Registration statement pursuant to section 12(b) or (g) of the securities exchange act of 1934




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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549
 

FORM 20-F
 

 

(Mark One)



REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) or (g) OF THE SECURITIES EXCHANGE ACT OF 1934

OR



ý

ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

For the fiscal year ended December 31, 2016
OR





TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

OR





SHELL COMPANY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

 

Commission file number: 001-37668

 
Ferroglobe PLC

(Exact name of Registrant as specified in its charter)

 
England and Wales

(Jurisdiction of incorporation or organization)
2nd Floor West Wing, Lansdowne House

57 Berkeley Square

London W1J 6ER, United Kingdom

+44-(0)203-129-2420

(Address of principal executive offices)
Nicholas Deeming, Chief Legal Officer and Corporate Secretary

2nd Floor West Wing, Lansdowne House

57 Berkeley Square

London W1J 6ER, United Kingdom

+44-(0)203-129-2420

(Name, Telephone, E-mail and/or Facsimile number and Address of Company Contact Person)
Securities registered or to be registered pursuant to Section 12(b) of the Act

Title of each class

Name of each exchange on which registered

Ordinary Shares (nominal value of $0.01)

 

NASDAQ Global Select Market

 

Securities registered or to be registered pursuant to Section 12(g) of the Act.

None

Securities for which there is a reporting obligation pursuant to Section 15(d) of the Act.

None

 

Indicate the number of outstanding shares of each of the issuer’s classes of capital or common stock as of the close of the period covered by the annual report.



Ordinary Shares (nominal value of $0.01)

171,838,153

 

Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act.  Yes ☐ No ý
If this report is an annual or transition report, indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934.  Yes ☐ No ý
Note—Checking the box above will not relieve any registrant required to file reports pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 from their obligations under those Sections.
Indicate by check mark whether the Registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the Registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.  Yes ý No ☐
Indicate by check mark whether the registrant has submitted electronically and posted on its corporate website, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§ 232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).* Yes ☐ No ☐
*    This requirement does not apply to the registrant in respect of this filing.
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, or a non-accelerated filer.  See definition of “accelerated filer and large accelerated filer” in Rule 12b-2 of the Exchange Act. (Check one):

 

Large accelerated filer ☒

Accelerated filer ☐

Non-accelerated filer ☐

 

Indicate by check mark which basis of accounting the registrant has used to prepare the financial statements included in this filing:




U.S. GAAP ☐

International Financial Reporting Standards as issued by the International Accounting Standards Board ý

Other ☐


If “Other” has been checked in response to the previous question, indicate by check mark which financial statement item the registrant has elected to follow.




Item 17 ☐ Item 18 ☐
If this is an annual report, indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).  Yes ☐ No ý

 
                                                                                                                                                                                        
Table of Contents

 

TABLE OF CONTENTS

 


CAUTIONARY STATEMENTS REGARDING FORWARD-LOOKING STATEMENTS

1

 

 

 

PART I

 

5

 

 

 

ITEM 1.

IDENTITY OF DIRECTORS, SENIOR MANAGEMENT AND ADVISERS

5

 

 

 

ITEM 2.

OFFER STATISTICS AND EXPECTED TIMETABLE

5

 

 

 

ITEM 3.

KEY INFORMATION

5

 

 

 

ITEM 4.

INFORMATION ON THE COMPANY

34

 

 

 

ITEM 4A.

UNRESOLVED STAFF COMMENTS

59

 

 

 

ITEM 5.

OPERATING AND FINANCIAL REVIEW AND PROSPECTS

59

 

 

 

ITEM 6.

DIRECTORS, SENIOR MANAGEMENT AND EMPLOYEES

81

 

 

 

ITEM 7.

MAJOR SHAREHOLDERS AND RELATED PARTY TRANSACTIONS

91

 

 

 

ITEM 8.

FINANCIAL INFORMATION

96

 

 

 

ITEM 9.

THE OFFER AND LISTING

100

 

 

 

ITEM 10.

ADDITIONAL INFORMATION

100

 

 

 

ITEM 11.

QUANTITATIVE AND QUALITATIVE DISCLOSURES ABOUT MARKET RISK

108

 

 

 

ITEM 12.

DESCRIPTION OF SECURITIES OTHER THAN EQUITY SECURITIES

112

 

 

 

PART II

 

113

 

 

 

ITEM 13.

DEFAULTS, DIVIDEND ARREARAGES AND DELINQUENCIES

113

 

 

 

ITEM 14.

MATERIAL MODIFICATIONS TO THE RIGHTS OF SECURITY HOLDERS AND USE OF PROCEEDS

113

 

 

 

ITEM 15.

CONTROLS AND PROCEDURES

113

 

 

 

ITEM 16.

[RESERVED]

115

 

 

 

ITEM 16A.

AUDIT COMMITTEE FINANCIAL EXPERT

115

 

 

 

ITEM 16B.

CODE OF ETHICS

115

 

 

 

ITEM 16C.

PRINCIPAL ACCOUNTANT FEES AND SERVICES

115

 

 

 

ITEM 16D.

EXEMPTIONS FROM THE LISTING STANDARDS FOR AUDIT COMMITTEES

116

 

 

 

ITEM 16E.

PURCHASES OF EQUITY SECURITIES BY THE ISSUER AND AFFILIATED PURCHASERS

116

 

 

 

ITEM 16F.

CHANGE IN REGISTRANT’S CERTIFYING ACCOUNTANT

116

 

 

 

ITEM 16G.

CORPORATE GOVERNANCE

117

 

 

 

ITEM 16H.

MINE SAFETY DISCLOSURE

117

 

 

 

PART III

 

118

 

 

 

ITEM 17.

FINANCIAL STATEMENTS

118

 

 

 

ITEM 18.

FINANCIAL STATEMENTS

118

 

 

 

ITEM 19.

EXHIBITS

118

 

 

 

 



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