CENX

SEC source: 0000949157-19-000042 · wf-form4_155355254753560.xml · nonDerivative · entry 1

Gary Jesse E · CIK 0001568817 · EVP, Gen. Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,001

F1 · shares: Represents shares transferred by the Reporting Person to a self-settled, revocable trust for estate planning purposes. The Reporting Person serves as the trustee of the trust.

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2017-2019, 2018-2020 and 2019-2021 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-19-000010 · wf-form4_154655088469630.xml · nonDerivative · entry 2

Harrison Michelle · CIK 0001365895 · Sr. VP Finance & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,087

F3 · shares: Represents time vesting performance share units granted to the Reporting Person in connection with the Issuer's 2019-2021 Long-Term Incentive Plan under Rule 16b-3(d), all of which will vest in the ordinary course on the last day of the Plan Period, December 31, 2021.

F4 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2017-2019, 2018-2020 and 2019-2021 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-19-000008 · wf-form4_154655062486377.xml · nonDerivative · entry 2

Hoerner John E. · CIK 0001529248 · EVP - N. American Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,865

F3 · shares: Represents time vesting performance share units granted to the Reporting Person in connection with the Issuer's 2019-2021 Long-Term Incentive Plan under Rule 16b-3(d), all of which will vest in the ordinary course on the last day of the Plan Period, December 31, 2021.

F4 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2017-2019, 2018-2020 and 2019-2021 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-19-000006 · wf-form4_154655010938093.xml · nonDerivative · entry 2

Gary Jesse E · CIK 0001568817 · EVP, Gen. Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,045

F3 · shares: Represents time vesting performance share units granted to the Reporting Person in connection with the Issuer's 2019-2021 Long-Term Incentive Plan under Rule 16b-3(d), all of which will vest in the ordinary course on the last day of the Plan Period, December 31, 2021.

F4 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2017-2019, 2018-2020 and 2019-2021 Long-Term Incentive Plans under Rule 16b-3(d).

SEC source: 0000949157-19-000004 · wf-form4_154654994647244.xml · nonDerivative · entry 1

Conti Craig C · CIK 0001747814 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,268

F1 · shares: Represents time vesting performance share units granted to the Reporting Person in connection with the Issuer's 2019-2021 Long-Term Incentive Plan under Rule 16b-3(d), all of which will vest in the ordinary course on the last day of the Plan Period, December 31, 2021.

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person (i) pursuant to Issuer's 2018-2020 and 2019-2021 Long-Term Incentive Plans under Rule 16b-3(d) and (ii) 11,190 time vesting performance share units, 5,776 of which vest in the ordinary course on February 15, 2019 and 5,776 of which vest in the ordinary course on February 15, 2020.

SEC source: 0000949157-19-000002 · wf-form4_154654980777997.xml · nonDerivative · entry 2

BLESS MICHAEL A · CIK 0001204903 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 436,012

F3 · shares: Represents time vesting performance share units granted to the Reporting Person in connection with the Issuer's 2019-2021 Long-Term Incentive Plan under Rule 16b-3(d), all of which will vest in the ordinary course on the last day of the Plan Period, December 31, 2021.

F4 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2017-2019, 2018-2020 and 2019-2021 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-19-000010 · wf-form4_154655088469630.xml · nonDerivative · entry 1

Harrison Michelle · CIK 0001365895 · Sr. VP Finance & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,918

F1 · shares: Reports shares withheld by the Issuer to satisfy tax obligations in connection with the vesting of performance share units granted to the Reporting Person.

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2017-2019 and 2018-2020 Long-Term Incentive Plans under Rule 16b-3(d).

SEC source: 0000949157-19-000008 · wf-form4_154655062486377.xml · nonDerivative · entry 1

Hoerner John E. · CIK 0001529248 · EVP - N. American Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,141

F1 · shares: Reports shares withheld by the Issuer to satisfy tax obligations in connection with the vesting of performance share units granted to the Reporting Person.

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2017-2019 and 2018-2020 Long-Term Incentive Plans under Rule 16b-3(d).

SEC source: 0000949157-19-000006 · wf-form4_154655010938093.xml · nonDerivative · entry 1

Gary Jesse E · CIK 0001568817 · EVP, Gen. Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,394

F1 · shares: Reports shares withheld by the Issuer to satisfy tax obligations in connection with the vesting of performance share units granted to the Reporting Person.

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2017-2019 and 2018-2020 Long-Term Incentive Plans under Rule 16b-3(d).

SEC source: 0000949157-19-000002 · wf-form4_154654980777997.xml · nonDerivative · entry 1

BLESS MICHAEL A · CIK 0001204903 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 345,415

F1 · shares: Reports shares withheld by the Issuer to satisfy tax obligations in connection with the vesting of performance share units granted to the Reporting Person.

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2017-2019 and 2018-2020 Long-Term Incentive Plans under Rule 16b-3(d).

SEC source: 0001144204-19-000260 · tv510267_4.xml · derivative · entry 2

Glencore AG · CIK 0001449539 · 10% owner

GLENCORE INTERNATIONAL AG · CIK 0001032383 · 10% owner

Glencore plc · CIK 0001521365 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,966.86

Underlying: Common Stock · 212,485 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F2 · price: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F2 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F2 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F3 · ownership.direct: The shares of Common Stock reported in Table I and the shares of Series A Convertible Preferred Stock reported in Table II are held directly by Glencore AG, a direct wholly-owned subsidiary of Glencore International AG, and indirectly by Glencore International AG and its parent, Glencore plc.

SEC source: 0001144204-19-000260 · tv510267_4.xml · nonDerivative · entry 1

Glencore AG · CIK 0001449539 · 10% owner

GLENCORE INTERNATIONAL AG · CIK 0001032383 · 10% owner

Glencore plc · CIK 0001521365 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,309,261

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Represents shares of Common Stock acquired upon conversion of 2,124.85 shares of Series A Convertible Preferred Stock on December 31, 2018.

F2 · price: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F3 · ownership.direct: The shares of Common Stock reported in Table I and the shares of Series A Convertible Preferred Stock reported in Table II are held directly by Glencore AG, a direct wholly-owned subsidiary of Glencore International AG, and indirectly by Glencore International AG and its parent, Glencore plc.

