0001140361-24-027741.txt : 20240528 0001140361-24-027741.hdr.sgml : 20240528 20240528182853 ACCESSION NUMBER: 0001140361-24-027741 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20240523 FILED AS OF DATE: 20240528 DATE AS OF CHANGE: 20240528 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GLENCORE INTERNATIONAL AG CENTRAL INDEX KEY: 0001032383 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40733 FILM NUMBER: 24993497 BUSINESS ADDRESS: STREET 1: BAARERMATTSTRASSE 3 STREET 2: P O BOX 555 CH 6341 BAAR CITY: SWITZERLAND BUSINESS PHONE: 4142227722 MAIL ADDRESS: STREET 1: BAARERMATTSTRASSE 3 STREET 2: P O BOX 555 CH 6341 BAAR CITY: SWITZERLAND REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Glencore plc CENTRAL INDEX KEY: 0001521365 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 8880 [8880] ORGANIZATION NAME: International Corp Fin STATE OF INCORPORATION: Y9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40733 FILM NUMBER: 24993498 BUSINESS ADDRESS: STREET 1: BAARERMATTSTRASSE 3 CITY: BAAR STATE: V8 ZIP: CH-6341 BUSINESS PHONE: 41 41 709 2000 MAIL ADDRESS: STREET 1: BAARERMATTSTRASSE 3 CITY: BAAR STATE: V8 ZIP: CH-6341 FORMER NAME: FORMER CONFORMED NAME: Glencore Xstrata plc DATE OF NAME CHANGE: 20130606 FORMER NAME: FORMER CONFORMED NAME: GLENCORE INTERNATIONAL PLC DATE OF NAME CHANGE: 20110520 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Glencore Canada Corp CENTRAL INDEX KEY: 0002015686 ORGANIZATION NAME: STATE OF INCORPORATION: A6 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40733 FILM NUMBER: 24993496 BUSINESS ADDRESS: STREET 1: 100 KING STREET WEST STREET 2: SUITE 6900 CITY: TORONTO STATE: A6 ZIP: M5X 1E3 BUSINESS PHONE: 416-775-1500 MAIL ADDRESS: STREET 1: 100 KING STREET WEST STREET 2: SUITE 6900 CITY: TORONTO STATE: A6 ZIP: M5X 1E3 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sinha Kunal CENTRAL INDEX KEY: 0001995318 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40733 FILM NUMBER: 24993495 MAIL ADDRESS: STREET 1: C/O LI-CYCLE HOLDINGS CORP. STREET 2: 207 QUEENS QUAY WEST, SUITE 500 CITY: TORONTO STATE: A8 ZIP: M5J 1A7 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Li-Cycle Holdings Corp. CENTRAL INDEX KEY: 0001828811 STANDARD INDUSTRIAL CLASSIFICATION: HAZARDOUS WASTE MANAGEMENT [4955] ORGANIZATION NAME: 01 Energy & Transportation IRS NUMBER: 000000000 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1031 BUSINESS ADDRESS: STREET 1: C/O LI-CYCLE CORP. STREET 2: 10-2351 ROYAL WINDSOR DRIVE CITY: MISSISSAUGA STATE: A6 ZIP: L5J 4S7 BUSINESS PHONE: 4165833509 MAIL ADDRESS: STREET 1: C/O LI-CYCLE CORP. STREET 2: 10-2351 ROYAL WINDSOR DRIVE CITY: MISSISSAUGA STATE: A6 ZIP: L5J 4S7 4 1 form4.xml FORM 4 X0508 4 2024-05-23 0001828811 Li-Cycle Holdings Corp. LICY 0001521365 Glencore plc BAARERMATTSTRASSE 3 BAAR V8 CH-6340 SWITZERLAND true true 0001032383 GLENCORE INTERNATIONAL AG BAARERMATTSTRASSE 3 BAAR V8 CH-6340 SWITZERLAND true true 0002015686 Glencore Canada Corp 100 KING STREET WEST SUITE 6900 TORONTO A6 M5X 1E3 ONTARIO, CANADA true true 0001995318 Sinha Kunal C/O LI-CYCLE HOLDINGS CORP. 207 QUEENS QUAY WEST, SUITE 590 TORONTO A8 M5J 1A7 QUEBEC, CANADA true false Common Shares 2024-05-23 4 A 0 220855 A 280240 I See footnotes This form is being filed by each of the following reporting persons: Glencore plc, Glencore International AG, Glencore Canada Corporation and Kunal Sinha (collectively, the "Reporting Persons"). Glencore plc is the parent company of Glencore International AG. Glencore Canada Corporation is an indirect wholly-owned subsidiary of Glencore International AG. Mr. Sinha is the Global Head of Recycling at the Glencore group and is a director of the Issuer. Because of the relationships among the Reporting Persons, the Reporting Persons may be deemed to beneficially own the securities reported herein to the extent of their respective pecuniary interests. Each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Restricted stock units ("RSUs") awarded by the Issuer to Mr. Sinha for service as a non-employee director of the Issuer under its 2021 Incentive Award Plan. Each RSU represents the contingent right to receive one common share of the Issuer subject to time-vesting conditions in accordance with the underlying award and Mr. Sinha's continued service through such vesting date. Includes 220,855 RSUs. Mr. Sinha holds all the securities reported herein for the benefit of Glencore plc, Glencore International AG, and/or Glencore Canada Corporation (collectively, "Glencore"), and may, after vesting, if applicable, transfer the securities directly to Glencore or its subsidiaries. Exhibit 99.1 - (Joint Filer Information and Signatures) is hereby incorporated herein by reference. See Exhibit 99.1 2024-05-28 EX-99.1 2 ef20030060_ex99-1.htm EXHIBIT 99.1
Exhibit 99.1

