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Vale S.A. — Regulatory Filings 2021
Oct 28, 2021
30050_ffr_2021-10-28_d8384a62-53f6-4bad-b2e7-8f28d6741d52.zip
Regulatory Filings
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6-K 1 tm2129163d14_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
October 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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Vale Provides Update on SEC Matter
Rio de Janeiro, October 28, 2021 - Vale S.A. (“Vale”) informs The SEC staff has delivered a notice (referred to in U.S. practice as a “Wells” notice) informing Vale that it has made a preliminary determination to recommend that the SEC commence proceedings against Vale alleging violations of U.S. securities laws related to Vale’s disclosures about its dam safety management and the dam at Brumadinho.
The Wells notice is not a formal charge or a finding of wrongdoing. It gives Vale the opportunity to provide its views and to address the issues raised by the SEC staff before the SEC makes any decision on whether to authorize the commencement of an enforcement proceeding. If the SEC decides to authorize an action against Vale, the SEC could seek an injunction against possible violations of U.S. federal securities laws, the imposition of civil monetary penalties, disgorgement and other relief within the SEC’s authority in a lawsuit filed in a federal court.
Vale disagrees with the SEC staff with respect to this recommendation and will provide a response through the Wells notice process.
Luciano Siani Pires
Executive Officer of Investor Relations
Ever since the Covid-19 outbreak began, our highest priority is the health and safety of our employees. Our IR team adopted work-from-home, and as we continue to face these new circumstances, we strongly recommend you prioritize e-mail and online engagement.
For further information, please contact:
Ivan Fadel: [email protected]
Andre Werner: [email protected]
Mariana Rocha: [email protected]
Samir Bassil: [email protected]
This press release may include statements that present Vale’s expectations about future events or results. All statements, when based upon expectations about the future, involve various risks and uncertainties. Vale cannot guarantee that such statements will prove correct. These risks and uncertainties include factors related to the following: (a) the countries where we operate, especially Brazil and Canada; (b) the global economy; (c) the capital markets; (d) the mining and metals prices and their dependence on global industrial production, which is cyclical by nature; and (e) global competition in the markets in which Vale operates. To obtain further information on factors that may lead to results different from those forecast by Vale, please consult the reports Vale files with the U.S. Securities and Exchange Commission (SEC), the Brazilian Comissão de Valores Mobiliários (CVM) and in particular the factors discussed under “Forward-Looking Statements” and “Risk Factors” in Vale’s annual report on Form 20-F.
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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.
| Vale S.A. (Registrant) | |
|---|---|
| By: | /s/ Ivan Fadel |
| Date: October 28, 2021 | Head of Investor Relations |
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