SEC source: 0000949157-18-000111 · wf-form4_154101648296966.xml · nonDerivative · entry 1

Berntzen Jarl · CIK 0001355035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,279

F1 · balance_after: Includes (i) 5,680 performance shares granted to the reporting person on June 19, 2018 pursuant to a Rule 16b-3(d) plan representing the annual grant of service based performance shares made to directors which vest on the one year anniversary of the grant date or earlier upon the occurrence of certain other events and (ii) 1,345 performance shares granted to the reporting person on June 19, 2018 pursuant to a Rule 16b-3(d) plan representing the reporting person's annual retainer which will vest in equal quarterly installments.

SEC source: 0000949157-18-000110 · wf-form4_154101631467980.xml · nonDerivative · entry 1

Michelmore Andrew G · CIK 0001493775 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,548

SEC source: 0001144204-18-051942 · tv503984_4.xml · derivative · entry 2

Glencore AG · CIK 0001449539 · 10% owner

GLENCORE INTERNATIONAL AG · CIK 0001032383 · 10% owner

Glencore plc · CIK 0001521365 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,091.71

Underlying: Common Stock · 3,096 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F2 · price: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F2 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F2 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F3 · ownership.direct: The shares of Common Stock reported in Table I and the shares of Series A Convertible Preferred Stock reported in Table II are held directly by Glencore AG, a direct wholly-owned subsidiary of Glencore International AG, and indirectly by Glencore International AG and its parent, Glencore plc.

SEC source: 0001144204-18-051942 · tv503984_4.xml · nonDerivative · entry 1

Glencore AG · CIK 0001449539 · 10% owner

GLENCORE INTERNATIONAL AG · CIK 0001032383 · 10% owner

Glencore plc · CIK 0001521365 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,096,776

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Represents shares of Common Stock acquired upon conversion of 30.96 shares of Series A Convertible Preferred Stock on September 30, 2018.

F2 · price: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F3 · ownership.direct: The shares of Common Stock reported in Table I and the shares of Series A Convertible Preferred Stock reported in Table II are held directly by Glencore AG, a direct wholly-owned subsidiary of Glencore International AG, and indirectly by Glencore International AG and its parent, Glencore plc.

SEC source: 0000949157-18-000096 · wf-form4_153739359378804.xml · nonDerivative · entry 2

Michelmore Andrew G · CIK 0001493775 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,548

F2 · shares: Represents shares withheld by the Issuer in connection with the vesting of performance share units made to the Reporting Person pursuant to a Rule 16b-3(d) plan to satisfy tax obligations at a net settlement price equal to the closing price on Nasdaq on September 17, 2018, the vesting date.

SEC source: 0000949157-18-000096 · wf-form4_153739359378804.xml · nonDerivative · entry 1

Michelmore Andrew G · CIK 0001493775 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,314

F1 · shares: Grant of service based performance shares units made to the Reporting Person on September 17, 2018, pursuant to Rule 16b-3(d) plan, all of which vest immediately.

SEC source: 0000949157-18-000074 · wf-form4_153307133987410.xml · nonDerivative · entry 1

Conti Craig C · CIK 0001747814 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,742

F1 · shares: Represents awards granted to the Reporting Person of (i) 11,190 time vesting performance share units under the Issuer's 2018-2020 Long-Term Incentive Plan under Rule 16b-3(d), all of which vest in the ordinary course on the last day of the Plan Period, December 31, 2020 and (ii) 11,552 time vesting performance share units, 5,776 of which vest in the ordinary course on February 15, 2019 and 5,776 of which vest in the ordinary course on February 15, 2020.

F1 · balance_after: Represents awards granted to the Reporting Person of (i) 11,190 time vesting performance share units under the Issuer's 2018-2020 Long-Term Incentive Plan under Rule 16b-3(d), all of which vest in the ordinary course on the last day of the Plan Period, December 31, 2020 and (ii) 11,552 time vesting performance share units, 5,776 of which vest in the ordinary course on February 15, 2019 and 5,776 of which vest in the ordinary course on February 15, 2020.

SEC source: 0001144204-18-036884 · tv497871_4.xml · derivative · entry 2

Glencore AG · CIK 0001449539 · 10% owner

GLENCORE INTERNATIONAL AG · CIK 0001032383 · 10% owner

Glencore plc · CIK 0001521365 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,122.67

Underlying: Common Stock · 10,824 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F2 · price: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F2 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F2 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F3 · ownership.direct: The shares of Common Stock reported in Table I and the shares of Series A Convertible Preferred Stock reported in Table II are held directly by Glencore AG, a direct wholly-owned subsidiary of Glencore International AG, and indirectly by Glencore International AG and its parent, Glencore plc.

SEC source: 0001144204-18-036884 · tv497871_4.xml · nonDerivative · entry 1

Glencore AG · CIK 0001449539 · 10% owner

GLENCORE INTERNATIONAL AG · CIK 0001032383 · 10% owner

Glencore plc · CIK 0001521365 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,093,680

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Represents shares of Common Stock acquired upon conversion of 108.24 shares of Series A Convertible Preferred Stock on June 30, 2018.

F2 · price: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F3 · ownership.direct: The shares of Common Stock reported in Table I and the shares of Series A Convertible Preferred Stock reported in Table II are held directly by Glencore AG, a direct wholly-owned subsidiary of Glencore International AG, and indirectly by Glencore International AG and its parent, Glencore plc.

SEC source: 0000949157-18-000068 · wf-form4_152952610550427.xml · nonDerivative · entry 1

Berntzen Jarl · CIK 0001355035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,279

F1 · shares: Includes (i) 5,680 performance shares granted to the reporting person on June 19, 2018 pursuant to a Rule 16b-3(d) plan representing the annual grant of service based performance shares made to directors which vest on the one year anniversary of the grant date or earlier upon the occurrence of certain other events and (ii) 2,691 performance shares granted to the reporting person on June 19, 2018 pursuant to a Rule 16b-3(d) plan representing the reporting person's annual retainer which will vest in four equal quarterly installments.

F2 · shares: Settlement of the performance shares has been deferred until the termination of the reporting person's service as a director of the Company.

F3 · balance_after: Includes deferred performance share units to the Reporting Person in connection with previous annual grants of Performance Shares made to the Reporting Person pursuant to a Rule 16b-3(d) plan.

SEC source: 0000949157-18-000067 · wf-form4_152952598435663.xml · nonDerivative · entry 1

Wilkinson Terence · CIK 0001522873 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,660

F1 · shares: Annual grant of service based performance shares units made to directors on June 19, 2018, pursuant to Rule 16b-3(d) plan, all of which vest immediately.

F2 · shares: Settlement of the performance shares has been deferred until the termination of the reporting person's service as a director of the Company.

F3 · balance_after: Includes deferred performance share units to the Reporting Person in connection with previous annual grants of Performance Shares made to the Reporting Person pursuant to a Rule 16b-3(d) plan.

SEC source: 0000949157-18-000066 · wf-form4_152952579706287.xml · nonDerivative · entry 1

GLASSER ERROL · CIK 0001203889 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,780

F1 · shares: Annual grant of service based performance shares units made to directors on June 19, 2018, (the "Grant Date") pursuant to Rule 16b-3(d) plan, all of which vests on the one year anniversary of the Grant Date or upon the earlier occurrence of certain other events.

F2 · shares: Settlement of the performance shares has been deferred until the termination of the reporting person's service as a director of the Company.

F3 · balance_after: Includes deferred performance share units to the Reporting Person in connection with previous annual grants of Performance Shares made to the Reporting Person pursuant to a Rule 16b-3(d) plan.

SEC source: 0000949157-18-000060 · wf-form4_152874752879575.xml · derivative · entry 4

Harrison Michelle · CIK 0001365895 · Sr. VP Finance & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,398 shares

Expires 2019-05-04

SEC source: 0000949157-18-000060 · wf-form4_152874752879575.xml · nonDerivative · entry 2

Harrison Michelle · CIK 0001365895 · Sr. VP Finance & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,004

F2 · price: This transaction was executed in multiple trades at prices ranging from $17.11 to $17.65. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F1 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2016-2018, 2017-2019 and 2018-2020 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-18-000060 · wf-form4_152874752879575.xml · nonDerivative · entry 1

Harrison Michelle · CIK 0001365895 · Sr. VP Finance & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,402

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2016-2018, 2017-2019 and 2018-2020 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-19-000012 · wf-form5_154966006525530.xml · nonDerivative · entry 2

Gary Jesse E · CIK 0001568817 · EVP, Gen. Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 33,076

F1 · shares: Represents shares transferred by the Reporting Person to a self-settled, revocable trust for estate planning purposes. The Reporting Person serves as the trustee of the trust.

F1 · balance_after: Represents shares transferred by the Reporting Person to a self-settled, revocable trust for estate planning purposes. The Reporting Person serves as the trustee of the trust.

SEC source: 0000949157-19-000012 · wf-form5_154966006525530.xml · nonDerivative · entry 1

Gary Jesse E · CIK 0001568817 · EVP, Gen. Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,318

F1 · shares: Represents shares transferred by the Reporting Person to a self-settled, revocable trust for estate planning purposes. The Reporting Person serves as the trustee of the trust.

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2017-2019, 2018-2020 and 2019-2021 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0001144204-18-020951 · tv491268_form4.xml · derivative · entry 2

GLENCORE INTERNATIONAL AG · CIK 0001032383 · 10% owner

Glencore plc · CIK 0001521365 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1

Underlying: Common Stock · 4,400,000 shares

Expires 2021-04-17

F1 · derivative.exercise_price: On July 2, 2010, Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, entered into a Master Terms and Conditions for Swap Transactions agreement (the "Swap Agreement") with Citigroup Global Markets Inc. ("Citi"), pursuant to which Glencore International and Citi may, from time to time, enter into cash-settled total return swaps (the "Swaps"). On September 14, 2017 Glencore International transferred all of its rights and obligations under the Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly-owned subsidiary of Glencore plc ("Glencore Canada"), which rights and obligations were transferred back to Glencore International on April 17, 2018.

F4 · derivative.exercise_price: Pursuant to the Swap Agreement, on March 11, 2011, Glencore International received economic exposure pursuant to a Swap (the "Second Swap") entered into between Glencore International and Citi with an initial expiration date of March 11, 2013 (subsequently extended to April 17, 2018 with automatic extensions thereafter for successive seven month periods, with a final expiration date of March 17, 2021, subject to termination at Glencore Canada's election on any automatic extension date). On April 17, 2018 the expiration date of the Second Swap was extended to April 17, 2021 and the automatic extension and related termination provisions were removed.

F5 · derivative.exercise_price: Upon expiration of the Second Swap, (i) Glencore International will be obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the 4,400,000 shares of common stock referenced by the Second Swap (the "Second Subject Shares") from the $16.6582 per share volume weighted average price calculated during the initial averaging period for the Second Swap (which ended on March 11, 2011) to the volume weighted average price of the Second Subject Shares during the final valuation period preceding the expiration of the term of the Second Swap, or (ii) Citi will be obligated to make a cash payment to Glencore International with respect to any appreciation in such volume weighted average price based on the above period.

F6 · derivative.exercise_price: Under the terms of the Swap Agreement, generally, Glencore International will be obligated to pay to Citi certain fees and commissions and Citi will be obligated to pay to Glencore International an amount in cash equal to any dividends that would have been paid by the issuer on the First Subject Shares and the Second Subject Shares.

F1 · kind: On July 2, 2010, Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, entered into a Master Terms and Conditions for Swap Transactions agreement (the "Swap Agreement") with Citigroup Global Markets Inc. ("Citi"), pursuant to which Glencore International and Citi may, from time to time, enter into cash-settled total return swaps (the "Swaps"). On September 14, 2017 Glencore International transferred all of its rights and obligations under the Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly-owned subsidiary of Glencore plc ("Glencore Canada"), which rights and obligations were transferred back to Glencore International on April 17, 2018.

