UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D/A
Under the Securities Exchange Act of 1934
(Amendment No. 3)*
ANGLOGOLD ASHANTI LIMITED
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(Name of Issuer)
ORDINARY SHARES
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(Title of Class of Securities)
035128206
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(CUSIP Number)
Nicholas Jordan
Company Secretary
Anglo American plc
20 Carlton House Terrace
London SW1Y 5AN
United Kingdom
011-44-20-7698-8888
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(Name, Address and Telephone Number of Person Authorized
to Receive Notices and Communications)
June 4, 2004
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(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 ss. 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 ss. 240.13d-7(b) 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).
Page 1 of 7 Pages
SCHEDULE 13D
CUSIP No. 035128 20 6
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1 NAME OF REPORTING PERSONS: ANGLO AMERICAN PLC
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS: _____________________
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ ]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS: AF
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
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6 CITIZENSHIP OR PLACE OF ORGANIZATION: England and Wales
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7 SOLE VOTING POWER
NONE
NUMBER OF --------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 132,088,099
EACH --------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH NONE
--------------------------------------------------------
10 SHARED DISPOSITIVE POWER
132,088,099
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
132,088,099
--------------------------------------------------------------------------------
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)
49.97%
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14 TYPE OF REPORTING PERSON (See Instructions)
CO
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Page 2 of 7 Pages
SCHEDULE 13D
CUSIP No. 035128 20 6
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1 NAME OF REPORTING PERSONS: ANGLO SOUTH AFRICA CAPITAL (PTY) LTD
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS: _____________________
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS: 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: The Republic of South Africa
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NONE
NUMBER OF --------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 132,088,099
EACH --------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH NONE
--------------------------------------------------------
10 SHARED DISPOSITIVE POWER
132,088,099
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
132,088,099
--------------------------------------------------------------------------------
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)
49.97%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (See Instructions)
CO
--------------------------------------------------------------------------------
Page 3 of 7 Pages
This Amendment No. 3 ("Amendment No. 3") amends and supplements the
Statement on Schedule 13D, originally filed on November 21, 2003 (as amended
prior to the date hereof, the "Schedule 13D"), and amended and supplemented on
February 25, 2004 by Amendment No. 1 and on May 10, 2004 by Amendment No. 2.
Unless otherwise defined in this Amendment No. 3, the capitalized terms used but
not defined herein shall have the meanings assigned to such terms in the
Schedule 13D.
Since the date of Amendment No. 2, the Reporting Persons have acquired
beneficial ownership of 5,817,043 Ordinary Shares.
Item 3. Source and Amount of Funds or Other Consideration.
The response set forth in Item 3 of the Schedule 13D is hereby amended
by adding the following at the end thereof:
"The aggregate consideration paid for the Ordinary Shares the
acquisition of which is reported pursuant to Amendment No. 3 is
ZAR1,277,070,273.51. The funds for the purchases have been supplied by a
subsidiary of Anglo American."
Item 4. Purpose of the Transaction.
The response set forth in Item 4 of the Schedule 13D is hereby amended
by adding the following sentence at the end of the second paragraph thereof:
"The Ordinary Shares the acquisition of which is reported pursuant to
this Amendment No. 3 were acquired as part of the purchases intended to increase
the Reporting Persons' percentage ownership interest in the Ordinary Shares to
at least a majority after giving effect to the Ashanti Transaction."
Item 5. Interest in Securities of the Issuer.
The response set forth in Item 5(a) of the Schedule 13D is hereby
amended by deleting the first paragraph thereof and replacing it with the
following:
"The responses of the Reporting Persons to Rows (11) through (13) of
the cover pages of this Amendment No. 3 are incorporated herein by reference.
The Reporting Persons are the sole beneficial owners of 132,088,099 Ordinary
Shares representing 49.97% of the Ordinary Shares outstanding as of June 7, 2004
(the "Outstanding Shares")."
