Glencore plc

SEC source: 0001104659-21-088084 · tm2121229d1_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: 11,178,573

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 177.68 shares of Series A Convertible Preferred Stock on June 30, 2021.

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: 0001104659-21-064090 · tm2115830d1_4.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: 0

Underlying: Common Stock · 4,400,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, previously received economic exposure with respect to 4,400,000 shares of common stock pursuant to a cash-settled total return swap (the "Swap") entered into between Glencore International and Citigroup Global Markets Inc. (together with its successors in interest under the Swap, "Citi"), with an initial expiration date of March 11, 2013 (subsequently extended to April 17, 2021).

F2 · derivative.exercise_price: Upon expiration of the Swap, (i) Glencore International is obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the common stock from the $16.6582 per share volume weighted average price calculated during the initial averaging period for the Swap in March 2011 to the volume weighted average price of the common stock during the final valuation period at the expiration of the term of the Swap, or (ii) Citi is obligated to make a cash payment to Glencore International with respect to any appreciation in such volume weighted average price during the same period.

F4 · derivative.exercise_price: On April 17, 2021 the Swap expired in accordance with its terms and a net settlement amount of $4,039,728 (equal to the difference between (i) a final valuation amount based on the volume weighted average price of the common stock during a final valuation period ending on May 7, 2021, and (ii) the original valuation amount equal to the per share initial reference price of $16.6582 multiplied by the 4,400,000 shares referenced by the Swap), became due from Glencore International to Citi.

F4 · date: On April 17, 2021 the Swap expired in accordance with its terms and a net settlement amount of $4,039,728 (equal to the difference between (i) a final valuation amount based on the volume weighted average price of the common stock during a final valuation period ending on May 7, 2021, and (ii) the original valuation amount equal to the per share initial reference price of $16.6582 multiplied by the 4,400,000 shares referenced by the Swap), became due from Glencore International to Citi.

F1 · price: Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, previously received economic exposure with respect to 4,400,000 shares of common stock pursuant to a cash-settled total return swap (the "Swap") entered into between Glencore International and Citigroup Global Markets Inc. (together with its successors in interest under the Swap, "Citi"), with an initial expiration date of March 11, 2013 (subsequently extended to April 17, 2021).

F2 · price: Upon expiration of the Swap, (i) Glencore International is obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the common stock from the $16.6582 per share volume weighted average price calculated during the initial averaging period for the Swap in March 2011 to the volume weighted average price of the common stock during the final valuation period at the expiration of the term of the Swap, or (ii) Citi is obligated to make a cash payment to Glencore International with respect to any appreciation in such volume weighted average price during the same period.

F3 · price: Under the terms of the Swap, generally, Glencore International was obligated to pay to Citi certain fees and commissions and Citi was obligated to pay to Glencore International an amount in cash equal to any dividends that would have been paid by the issuer on the number of shares referenced by the Swap.

F4 · price: On April 17, 2021 the Swap expired in accordance with its terms and a net settlement amount of $4,039,728 (equal to the difference between (i) a final valuation amount based on the volume weighted average price of the common stock during a final valuation period ending on May 7, 2021, and (ii) the original valuation amount equal to the per share initial reference price of $16.6582 multiplied by the 4,400,000 shares referenced by the Swap), became due from Glencore International to Citi.

F1 · derivative.exercise_date: Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, previously received economic exposure with respect to 4,400,000 shares of common stock pursuant to a cash-settled total return swap (the "Swap") entered into between Glencore International and Citigroup Global Markets Inc. (together with its successors in interest under the Swap, "Citi"), with an initial expiration date of March 11, 2013 (subsequently extended to April 17, 2021).

F2 · derivative.exercise_date: Upon expiration of the Swap, (i) Glencore International is obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the common stock from the $16.6582 per share volume weighted average price calculated during the initial averaging period for the Swap in March 2011 to the volume weighted average price of the common stock during the final valuation period at the expiration of the term of the Swap, or (ii) Citi is obligated to make a cash payment to Glencore International with respect to any appreciation in such volume weighted average price during the same period.

F4 · derivative.exercise_date: On April 17, 2021 the Swap expired in accordance with its terms and a net settlement amount of $4,039,728 (equal to the difference between (i) a final valuation amount based on the volume weighted average price of the common stock during a final valuation period ending on May 7, 2021, and (ii) the original valuation amount equal to the per share initial reference price of $16.6582 multiplied by the 4,400,000 shares referenced by the Swap), became due from Glencore International to Citi.