F4 · kind: Pursuant to the Swap Agreement, on March 11, 2011, Glencore International received economic exposure pursuant to a Swap (the "Second Swap") entered into between Glencore International and Citi with an initial expiration date of March 11, 2013 (subsequently extended to April 17, 2018 with automatic extensions thereafter for successive seven month periods, with a final expiration date of March 17, 2021, subject to termination at Glencore Canada's election on any automatic extension date). On April 17, 2018 the expiration date of the Second Swap was extended to April 17, 2021 and the automatic extension and related termination provisions were removed.

F5 · kind: Upon expiration of the Second Swap, (i) Glencore International will be obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the 4,400,000 shares of common stock referenced by the Second Swap (the "Second Subject Shares") from the $16.6582 per share volume weighted average price calculated during the initial averaging period for the Second Swap (which ended on March 11, 2011) to the volume weighted average price of the Second Subject Shares during the final valuation period preceding the expiration of the term of the Second Swap, or (ii) Citi will be obligated to make a cash payment to Glencore International with respect to any appreciation in such volume weighted average price based on the above period.

F6 · kind: Under the terms of the Swap Agreement, generally, Glencore International will be obligated to pay to Citi certain fees and commissions and Citi will be obligated to pay to Glencore International an amount in cash equal to any dividends that would have been paid by the issuer on the First Subject Shares and the Second Subject Shares.

F4 · shares: Pursuant to the Swap Agreement, on March 11, 2011, Glencore International received economic exposure pursuant to a Swap (the "Second Swap") entered into between Glencore International and Citi with an initial expiration date of March 11, 2013 (subsequently extended to April 17, 2018 with automatic extensions thereafter for successive seven month periods, with a final expiration date of March 17, 2021, subject to termination at Glencore Canada's election on any automatic extension date). On April 17, 2018 the expiration date of the Second Swap was extended to April 17, 2021 and the automatic extension and related termination provisions were removed.

F5 · shares: Upon expiration of the Second Swap, (i) Glencore International will be obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the 4,400,000 shares of common stock referenced by the Second Swap (the "Second Subject Shares") from the $16.6582 per share volume weighted average price calculated during the initial averaging period for the Second Swap (which ended on March 11, 2011) to the volume weighted average price of the Second Subject Shares during the final valuation period preceding the expiration of the term of the Second Swap, or (ii) Citi will be obligated to make a cash payment to Glencore International with respect to any appreciation in such volume weighted average price based on the above period.

F6 · shares: Under the terms of the Swap Agreement, generally, Glencore International will be obligated to pay to Citi certain fees and commissions and Citi will be obligated to pay to Glencore International an amount in cash equal to any dividends that would have been paid by the issuer on the First Subject Shares and the Second Subject Shares.

F1 · price: On July 2, 2010, Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, entered into a Master Terms and Conditions for Swap Transactions agreement (the "Swap Agreement") with Citigroup Global Markets Inc. ("Citi"), pursuant to which Glencore International and Citi may, from time to time, enter into cash-settled total return swaps (the "Swaps"). On September 14, 2017 Glencore International transferred all of its rights and obligations under the Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly-owned subsidiary of Glencore plc ("Glencore Canada"), which rights and obligations were transferred back to Glencore International on April 17, 2018.

F4 · price: Pursuant to the Swap Agreement, on March 11, 2011, Glencore International received economic exposure pursuant to a Swap (the "Second Swap") entered into between Glencore International and Citi with an initial expiration date of March 11, 2013 (subsequently extended to April 17, 2018 with automatic extensions thereafter for successive seven month periods, with a final expiration date of March 17, 2021, subject to termination at Glencore Canada's election on any automatic extension date). On April 17, 2018 the expiration date of the Second Swap was extended to April 17, 2021 and the automatic extension and related termination provisions were removed.

F5 · price: Upon expiration of the Second Swap, (i) Glencore International will be obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the 4,400,000 shares of common stock referenced by the Second Swap (the "Second Subject Shares") from the $16.6582 per share volume weighted average price calculated during the initial averaging period for the Second Swap (which ended on March 11, 2011) to the volume weighted average price of the Second Subject Shares during the final valuation period preceding the expiration of the term of the Second Swap, or (ii) Citi will be obligated to make a cash payment to Glencore International with respect to any appreciation in such volume weighted average price based on the above period.

F6 · price: Under the terms of the Swap Agreement, generally, Glencore International will be obligated to pay to Citi certain fees and commissions and Citi will be obligated to pay to Glencore International an amount in cash equal to any dividends that would have been paid by the issuer on the First Subject Shares and the Second Subject Shares.

F4 · derivative.exercise_date: Pursuant to the Swap Agreement, on March 11, 2011, Glencore International received economic exposure pursuant to a Swap (the "Second Swap") entered into between Glencore International and Citi with an initial expiration date of March 11, 2013 (subsequently extended to April 17, 2018 with automatic extensions thereafter for successive seven month periods, with a final expiration date of March 17, 2021, subject to termination at Glencore Canada's election on any automatic extension date). On April 17, 2018 the expiration date of the Second Swap was extended to April 17, 2021 and the automatic extension and related termination provisions were removed.

F4 · derivative.expiration_date: Pursuant to the Swap Agreement, on March 11, 2011, Glencore International received economic exposure pursuant to a Swap (the "Second Swap") entered into between Glencore International and Citi with an initial expiration date of March 11, 2013 (subsequently extended to April 17, 2018 with automatic extensions thereafter for successive seven month periods, with a final expiration date of March 17, 2021, subject to termination at Glencore Canada's election on any automatic extension date). On April 17, 2018 the expiration date of the Second Swap was extended to April 17, 2021 and the automatic extension and related termination provisions were removed.

F1 · derivative.underlying_shares: On July 2, 2010, Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, entered into a Master Terms and Conditions for Swap Transactions agreement (the "Swap Agreement") with Citigroup Global Markets Inc. ("Citi"), pursuant to which Glencore International and Citi may, from time to time, enter into cash-settled total return swaps (the "Swaps"). On September 14, 2017 Glencore International transferred all of its rights and obligations under the Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly-owned subsidiary of Glencore plc ("Glencore Canada"), which rights and obligations were transferred back to Glencore International on April 17, 2018.

F4 · derivative.underlying_shares: Pursuant to the Swap Agreement, on March 11, 2011, Glencore International received economic exposure pursuant to a Swap (the "Second Swap") entered into between Glencore International and Citi with an initial expiration date of March 11, 2013 (subsequently extended to April 17, 2018 with automatic extensions thereafter for successive seven month periods, with a final expiration date of March 17, 2021, subject to termination at Glencore Canada's election on any automatic extension date). On April 17, 2018 the expiration date of the Second Swap was extended to April 17, 2021 and the automatic extension and related termination provisions were removed.

F5 · derivative.underlying_shares: Upon expiration of the Second Swap, (i) Glencore International will be obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the 4,400,000 shares of common stock referenced by the Second Swap (the "Second Subject Shares") from the $16.6582 per share volume weighted average price calculated during the initial averaging period for the Second Swap (which ended on March 11, 2011) to the volume weighted average price of the Second Subject Shares during the final valuation period preceding the expiration of the term of the Second Swap, or (ii) Citi will be obligated to make a cash payment to Glencore International with respect to any appreciation in such volume weighted average price based on the above period.

F6 · derivative.underlying_shares: Under the terms of the Swap Agreement, generally, Glencore International will be obligated to pay to Citi certain fees and commissions and Citi will be obligated to pay to Glencore International an amount in cash equal to any dividends that would have been paid by the issuer on the First Subject Shares and the Second Subject Shares.

F1 · balance_after: On July 2, 2010, Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, entered into a Master Terms and Conditions for Swap Transactions agreement (the "Swap Agreement") with Citigroup Global Markets Inc. ("Citi"), pursuant to which Glencore International and Citi may, from time to time, enter into cash-settled total return swaps (the "Swaps"). On September 14, 2017 Glencore International transferred all of its rights and obligations under the Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly-owned subsidiary of Glencore plc ("Glencore Canada"), which rights and obligations were transferred back to Glencore International on April 17, 2018.

F4 · balance_after: Pursuant to the Swap Agreement, on March 11, 2011, Glencore International received economic exposure pursuant to a Swap (the "Second Swap") entered into between Glencore International and Citi with an initial expiration date of March 11, 2013 (subsequently extended to April 17, 2018 with automatic extensions thereafter for successive seven month periods, with a final expiration date of March 17, 2021, subject to termination at Glencore Canada's election on any automatic extension date). On April 17, 2018 the expiration date of the Second Swap was extended to April 17, 2021 and the automatic extension and related termination provisions were removed.

F5 · balance_after: Upon expiration of the Second Swap, (i) Glencore International will be obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the 4,400,000 shares of common stock referenced by the Second Swap (the "Second Subject Shares") from the $16.6582 per share volume weighted average price calculated during the initial averaging period for the Second Swap (which ended on March 11, 2011) to the volume weighted average price of the Second Subject Shares during the final valuation period preceding the expiration of the term of the Second Swap, or (ii) Citi will be obligated to make a cash payment to Glencore International with respect to any appreciation in such volume weighted average price based on the above period.

F6 · balance_after: Under the terms of the Swap Agreement, generally, Glencore International will be obligated to pay to Citi certain fees and commissions and Citi will be obligated to pay to Glencore International an amount in cash equal to any dividends that would have been paid by the issuer on the First Subject Shares and the Second Subject Shares.

F1 · ownership.direct: On July 2, 2010, Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, entered into a Master Terms and Conditions for Swap Transactions agreement (the "Swap Agreement") with Citigroup Global Markets Inc. ("Citi"), pursuant to which Glencore International and Citi may, from time to time, enter into cash-settled total return swaps (the "Swaps"). On September 14, 2017 Glencore International transferred all of its rights and obligations under the Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly-owned subsidiary of Glencore plc ("Glencore Canada"), which rights and obligations were transferred back to Glencore International on April 17, 2018.

F7 · ownership.direct: The cash settled total return swaps reported in Table II are held directly by Glencore International, and may be deemed to be beneficially owned indirectly by Glencore plc. The cash settled total return swaps do not give the reporting persons direct or indirect voting, investment or dispositive control over any securities of the issuer, and accordingly, the reporting persons disclaim any beneficial ownership in the First Subject Shares and the Second Subject Shares.

SEC source: 0001144204-18-020951 · tv491268_form4.xml · derivative · entry 1

GLENCORE INTERNATIONAL AG · CIK 0001032383 · 10% owner

Glencore plc · CIK 0001521365 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1

Underlying: Common Stock · 4,729,302 shares

Expires 2021-04-17

F1 · derivative.exercise_price: On July 2, 2010, Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, entered into a Master Terms and Conditions for Swap Transactions agreement (the "Swap Agreement") with Citigroup Global Markets Inc. ("Citi"), pursuant to which Glencore International and Citi may, from time to time, enter into cash-settled total return swaps (the "Swaps"). On September 14, 2017 Glencore International transferred all of its rights and obligations under the Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly-owned subsidiary of Glencore plc ("Glencore Canada"), which rights and obligations were transferred back to Glencore International on April 17, 2018.

F2 · derivative.exercise_price: Pursuant to the Swap Agreement, on September 15, 2010, Glencore International received economic exposure pursuant to a Swap (the "First Swap") entered into between Glencore International and Citi with an initial expiration date of September 17, 2012 (subsequently extended to April 17, 2018 with automatic extensions thereafter for successive seven month periods, with a final expiration date of March 17, 2021, subject to termination at Glencore Canada's election on any automatic extension date). On April 17, 2018 the expiration date of the First Swap was extended to April 17, 2021 and the automatic extension and related termination provisions were removed.

F3 · derivative.exercise_price: Upon expiration of the First Swap, (i) Glencore International will be obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the 4,729,302 shares of common stock referenced by the First Swap (the "First Subject Shares") from the $9.719270 per share volume weighted average price calculated during the initial averaging period for the First Swap (which ended on September 15, 2010) to the volume weighted average price of the First Subject Shares during the final valuation period preceding the expiration of the term of the First Swap, or (ii) Citi will be obligated to make a cash payment to Glencore International with respect to any appreciation in such volume weighted average price based on the above period.

F1 · kind: On July 2, 2010, Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, entered into a Master Terms and Conditions for Swap Transactions agreement (the "Swap Agreement") with Citigroup Global Markets Inc. ("Citi"), pursuant to which Glencore International and Citi may, from time to time, enter into cash-settled total return swaps (the "Swaps"). On September 14, 2017 Glencore International transferred all of its rights and obligations under the Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly-owned subsidiary of Glencore plc ("Glencore Canada"), which rights and obligations were transferred back to Glencore International on April 17, 2018.

F2 · kind: Pursuant to the Swap Agreement, on September 15, 2010, Glencore International received economic exposure pursuant to a Swap (the "First Swap") entered into between Glencore International and Citi with an initial expiration date of September 17, 2012 (subsequently extended to April 17, 2018 with automatic extensions thereafter for successive seven month periods, with a final expiration date of March 17, 2021, subject to termination at Glencore Canada's election on any automatic extension date). On April 17, 2018 the expiration date of the First Swap was extended to April 17, 2021 and the automatic extension and related termination provisions were removed.

F3 · kind: Upon expiration of the First Swap, (i) Glencore International will be obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the 4,729,302 shares of common stock referenced by the First Swap (the "First Subject Shares") from the $9.719270 per share volume weighted average price calculated during the initial averaging period for the First Swap (which ended on September 15, 2010) to the volume weighted average price of the First Subject Shares during the final valuation period preceding the expiration of the term of the First Swap, or (ii) Citi will be obligated to make a cash payment to Glencore International with respect to any appreciation in such volume weighted average price based on the above period.

F2 · shares: Pursuant to the Swap Agreement, on September 15, 2010, Glencore International received economic exposure pursuant to a Swap (the "First Swap") entered into between Glencore International and Citi with an initial expiration date of September 17, 2012 (subsequently extended to April 17, 2018 with automatic extensions thereafter for successive seven month periods, with a final expiration date of March 17, 2021, subject to termination at Glencore Canada's election on any automatic extension date). On April 17, 2018 the expiration date of the First Swap was extended to April 17, 2021 and the automatic extension and related termination provisions were removed.

F3 · shares: Upon expiration of the First Swap, (i) Glencore International will be obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the 4,729,302 shares of common stock referenced by the First Swap (the "First Subject Shares") from the $9.719270 per share volume weighted average price calculated during the initial averaging period for the First Swap (which ended on September 15, 2010) to the volume weighted average price of the First Subject Shares during the final valuation period preceding the expiration of the term of the First Swap, or (ii) Citi will be obligated to make a cash payment to Glencore International with respect to any appreciation in such volume weighted average price based on the above period.

F1 · price: On July 2, 2010, Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, entered into a Master Terms and Conditions for Swap Transactions agreement (the "Swap Agreement") with Citigroup Global Markets Inc. ("Citi"), pursuant to which Glencore International and Citi may, from time to time, enter into cash-settled total return swaps (the "Swaps"). On September 14, 2017 Glencore International transferred all of its rights and obligations under the Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly-owned subsidiary of Glencore plc ("Glencore Canada"), which rights and obligations were transferred back to Glencore International on April 17, 2018.

F2 · price: Pursuant to the Swap Agreement, on September 15, 2010, Glencore International received economic exposure pursuant to a Swap (the "First Swap") entered into between Glencore International and Citi with an initial expiration date of September 17, 2012 (subsequently extended to April 17, 2018 with automatic extensions thereafter for successive seven month periods, with a final expiration date of March 17, 2021, subject to termination at Glencore Canada's election on any automatic extension date). On April 17, 2018 the expiration date of the First Swap was extended to April 17, 2021 and the automatic extension and related termination provisions were removed.

F3 · price: Upon expiration of the First Swap, (i) Glencore International will be obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the 4,729,302 shares of common stock referenced by the First Swap (the "First Subject Shares") from the $9.719270 per share volume weighted average price calculated during the initial averaging period for the First Swap (which ended on September 15, 2010) to the volume weighted average price of the First Subject Shares during the final valuation period preceding the expiration of the term of the First Swap, or (ii) Citi will be obligated to make a cash payment to Glencore International with respect to any appreciation in such volume weighted average price based on the above period.

F2 · derivative.exercise_date: Pursuant to the Swap Agreement, on September 15, 2010, Glencore International received economic exposure pursuant to a Swap (the "First Swap") entered into between Glencore International and Citi with an initial expiration date of September 17, 2012 (subsequently extended to April 17, 2018 with automatic extensions thereafter for successive seven month periods, with a final expiration date of March 17, 2021, subject to termination at Glencore Canada's election on any automatic extension date). On April 17, 2018 the expiration date of the First Swap was extended to April 17, 2021 and the automatic extension and related termination provisions were removed.

F2 · derivative.expiration_date: Pursuant to the Swap Agreement, on September 15, 2010, Glencore International received economic exposure pursuant to a Swap (the "First Swap") entered into between Glencore International and Citi with an initial expiration date of September 17, 2012 (subsequently extended to April 17, 2018 with automatic extensions thereafter for successive seven month periods, with a final expiration date of March 17, 2021, subject to termination at Glencore Canada's election on any automatic extension date). On April 17, 2018 the expiration date of the First Swap was extended to April 17, 2021 and the automatic extension and related termination provisions were removed.

F1 · derivative.underlying_shares: On July 2, 2010, Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, entered into a Master Terms and Conditions for Swap Transactions agreement (the "Swap Agreement") with Citigroup Global Markets Inc. ("Citi"), pursuant to which Glencore International and Citi may, from time to time, enter into cash-settled total return swaps (the "Swaps"). On September 14, 2017 Glencore International transferred all of its rights and obligations under the Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly-owned subsidiary of Glencore plc ("Glencore Canada"), which rights and obligations were transferred back to Glencore International on April 17, 2018.

F2 · derivative.underlying_shares: Pursuant to the Swap Agreement, on September 15, 2010, Glencore International received economic exposure pursuant to a Swap (the "First Swap") entered into between Glencore International and Citi with an initial expiration date of September 17, 2012 (subsequently extended to April 17, 2018 with automatic extensions thereafter for successive seven month periods, with a final expiration date of March 17, 2021, subject to termination at Glencore Canada's election on any automatic extension date). On April 17, 2018 the expiration date of the First Swap was extended to April 17, 2021 and the automatic extension and related termination provisions were removed.