Joint Filer Information
 
Name of Joint Filer:
Glencore plc
   
Address of Joint Filer:
Baarermattstrasse 3, CH-6340, Baar, Switzerland
   
Relationship of Joint Filer to Issuer:
10% Owner, Director
   
Issuer Name and Ticker or Trading Symbol:
Li-Cycle Holdings Corp. [LICY]
   
Date of Earliest Transaction Required to be Reported
(Month/Day/Year):
05/23/2024
   
Designated Filer:
Glencore plc

Signature:

GLENCORE PLC
 
 
 
/s/ John Burton
 
Name:
John Burton
 
Title:
Company Secretary
 

 
Dated: May 28, 2024
 

Joint Filer Information
(continued)
 
Name of Joint Filer:
Glencore International AG
   
Address of Joint Filer:
Baarermattstrasse 3, CH-6340, Baar, Switzerland
   
Relationship of Joint Filer to Issuer:
10% Owner, Director
   
Issuer Name and Ticker or Trading Symbol:
Li-Cycle Holdings Corp. [LICY]
   
Date of Earliest Transaction Required to be Reported
(Month/Day/Year):
05/23/2024
   
Designated Filer:
Glencore plc

Signature:

GLENCORE INTERNATIONAL AG
  
   
/s/ John Burton
  
Name:
John Burton
  
Title:
Director
  

 
/s/ Peter Friedli
  
Name:
Peter Friedli
  
Title:
Officer
  

 
Dated: May 28, 2024
  

2
Joint Filer Information
(continued)
 
Name of Joint Filer:
Glencore Canada Corporation
   
Address of Joint Filer:
100 King Street West, Suite 6900, Toronto, ON, M5X
1E3, Canada
   
Relationship of Joint Filer to Issuer:
10% Owner, Director
   
Issuer Name and Ticker or Trading Symbol:
Li-Cycle Holdings Corp. [LICY]
   
Date of Earliest Transaction Required to be Reported
(Month/Day/Year):
05/23/2024
   
Designated Filer:
Glencore plc

Signature:

GLENCORE CANADA CORPORATION
 

 
/s/ Peter Wright
 
Name: Peter Wright
 
Title: Director
 

 
Dated: May 28, 2024
 

3
Joint Filer Information
(continued)
 
Name of Joint Filer:
Kunal Sinha
   
Address of Joint Filer:
c/o Li-Cycle Holdings Corp.
 
207 Queens Quay West, Suite 590
 
Toronto, Ontario, M5J 1A7, Canada
   
Relationship of Joint Filer to Issuer:
Director
   
Issuer Name and Ticker or Trading Symbol:
Li-Cycle Holdings Corp. [LICY]
   
Date of Earliest Transaction Required to be Reported
(Month/Day/Year):
05/23/2024
   
Designated Filer:
Glencore plc

Signature:

/s/ Kunal Sinha
  
Name:
Kunal Sinha
  

 
Dated: May 28, 2024
  
 

4