The response set forth in Item 5(c) of the Schedule 13D is hereby
amended by adding the following at the end thereof:
"Attached hereto as Exhibit G is a description of the aggregate daily
transactions effected by or on behalf of the Reporting Persons from May 10, 2004
until the date of this Amendment No. 3. Information contained in Exhibit G is
incorporated by reference herein.
Page 4 of 7 Pages
Except as disclosed in this Amendment No. 3, none of the Reporting
Persons or the Holding Companies nor, to the best of their knowledge, any of the
persons listed on Exhibit A has effected any transaction in the Ordinary Shares
since May 10, 2004."
Item 6. Contracts, Arrangements, Understandings or Relationships with
Respect to Securities of the Issuer.
The response set forth in Item 6 of the Schedule 13D is hereby amended
by deleting the response in its entirety and replacing it with the following:
"On June 4, 2004, Anglo SA Capital acquired from Lonmin plc 3,500,000
Ordinary Shares at a price of ZAR214.71 per Ordinary Share. The purchase was
effected through the JSE Securities Exchange of South Africa. No written
agreement was entered into in connection with the purchase of such Ordinary
Shares from Lonmin plc. Except as described in this Statement, there are no
contracts, arrangements, understandings or relationships (legal or otherwise)
between any of the Reporting Persons and between such persons and any other
person with respect to any securities of the Issuer, including, but not limited
to, transfer or voting of any securities, finder's fees, joint ventures, loan or
option arrangements, puts or calls, guarantees of profits, division of profits
or losses, or the giving or withholding of proxies."
Item 7. Materials to be Filed as Exhibits.
The response set forth in Item 7 of the Schedule 13D is hereby amended
by adding the following Exhibit G:
Exhibit G Summary of daily acquisitions of Ordinary Shares effected on
behalf of the Reporting Persons during the period from May 10,
2004 until the date of Amendment No. 3.
Page 5 of 7 Pages
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
Dated:
June 7, 2004 ANGLO AMERICAN PLC
/s/ Nicholas Jordan
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Signature
Nicholas Jordan / Company Secretary
-----------------------------------
Name/Title
Dated:
June 7, 2004
ANGLO SOUTH AFRICA CAPITAL
(PTY) LTD
By: ANGLO AMERICAN PLC
Pursuant to the Joint Filing Agreement
/s/ Nicholas Jordan
-----------------------------------
Signature
Nicholas Jordan / Company Secretary
-----------------------------------
Name/Title
Page 6 of 7 Pages
EXHIBIT G
SUMMARY OF DAILY ACQUISITIONS OF ORDINARY SHARES MADE ON
BEHALF OF REPORTING PERSONS SINCE MAY 10, 2004
The purchases listed below were made by a broker on behalf of Anglo SA Capital
either through the JSE Securities Exchange of South Africa or through the New
York Stock Exchange, in which case such purchases were reported in South African
Rand through the facilities of the JSE Securities Exchange of South Africa with
the purchase price paid by Anglo SA Capital in South African Rand. The amounts
set forth below reflect the daily share purchases and average price per Ordinary
Share paid in South African Rand by Anglo SA Capital, including commissions and
other costs for such shares.
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Date of Purchase Number of Shares Average Price per
Purchased on Such Date Ordinary Share (Rand)
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May 10, 2004 469,477 224.24
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May 11, 2004 199,900 222.10
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May 25, 2004 262,215 229.14
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May 26, 2004 269,483 230.23
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May 27, 2004 234,300 233.34
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May 28, 2004 210,100 231.37
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May 31, 2004 11,000 228.99
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June 1, 2004 214,000 224.95
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June 2, 2004 238,000 225.26
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June 3, 2004 200,568 221.89
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June 4, 2004 8,000 216.80
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In addition, on June 4, 2004, Anglo SA Capital acquired from Lonmin plc
3,500,000 Ordinary Shares at a price of ZAR214.71 per Ordinary Share. The
purchase was effected through the JSE Securities Exchange of South Africa.
Page 7 of 7 Pages