G2

Canada

   Canada
Julie Parent    Director   

1188 Sherbrooke Street

West

Montreal QC H3A 3G2

Canada

   Canada
Executive Officers         
Jocelin Paradis    President   

1188 Sherbrooke Street

West

Montreal QC H3A 3G2

Canada

   Canada
Lawrence Tal    Vice President   

2 Eastbourne Terrace

London W2 6LG

United Kingdom

   United Kingdom
Brett Salt    Vice President   

2 Eastbourne Terrace

London W2 6LG

United Kingdom

   Australia
Julie Parent    Corporate Secretary   

1188 Sherbrooke Street

West

Montreal QC H3A 3G2

Canada

   Canada

46117 Yukon Inc.

Directors and Executive Officers

Directors         
Jocelin Paradis    Director   

1188 Sherbrooke Street

West

Montreal QC H3A 3G2

Canada

   Canada
Executive Officers         
Jocelin Paradis    President   

1188 Sherbrooke Street

West

Montreal QC H3A 3G2

Canada

   Canada
Julie Parent    Secretary   

1188 Sherbrooke Street

West

Montreal QC H3A 3G2

Canada

   Canada

 

12


EXHIBIT INDEX

 

Exhibit
Number
   Description
A    Joint Filing Agreement between Rio Tinto plc, Rio Tinto International Holdings Limited, 7999674 Canada Inc. and 46117 Yukon Inc.
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******
L    Private Placement Agreement between Ivanhoe Mines Ltd. and Rio Tinto International Holdings Limited dated January 18, 2012*******
M    Press Release dated January 24, 2012*******
N    Memorandum of Agreement between Rio Tinto plc and Ivanhoe Mines Ltd. dated April 17, 2012********
O    Amending Agreement between Rio Tinto plc and Ivanhoe Mines Ltd. dated May 22, 2012*********
P    Press Release dated July 30, 2012**********

 

* 

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.

******* 

Filed as an exhibit to the amended Schedule 13D on January 26, 2012.

******** 

Filed as an exhibit to the amended Schedule 13D on April 20, 2012.

********* 

Filed as an exhibit to the amended Schedule 13D on May 24, 2012.

********** 

Filed as an exhibit to the amended Schedule 13D on August 2, 2012.

 

13


Exhibit
Number
   Description
Q    OT Bridge Funding Agreement between Turquoise Hill Resources Ltd. and Rio Tinto South East Asia Limited dated June 28, 2013. Confidential treatment has been requested. Confidential material has been redacted and separately filed with the SEC.
R    Omnibus Amending Agreement between Turquoise Hill Resources Ltd., Rio Tinto International Holdings Limited and Rio Tinto South East Asia Limited dated June 28, 2013***********

 

*********** 

Filed as an exhibit to the amended Schedule 13D on July 3, 2013.

 

14