Vale S.A. — Regulatory Filings 2021

Nov 8, 2021

6-K 1 tm2131523d4_6k.htm FORM 6-K

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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

of the

Securities Exchange Act of 1934

For the month of

November 2021

Vale S.A.

Praia de Botafogo nº 186, 18º andar, Botafogo 22250-145 Rio de Janeiro, RJ, Brazil

(Address of principal executive office)

(Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F.)

(Check One) Form 20-F x 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))

(Check One) Yes ¨ No x

(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))

(Check One) Yes ¨ No x

(Indicate by check mark whether the registrant by furnishing the information contained in this Form is also thereby furnishing information to the Commission pursuant to Rule 12g3-2(b) under the Securities Exchange Act of 1934.)

(Check One) Yes ¨ No x

(If “Yes” is marked, indicate below the file number assigned to the registrant in connection with Rule 12g3-2(b). 82- .)

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Purchases of equity securities by the issuer and affiliated purchasers on September 30, 2021

Company: VALE S.A.

Beginning balance

| Type
of security | Characteristic
of the security | Quantity | % — Same
class of shares | Total
capital |
| --- | --- | --- | --- | --- |
| Shares | VALE3 | 208.479.547 | 3,95 % | 3,95 % |

Movements

| Type
of security | Characteristic
of the security | | Operation | Date | Quantity | | |
| --- | --- | --- | --- | --- | --- | --- | --- |
| Shares | VALE3 | - | Cancellation
of Shares as approved in Minutes of the Board of Directors´s Meeting held on September 16, 2021 | 09/21/2021 | 152.016.372 | - | - |

Ending balance

| Type
of security | Characteristic
of the security | Quantity | % — Same
class of shares | Total
capital |
| --- | --- | --- | --- | --- |
| Shares | VALE3 | 56.463.175 | 1,10 % | 1,10 % |

Company: VALE S.A.

Beginning balance

| Type
of security | Characteristic
of the security | Quantity | % — Same
class of shares | Total
capital |
| --- | --- | --- | --- | --- |
| ADS | VALE | 84.212.146 | 1,59 % | 1,59 % |

Movements

| Type
of security | Characteristic
of the security | Intermediate | Operation | Date | Quantity | Average
price (Daily) | Volume
(R$) |
| --- | --- | --- | --- | --- | --- | --- | --- |
| - | - | - | - | - | - | - | - |

Ending balance

| Type
of security | Characteristic
of the security | Quantity | % — Same
class of shares | Total
capital |
| --- | --- | --- | --- | --- |
| ADS | VALE | 84.212.146 | 1,64 % | 1,64 % |

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Purchases of equity securities by the issuer and affiliated purchasers on September 30, 2021

Beginning balance
			%
Type of security	Characteristic of the security	Quantity	Same class of shares	Total capital
Shares	VALE3	34.849.100	0,66 %	0,66 %

Movements — Type of security	Characteristic of the security	Intermediate	Operation	Date	Quantity	Average price (Daily)	Volume (R$)
Shares	VALE3	Itaú Corretora de Valores S.A	Buy	08/30/21	1.117.600	100,55413	112.379.296,00
Shares	VALE3	Itaú Corretora de Valores S.A	Buy	08/31/21	1.467.900	98,18197	144.121.316,96
Shares	VALE3	Citigroup Global Markets Brasil CCTVM S/A	Buy	09/02/21	1.433.600	98,96223	141.872.247,32
Shares	VALE3	Citigroup Global Markets Brasil CCTVM S/A	Buy	09/08/21	1.628.200	95,43152	155.381.600,13
Shares	VALE3	XP Investimentos CCTVM S/A	Buy	09/10/21	1.767.900	95,43445	168.718.560,00
Shares	VALE3	Citigroup Global Markets Brasil CCTVM S/A	Buy	09/14/21	2.355.400	94,18645	221.846.770,07
Shares	VALE3	Citigroup Global Markets Brasil CCTVM S/A	Buy	09/16/21	3.316.630	89,20414	295.857.124,60
Shares	VALE3	Citigroup Global Markets Brasil CCTVM S/A	Buy	09/20/21	4.342.200	82,44626	357.998.139,00
Shares	VALE3	Citigroup Global Markets Brasil CCTVM S/A	Buy	09/24/21	3.036.000	77,87923	236.441.339,00
Shares	VALE3	Citigroup Global Markets Brasil CCTVM S/A	Buy	09/27/21	2.495.200	78,33014	195.449.362,00

Ending balance
			%
Type of security	Characteristic of the security	Quantity	Same class of shares	Total capital
Shares	VALE3	57.809.730	1,13 %	1,13 %

Company: MBR S.A.
Beginning balance
			%
Type of security	Characteristic of the security	Quantity	Same class of shares	Total capital
ADS	VALE	0	0,00 %	0,00 %

Movements — Type of security	Characteristic of the security	Intermediate	Operation	Date	Quantity	Average price (Daily)	Volume (R$)
-	-	-	-	-	-	-	-

Ending balance
			%
Type of security	Characteristic of the security	Quantity	Same class of shares	Total capital
ADS	VALE	0	0,00 %	0,00 %

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Purchases of equity securities by the issuer and affiliated purchasers on September 30, 2021

Company: Vale Holdings B.V.

Beginning balance

| Type
of security | Characteristic
of the security | Quantity | % — Same
class of shares | Total
capital |
| --- | --- | --- | --- | --- |
| Shares | VALE3 | 0 | 0,00 % | 0,00 % |

Movements

| Type
of security | Characteristic
of the security | Intermediate | Operation | Date | Quantity | Average
price (Daily) | Volume
(R$) |
| --- | --- | --- | --- | --- | --- | --- | --- |
| - | - | - | - | - | - | - | - |

Ending balance

| Type
of security | Characteristic
of the security | Quantity | % — Same
class of shares | Total
capital |
| --- | --- | --- | --- | --- |
| Shares | VALE3 | 0 | 0,00 % | 0,00 % |

Company: Vale Holdings B.V.

Beginning balance

| Type
of security | Characteristic
of the security | Quantity | % — Same
class of shares | Total
capital |
| --- | --- | --- | --- | --- |
| ADS | VALE | 15.587.948 | 0,29 % | 0,29 % |

Movements

| Type
of security | Characteristic
of the security | Intermediate | Operation | Date | | | |
| --- | --- | --- | --- | --- | --- | --- | --- |
| ADS | VALE | J.P.
Morgan Securities Inc. | Buy | 08/30/21 | 1.206.099 | 19,37650 | 121.411.705,93 |
| ADS | VALE | J.P.
Morgan Securities Inc. | Buy | 08/31/21 | 1.700.000 | 19,05460 | 166.605.991,11 |
| ADS | VALE | J.P.
Morgan Securities Inc. | Buy | 09/02/21 | 1.202.555 | 19,11010 | 118.891.925,71 |
| ADS | VALE | J.P.
Morgan Securities Inc. | Buy | 09/08/21 | 2.500.000 | 18,06100 | 237.158.991,00 |
| ADS | VALE | J.P.
Morgan Securities Inc. | Buy | 09/10/21 | 2.524.609 | 18,25070 | 240.322.582,60 |
| ADS | VALE | J.P.
Morgan Securities Inc. | Buy | 09/14/21 | 2.337.707 | 17,94910 | 219.281.584,07 |
| ADS | VALE | J.P.
Morgan Securities Inc. | Buy | 09/16/21 | 3.099.903 | 16,93727 | 276.139.010,37 |
| ADS | VALE | J.P.
Morgan Securities Inc. | Buy | 09/20/21 | 5.255.735 | 15,43094 | 432.527.386,57 |
| ADS | VALE | J.P.
Morgan Securities Inc. | Buy | 09/24/21 | 2.670.614 | 14,56787 | 207.889.694,46 |
| ADS | VALE | Bradesco
Securities Inc | Buy | 09/27/21 | 3.947.700 | 14,58737 | 307.961.353,29 |

Ending balance

| Type
of security | Characteristic
of the security | Quantity | % — Same
class of shares | Total
capital |
| --- | --- | --- | --- | --- |
| ADS | VALE | 42.032.870 | 0,82 % | 0,82 % |

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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.

(Registrant)
By:	/s/
Ivan Fadel
	Head of Investor Relations
Date: November 08, 2021

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