F1 · derivative.expiration_date: Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, previously received economic exposure with respect to 4,400,000 shares of common stock pursuant to a cash-settled total return swap (the "Swap") entered into between Glencore International and Citigroup Global Markets Inc. (together with its successors in interest under the Swap, "Citi"), with an initial expiration date of March 11, 2013 (subsequently extended to April 17, 2021).

F2 · derivative.expiration_date: Upon expiration of the Swap, (i) Glencore International is obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the common stock from the $16.6582 per share volume weighted average price calculated during the initial averaging period for the Swap in March 2011 to the volume weighted average price of the common stock during the final valuation period at the expiration of the term of the Swap, or (ii) Citi is obligated to make a cash payment to Glencore International with respect to any appreciation in such volume weighted average price during the same period.

F4 · derivative.expiration_date: On April 17, 2021 the Swap expired in accordance with its terms and a net settlement amount of $4,039,728 (equal to the difference between (i) a final valuation amount based on the volume weighted average price of the common stock during a final valuation period ending on May 7, 2021, and (ii) the original valuation amount equal to the per share initial reference price of $16.6582 multiplied by the 4,400,000 shares referenced by the Swap), became due from Glencore International to Citi.

F1 · derivative.underlying_shares: Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, previously received economic exposure with respect to 4,400,000 shares of common stock pursuant to a cash-settled total return swap (the "Swap") entered into between Glencore International and Citigroup Global Markets Inc. (together with its successors in interest under the Swap, "Citi"), with an initial expiration date of March 11, 2013 (subsequently extended to April 17, 2021).

F2 · derivative.underlying_shares: Upon expiration of the Swap, (i) Glencore International is obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the common stock from the $16.6582 per share volume weighted average price calculated during the initial averaging period for the Swap in March 2011 to the volume weighted average price of the common stock during the final valuation period at the expiration of the term of the Swap, or (ii) Citi is obligated to make a cash payment to Glencore International with respect to any appreciation in such volume weighted average price during the same period.

F1 · balance_after: Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, previously received economic exposure with respect to 4,400,000 shares of common stock pursuant to a cash-settled total return swap (the "Swap") entered into between Glencore International and Citigroup Global Markets Inc. (together with its successors in interest under the Swap, "Citi"), with an initial expiration date of March 11, 2013 (subsequently extended to April 17, 2021).

F2 · balance_after: Upon expiration of the Swap, (i) Glencore International is obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the common stock from the $16.6582 per share volume weighted average price calculated during the initial averaging period for the Swap in March 2011 to the volume weighted average price of the common stock during the final valuation period at the expiration of the term of the Swap, or (ii) Citi is obligated to make a cash payment to Glencore International with respect to any appreciation in such volume weighted average price during the same period.

F4 · balance_after: On April 17, 2021 the Swap expired in accordance with its terms and a net settlement amount of $4,039,728 (equal to the difference between (i) a final valuation amount based on the volume weighted average price of the common stock during a final valuation period ending on May 7, 2021, and (ii) the original valuation amount equal to the per share initial reference price of $16.6582 multiplied by the 4,400,000 shares referenced by the Swap), became due from Glencore International to Citi.

F1 · ownership.direct: Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, previously received economic exposure with respect to 4,400,000 shares of common stock pursuant to a cash-settled total return swap (the "Swap") entered into between Glencore International and Citigroup Global Markets Inc. (together with its successors in interest under the Swap, "Citi"), with an initial expiration date of March 11, 2013 (subsequently extended to April 17, 2021).

F5 · ownership.direct: The Swap was held directly by Glencore International, and may be deemed to have been beneficially owned indirectly by Glencore plc. The Swap did 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 shares of common stock referenced by the swaps.

SEC source: 0001104659-21-045284 · tm2111862d1_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: 63,451.42

Underlying: Common Stock · 13,697 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: 0001104659-21-045284 · tm2111862d1_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: 11,160,805

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 136.97 shares of Series A Convertible Preferred Stock on March 31, 2021.

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: 0001104659-21-000681 · tm211646d1_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: 63,588.39

Underlying: Common Stock · 245,027 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: 0001104659-21-000681 · tm211646d1_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: 11,147,108

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 2,450.27 shares of Series A Convertible Preferred Stock on December 31, 2020.

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: 0001104659-20-140962 · tm2039686-1_4.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: 0

Underlying: Common Stock · 4,729,302 shares

Expires not disclosed

F1 · derivative.exercise_price: Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, previously received economic exposure with respect to 4,729,302 shares of common stock pursuant to a cash-settled total return swap (the "Swap") entered into between Glencore International and Citigroup Global Markets Inc. (together with its successors in interest under the Swap, "Citi"), with an initial expiration date of September 17, 2012 (subsequently extended to April 17, 2021).

F2 · derivative.exercise_price: Upon expiration of the Swap, (i) Glencore International would have been obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the common stock from the $9.71927 per share volume weighted average price calculated during the initial averaging period for the Swap (which ended on September 15, 2010) to the volume weighted average price of the common stock during the final valuation period preceding the expiration of the term of the Swap, or (ii) Citi would have been 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.

F4 · derivative.exercise_price: On September 28, 2020 the parties terminated the Swap, and a net settlement amount of $679,865 (equal to the difference between (i) a final valuation amount based on the volume weighted average price of the common stock during a final valuation period between the termination date and December 29, 2020, and (ii) the original valuation amount equal to the per share initial reference price of $9.71927 multiplied by the 4,729,302 shares referenced by the Swap), became due from Glencore International to Citi.

F4 · date: On September 28, 2020 the parties terminated the Swap, and a net settlement amount of $679,865 (equal to the difference between (i) a final valuation amount based on the volume weighted average price of the common stock during a final valuation period between the termination date and December 29, 2020, and (ii) the original valuation amount equal to the per share initial reference price of $9.71927 multiplied by the 4,729,302 shares referenced by the Swap), became due from Glencore International to Citi.

F1 · price: Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, previously received economic exposure with respect to 4,729,302 shares of common stock pursuant to a cash-settled total return swap (the "Swap") entered into between Glencore International and Citigroup Global Markets Inc. (together with its successors in interest under the Swap, "Citi"), with an initial expiration date of September 17, 2012 (subsequently extended to April 17, 2021).

F2 · price: Upon expiration of the Swap, (i) Glencore International would have been obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the common stock from the $9.71927 per share volume weighted average price calculated during the initial averaging period for the Swap (which ended on September 15, 2010) to the volume weighted average price of the common stock during the final valuation period preceding the expiration of the term of the Swap, or (ii) Citi would have been 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.

F3 · price: Under the terms of the Swap, generally, Glencore International was obligated to pay to Citi certain fees and commissions and Citi was obligated to pay to Glencore International an amount in cash equal to any dividends that would have been paid by the issuer on the Subject Shares.

F4 · price: On September 28, 2020 the parties terminated the Swap, and a net settlement amount of $679,865 (equal to the difference between (i) a final valuation amount based on the volume weighted average price of the common stock during a final valuation period between the termination date and December 29, 2020, and (ii) the original valuation amount equal to the per share initial reference price of $9.71927 multiplied by the 4,729,302 shares referenced by the Swap), became due from Glencore International to Citi.

F1 · derivative.exercise_date: Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, previously received economic exposure with respect to 4,729,302 shares of common stock pursuant to a cash-settled total return swap (the "Swap") entered into between Glencore International and Citigroup Global Markets Inc. (together with its successors in interest under the Swap, "Citi"), with an initial expiration date of September 17, 2012 (subsequently extended to April 17, 2021).

F2 · derivative.exercise_date: Upon expiration of the Swap, (i) Glencore International would have been obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the common stock from the $9.71927 per share volume weighted average price calculated during the initial averaging period for the Swap (which ended on September 15, 2010) to the volume weighted average price of the common stock during the final valuation period preceding the expiration of the term of the Swap, or (ii) Citi would have been 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.

F4 · derivative.exercise_date: On September 28, 2020 the parties terminated the Swap, and a net settlement amount of $679,865 (equal to the difference between (i) a final valuation amount based on the volume weighted average price of the common stock during a final valuation period between the termination date and December 29, 2020, and (ii) the original valuation amount equal to the per share initial reference price of $9.71927 multiplied by the 4,729,302 shares referenced by the Swap), became due from Glencore International to Citi.

F1 · derivative.expiration_date: Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, previously received economic exposure with respect to 4,729,302 shares of common stock pursuant to a cash-settled total return swap (the "Swap") entered into between Glencore International and Citigroup Global Markets Inc. (together with its successors in interest under the Swap, "Citi"), with an initial expiration date of September 17, 2012 (subsequently extended to April 17, 2021).

F2 · derivative.expiration_date: Upon expiration of the Swap, (i) Glencore International would have been obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the common stock from the $9.71927 per share volume weighted average price calculated during the initial averaging period for the Swap (which ended on September 15, 2010) to the volume weighted average price of the common stock during the final valuation period preceding the expiration of the term of the Swap, or (ii) Citi would have been 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.

F4 · derivative.expiration_date: On September 28, 2020 the parties terminated the Swap, and a net settlement amount of $679,865 (equal to the difference between (i) a final valuation amount based on the volume weighted average price of the common stock during a final valuation period between the termination date and December 29, 2020, and (ii) the original valuation amount equal to the per share initial reference price of $9.71927 multiplied by the 4,729,302 shares referenced by the Swap), became due from Glencore International to Citi.

F1 · derivative.underlying_shares: Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, previously received economic exposure with respect to 4,729,302 shares of common stock pursuant to a cash-settled total return swap (the "Swap") entered into between Glencore International and Citigroup Global Markets Inc. (together with its successors in interest under the Swap, "Citi"), with an initial expiration date of September 17, 2012 (subsequently extended to April 17, 2021).

F2 · derivative.underlying_shares: Upon expiration of the Swap, (i) Glencore International would have been obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the common stock from the $9.71927 per share volume weighted average price calculated during the initial averaging period for the Swap (which ended on September 15, 2010) to the volume weighted average price of the common stock during the final valuation period preceding the expiration of the term of the Swap, or (ii) Citi would have been 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: Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, previously received economic exposure with respect to 4,729,302 shares of common stock pursuant to a cash-settled total return swap (the "Swap") entered into between Glencore International and Citigroup Global Markets Inc. (together with its successors in interest under the Swap, "Citi"), with an initial expiration date of September 17, 2012 (subsequently extended to April 17, 2021).

F2 · balance_after: Upon expiration of the Swap, (i) Glencore International would have been obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the common stock from the $9.71927 per share volume weighted average price calculated during the initial averaging period for the Swap (which ended on September 15, 2010) to the volume weighted average price of the common stock during the final valuation period preceding the expiration of the term of the Swap, or (ii) Citi would have been 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.

F4 · balance_after: On September 28, 2020 the parties terminated the Swap, and a net settlement amount of $679,865 (equal to the difference between (i) a final valuation amount based on the volume weighted average price of the common stock during a final valuation period between the termination date and December 29, 2020, and (ii) the original valuation amount equal to the per share initial reference price of $9.71927 multiplied by the 4,729,302 shares referenced by the Swap), became due from Glencore International to Citi.

F1 · ownership.direct: Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, previously received economic exposure with respect to 4,729,302 shares of common stock pursuant to a cash-settled total return swap (the "Swap") entered into between Glencore International and Citigroup Global Markets Inc. (together with its successors in interest under the Swap, "Citi"), with an initial expiration date of September 17, 2012 (subsequently extended to April 17, 2021).

F5 · ownership.direct: The Swap was held directly by Glencore International, and may be deemed to have been beneficially owned indirectly by Glencore plc. The Swap did 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 shares of common stock referenced by the swaps.

SEC source: 0001104659-20-110457 · tm2032132d1_4.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: 0

Underlying: Common Stock · 4,729,302 shares

Expires 2020-12-29

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. (together with its successors in interest under the Swap Agreement, "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, 2021).

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.

F5 · 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.

F6 · derivative.exercise_price: The cash settled total return swaps under the Swap Agreement 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 shares of common stock referenced by the swaps.

F4 · date: On September 28, 2020 the parties terminated the September 15, 2010 swap. The final settlement payment is scheduled to be made on December 29, 2020, and will be based on a final reference price based on the volume weighted average price of the Common Stock during a final valuation period between the termination date and the settlement date.

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. (together with its successors in interest under the Swap Agreement, "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, 2021).

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.

F4 · kind: On September 28, 2020 the parties terminated the September 15, 2010 swap. The final settlement payment is scheduled to be made on December 29, 2020, and will be based on a final reference price based on the volume weighted average price of the Common Stock during a final valuation period between the termination date and the settlement date.

F5 · 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.

F4 · shares: On September 28, 2020 the parties terminated the September 15, 2010 swap. The final settlement payment is scheduled to be made on December 29, 2020, and will be based on a final reference price based on the volume weighted average price of the Common Stock during a final valuation period between the termination date and the settlement date.

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. (together with its successors in interest under the Swap Agreement, "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, 2021).

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.

F4 · price: On September 28, 2020 the parties terminated the September 15, 2010 swap. The final settlement payment is scheduled to be made on December 29, 2020, and will be based on a final reference price based on the volume weighted average price of the Common Stock during a final valuation period between the termination date and the settlement date.

F5 · 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.

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, 2021).

F4 · derivative.exercise_date: On September 28, 2020 the parties terminated the September 15, 2010 swap. The final settlement payment is scheduled to be made on December 29, 2020, and will be based on a final reference price based on the volume weighted average price of the Common Stock during a final valuation period between the termination date and the settlement date.

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, 2021).

F4 · derivative.expiration_date: On September 28, 2020 the parties terminated the September 15, 2010 swap. The final settlement payment is scheduled to be made on December 29, 2020, and will be based on a final reference price based on the volume weighted average price of the Common Stock during a final valuation period between the termination date and the settlement date.

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. (together with its successors in interest under the Swap Agreement, "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, 2021).

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.

F5 · 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.

F6 · derivative.underlying_shares: The cash settled total return swaps under the Swap Agreement 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 shares of common stock referenced by the swaps.

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. (together with its successors in interest under the Swap Agreement, "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, 2021).

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.

F4 · balance_after: On September 28, 2020 the parties terminated the September 15, 2010 swap. The final settlement payment is scheduled to be made on December 29, 2020, and will be based on a final reference price based on the volume weighted average price of the Common Stock during a final valuation period between the termination date and the settlement date.

F5 · 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.

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. (together with its successors in interest under the Swap Agreement, "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.

F6 · ownership.direct: The cash settled total return swaps under the Swap Agreement 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 shares of common stock referenced by the swaps.

SEC source: 0001104659-20-080353 · tm2024033d1_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: 66,038.66

Underlying: Common Stock · 10,243 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: 0001104659-20-080353 · tm2024033d1_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: 10,902,081

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 102.43 shares of Series A Convertible Preferred Stock on June 30, 2020.

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: 0001104659-20-042277 · tm2014829d1_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: 66,141.09

Underlying: Common Stock · 118,146 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: 0001104659-20-042277 · tm2014829d1_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: 10,891,838

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 1,181.46 shares of Series A Convertible Preferred Stock on March 31, 2020.

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: 0001104659-20-000590 · tm201158d1_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: 67,322.55

Underlying: Common Stock · 125,265 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: 0001104659-20-000590 · tm201158d1_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: 10,773,692

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 1,252.65 shares of Series A Convertible Preferred Stock on December 31, 2019.

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: 0001144204-19-033488 · tv524707_from4.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: 68,575.2

Underlying: Common Stock · 36,911 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: 0001144204-19-033488 · tv524707_from4.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: 10,648,427

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 369.11 shares of Series A Convertible Preferred Stock on June 30, 2019.

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: 0001144204-19-017594 · tv517875_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: 68,944.31

Underlying: Common Stock · 302,255 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: 0001144204-19-017594 · tv517875_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: 10,611,516

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 3,022.55 shares of Series A Convertible Preferred Stock on March 31, 2019.

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: 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: 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: 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: 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: 0001144204-18-000370 · tv482510_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: 74,364.34

Underlying: Common Stock · 93,479 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: 0001144204-18-000370 · tv482510_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: 10,069,513

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 934.79 shares of Series A Convertible Preferred Stock on December 31, 2017.

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: 0001144204-17-051085 · v476357_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: 75,299.13

Underlying: Common Stock · 4,715 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: 0001144204-17-051085 · v476357_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: 9,976,034

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 47.15 shares of Series A Convertible Preferred Stock on September 30, 2017.

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: 0001144204-17-048110 · v475138_form4.xml · derivative · entry 7

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: 1

Underlying: Common Stock · 4,400,000 shares

Expires 2021-03-21

F8 · derivative.exercise_price: On July 2, 2010, Glencore International 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 Citi Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly owned subsidiary of Glencore plc ("Glencore Canada").

F11 · 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 twice to September 17, 2017).

F12 · 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.

F13 · derivative.exercise_price: Under the terms of the Swap Agreement, generally, Glencore International will be obligated to post cash collateral to Citi and 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 Company on the First Subject Shares and the Second Subject Shares.

F8 · kind: On July 2, 2010, Glencore International 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 Citi Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly owned subsidiary of Glencore plc ("Glencore Canada").

F11 · 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 twice to September 17, 2017).

F12 · 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.

F13 · kind: Under the terms of the Swap Agreement, generally, Glencore International will be obligated to post cash collateral to Citi and 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 Company on the First Subject Shares and the Second Subject Shares.

F11 · 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 twice to September 17, 2017).

F12 · 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.

F13 · shares: Under the terms of the Swap Agreement, generally, