Vale S.A. — Regulatory Filings 2021

May 11, 2021

6-K 1 tm2115087d4_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

May 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 April 30, 2021

Company: VALE S.A.

Beginning balance

Type of security	Characteristic of the security	Quantity	% — Same class of shares	Total capital
Shares	VALE 3	152,566,847	2.89 %	2.89 %

Movements

| Type
of security | Characteristic
of the security | Intermediate | Operation | Date | | | |
| --- | --- | --- | --- | --- | --- | --- | --- |
| Shares | VALE3 | XP
Investimentos CCTVM S/A | Buy | 04/05/21 | 141,700 | 101.1774 | 14,336,836 |
| Shares | VALE3 | XP Investimentos
CCTVM S/A | Buy | 04/07/21 | 250,000 | 103.9046 | 25,976,151 |
| Shares | VALE3 | XP Investimentos
CCTVM S/A | Buy | 04/08/21 | 325,000 | 104.6197 | 34,001,418 |
| Shares | VALE3 | Santander
Corporate & Investment Banking | Buy | 04/27/21 | 672,800 | 109.6120 | 73,746,986 |
| Shares | VALE3 | Santander
Corporate & Investment Banking | Buy | 04/28/21 | 907,500 | 111.5296 | 101,213,083 |
| Shares | VALE3 | Santander
Corporate & Investment Banking | Buy | 04/29/21 | 905,000 | 112.0252 | 101,382,770 |
| Shares | VALE3 | Santander
Corporate & Investment Banking | Buy | 04/30/21 | 1,152,200 | 110.8779 | 127,753,498 |

Ending balance

Type of security	Characteristic of the security	Quantity	% — Same class of shares	Total capital
Shares	VALE 3	156,921,047	2.97 %	2.97 %

Company: VALE S.A.

Beginning balance

Type of security	Characteristic of the security	Quantity	% — Same class of shares	Total capital
ADS	VALE	1,106,499	0.021 %	0.021 %

Movements

| Type
of security | Characteristic
of the security | Intermediate | Operation | Date | | | |
| --- | --- | --- | --- | --- | --- | --- | --- |
| ADS | VALE | XP
Investments US | Buy | 04/05/21 | 393,468 | 18.0424 | 40,165,938 |
| ADS | VALE | XP Investments
US | Buy | 04/07/21 | 250,000 | 18.6253 | 26,012,147 |
| ADS | VALE | XP Investments
US | Buy | 04/08/21 | 175,000 | 18.8115 | 18,375,023 |
| ADS | VALE | Citigroup
Global Markets Inc | Buy | 04/27/21 | 775,000 | 20.1879 | 85,149,681 |
| ADS | VALE | Citigroup
Global Markets Inc | Buy | 04/28/21 | 1,447,547 | 20.7693 | 162,363,273 |
| ADS | VALE | Citigroup
Global Markets Inc | Buy | 04/29/21 | 1,600,000 | 20.9167 | 179,589,113 |
| ADS | VALE | Citigroup
Global Markets Inc | Buy | 04/30/21 | 1,850,000 | 20.5142 | 205,073,591 |

Ending balance

Type of security	Characteristic of the security	Quantity	% — Same class of shares	Total capital
ADS	VALE	7,597,514	0.14 %	0.14 %

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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: May 10, 2021

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