F3 · derivative.underlying_shares: Upon expiration of the First Swap, (i) Glencore International will be obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the 4,729,302 shares of common stock referenced by the First Swap (the "First Subject Shares") from the $9.719270 per share volume weighted average price calculated during the initial averaging period for the First Swap (which ended on September 15, 2010) to the volume weighted average price of the First Subject Shares during the final valuation period preceding the expiration of the term of the First Swap, or (ii) Citi will be obligated to make a cash payment to Glencore International with respect to any appreciation in such volume weighted average price based on the above period.

F1 · balance_after: On July 2, 2010, Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, entered into a Master Terms and Conditions for Swap Transactions agreement (the "Swap Agreement") with Citigroup Global Markets Inc. ("Citi"), pursuant to which Glencore International and Citi may, from time to time, enter into cash-settled total return swaps (the "Swaps"). On September 14, 2017 Glencore International transferred all of its rights and obligations under the Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly-owned subsidiary of Glencore plc ("Glencore Canada"), which rights and obligations were transferred back to Glencore International on April 17, 2018.

F2 · balance_after: Pursuant to the Swap Agreement, on September 15, 2010, Glencore International received economic exposure pursuant to a Swap (the "First Swap") entered into between Glencore International and Citi with an initial expiration date of September 17, 2012 (subsequently extended to April 17, 2018 with automatic extensions thereafter for successive seven month periods, with a final expiration date of March 17, 2021, subject to termination at Glencore Canada's election on any automatic extension date). On April 17, 2018 the expiration date of the First Swap was extended to April 17, 2021 and the automatic extension and related termination provisions were removed.

F3 · balance_after: Upon expiration of the First Swap, (i) Glencore International will be obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the 4,729,302 shares of common stock referenced by the First Swap (the "First Subject Shares") from the $9.719270 per share volume weighted average price calculated during the initial averaging period for the First Swap (which ended on September 15, 2010) to the volume weighted average price of the First Subject Shares during the final valuation period preceding the expiration of the term of the First Swap, or (ii) Citi will be obligated to make a cash payment to Glencore International with respect to any appreciation in such volume weighted average price based on the above period.

F1 · ownership.direct: On July 2, 2010, Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, entered into a Master Terms and Conditions for Swap Transactions agreement (the "Swap Agreement") with Citigroup Global Markets Inc. ("Citi"), pursuant to which Glencore International and Citi may, from time to time, enter into cash-settled total return swaps (the "Swaps"). On September 14, 2017 Glencore International transferred all of its rights and obligations under the Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly-owned subsidiary of Glencore plc ("Glencore Canada"), which rights and obligations were transferred back to Glencore International on April 17, 2018.

F7 · ownership.direct: The cash settled total return swaps reported in Table II are held directly by Glencore International, and may be deemed to be beneficially owned indirectly by Glencore plc. The cash settled total return swaps do not give the reporting persons direct or indirect voting, investment or dispositive control over any securities of the issuer, and accordingly, the reporting persons disclaim any beneficial ownership in the First Subject Shares and the Second Subject Shares.

SEC source: 0001144204-18-018834 · tv490221_4.xml · derivative · entry 2

Glencore AG · CIK 0001449539 · 10% owner

GLENCORE INTERNATIONAL AG · CIK 0001032383 · 10% owner

Glencore plc · CIK 0001521365 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,230.91

Underlying: Common Stock · 13,343 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F2 · price: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F2 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F2 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F3 · ownership.direct: The shares of Common Stock reported in Table I and the shares of Series A Convertible Preferred Stock reported in Table II are held directly by Glencore AG, a direct wholly-owned subsidiary of Glencore International AG, and indirectly by Glencore International AG and its parent, Glencore plc.

SEC source: 0001144204-18-018834 · tv490221_4.xml · nonDerivative · entry 1

Glencore AG · CIK 0001449539 · 10% owner

GLENCORE INTERNATIONAL AG · CIK 0001032383 · 10% owner

Glencore plc · CIK 0001521365 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,082,856

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Represents shares of Common Stock acquired upon conversion of 133.43 shares of Series A Convertible Preferred Stock on March 31, 2018.

F2 · price: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F3 · ownership.direct: The shares of Common Stock reported in Table I and the shares of Series A Convertible Preferred Stock reported in Table II are held directly by Glencore AG, a direct wholly-owned subsidiary of Glencore International AG, and indirectly by Glencore International AG and its parent, Glencore plc.

SEC source: 0000949157-18-000038 · wf-form4_152218315923997.xml · nonDerivative · entry 1

Heyroth Stephen K. · CIK 0001638425 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,567

F1 · shares: Represents award of time vesting performance share units granted to the Reporting Person in connection with the Issuer's 2018-2020 Long-Term Incentive Plan under Rule 16b-3(d), all of which will vest in the ordinary course on the last day of the Plan Period, December 31, 2020.

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2016-2018, 2017-2019 and 2018-2020 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-18-000037 · wf-form4_152218309130167.xml · nonDerivative · entry 1

Harrison Michelle · CIK 0001365895 · Sr. VP Finance & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,004

F1 · shares: Represents award of time vesting performance share units granted to the Reporting Person in connection with the Issuer's 2018-2020 Long-Term Incentive Plan under Rule 16b-3(d), all of which will vest in the ordinary course on the last day of the Plan Period, December 31, 2020.

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2016-2018, 2017-2019 and 2018-2020 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-18-000036 · wf-form4_152218302545133.xml · nonDerivative · entry 1

Hoerner John E. · CIK 0001529248 · EVP - N. American Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,999

F1 · shares: Represents award of time vesting performance share units granted to the Reporting Person in connection with the Issuer's 2018-2020 Long-Term Incentive Plan under Rule 16b-3(d), all of which will vest in the ordinary course on the last day of the Plan Period, December 31, 2020.

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2016-2018, 2017-2019 and 2018-2020 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-18-000035 · wf-form4_152218292200408.xml · nonDerivative · entry 1

Gary Jesse E · CIK 0001568817 · EVP, Gen. Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,094

F1 · shares: Represents award of time vesting performance share units granted to the Reporting Person in connection with the Issuer's 2018-2020 Long-Term Incentive Plan under Rule 16b-3(d), all of which will vest in the ordinary course on the last day of the Plan Period, December 31, 2020.

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2016-2018, 2017-2019 and 2018-2020 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-18-000034 · wf-form4_152218284403502.xml · nonDerivative · entry 1

BLESS MICHAEL A · CIK 0001204903 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 379,873

F1 · shares: Represents award of time vesting performance share units granted to the Reporting Person in connection with the Issuer's 2018-2020 Long-Term Incentive Plan under Rule 16b-3(d), all of which will vest in the ordinary course on the last day of the Plan Period, December 31, 2020.

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2016-2018, 2017-2019 and 2018-2020 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-18-000028 · wf-form4_152122782643031.xml · nonDerivative · entry 1

BLESS MICHAEL A · CIK 0001204903 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 370,207

F1 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2016-2018, 2017-2019 and 2018-2020 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-18-000026 · wf-form4_152122758214072.xml · nonDerivative · entry 1

Hoerner John E. · CIK 0001529248 · EVP - N. American Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,268

F1 · shares: This transaction was executed in multiple trades at prices. The price reported above reflects the weighted average sale price ranging from $21.20 to $21.22. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2016-2018, 2017-2019 and 2018-2020 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-18-000010 · wf-form4_151500956225165.xml · nonDerivative · entry 2

Heyroth Stephen K. · CIK 0001638425 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,668

F3 · shares: Represents time vesting performance share units granted to the Reporting Person in connection with the Issuer's 2018-2020 Long-Term Incentive Plan under Rule 16b-3(d), all of which will vest in the ordinary course on the last day of the Plan Period, December 31, 2020.

F4 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2016-2018, 2017-2019 and 2018-2020 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-18-000008 · wf-form4_151500930468761.xml · nonDerivative · entry 2

Harrison Michelle · CIK 0001365895 · Sr. VP Finance & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,213

F3 · shares: Represents time vesting performance share units granted to the Reporting Person in connection with the Issuer's 2018-2020 Long-Term Incentive Plan under Rule 16b-3(d), all of which will vest in the ordinary course on the last day of the Plan Period, December 31, 2020.

F4 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2016-2018, 2017-2019 and 2018-2020 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-18-000006 · wf-form4_151500916422327.xml · nonDerivative · entry 2

Hoerner John E. · CIK 0001529248 · EVP - N. American Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,268

F3 · shares: Represents time vesting performance share units granted to the Reporting Person in connection with the Issuer's 2018-2020 Long-Term Incentive Plan under Rule 16b-3(d), all of which will vest in the ordinary course on the last day of the Plan Period, December 31, 2020.

F4 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2016-2018, 2017-2019 and 2018-2020 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-18-000004 · wf-form4_151500802646982.xml · nonDerivative · entry 2

Gary Jesse E · CIK 0001568817 · EVP, Gen. Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,463

F3 · shares: Represents time vesting performance share units granted to the Reporting Person in connection with the Issuer's 2018-2020 Long-Term Incentive Plan under Rule 16b-3(d), all of which will vest in the ordinary course on the last day of the Plan Period, December 31, 2020.

F4 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2016-2018, 2017-2019 and 2018-2020 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-18-000002 · wf-form4_151500788855040.xml · nonDerivative · entry 2

BLESS MICHAEL A · CIK 0001204903 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 371,307

F3 · shares: Represents time vesting performance share units granted to the Reporting Person in connection with the Issuer's 2018-2020 Long-Term Incentive Plan under Rule 16b-3(d), all of which will vest in the ordinary course on the last day of the Plan Period, December 31, 2020.

F4 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2016-2018, 2017-2019 and 2018-2020 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-18-000010 · wf-form4_151500956225165.xml · nonDerivative · entry 1

Heyroth Stephen K. · CIK 0001638425 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,234

F1 · shares: Reports shares withheld by the Issuer to satisfy tax obligations in connection with the vesting of performance share units granted to the Reporting Person.

F2 · balance_after: Includes unvested time vesting performance share units granted to the Reporting Person pursuant to Issuer's 2016-2018 and 2017-2019 Long-Term Incentive Plans under Rule 16b-3(d).

SEC source: 0000949157-18-000008 · wf-form4_151500930468761.xml · nonDerivative · entry 1

Harrison Michelle · CIK 0001365895 · Sr. VP Finance & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,254

F1 · shares: Reports shares withheld by the Issuer to satisfy tax obligations in connection with the vesting of performance share units granted to the Reporting Person.

F2 · balance_after: Includes unvested time vesting performance share units granted to the Reporting Person pursuant to Issuer's 2016-2018 and 2017-2019 Long-Term Incentive Plans under Rule 16b-3(d).

SEC source: 0000949157-18-000006 · wf-form4_151500916422327.xml · nonDerivative · entry 1

Hoerner John E. · CIK 0001529248 · EVP - N. American Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,843

F1 · shares: Reports shares withheld by the Issuer to satisfy tax obligations in connection with the vesting of performance share units granted to the Reporting Person.

F2 · balance_after: Includes unvested time vesting performance share units granted to the Reporting Person pursuant to Issuer's 2016-2018 and 2017-2019 Long-Term Incentive Plans under Rule 16b-3(d).

SEC source: 0000949157-18-000004 · wf-form4_151500802646982.xml · nonDerivative · entry 1

Gary Jesse E · CIK 0001568817 · EVP, Gen. Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,841

F1 · shares: Reports shares withheld by the Issuer to satisfy tax obligations in connection with the vesting of performance share units granted to the Reporting Person.

F2 · balance_after: Includes unvested time vesting performance share units granted to the Reporting Person pursuant to Issuer's 2016-2018 and 2017-2019 Long-Term Incentive Plans under Rule 16b-3(d).

SEC source: 0000949157-18-000002 · wf-form4_151500788855040.xml · nonDerivative · entry 1

BLESS MICHAEL A · CIK 0001204903 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 330,667

F1 · shares: Reports shares withheld by the Issuer to satisfy tax obligations in connection with the vesting of performance share units granted to the Reporting Person.

F2 · balance_after: Includes unvested time vesting performance share units granted to the Reporting Person pursuant to Issuer's 2016-2018 and 2017-2019 Long-Term Incentive Plans under Rule 16b-3(d).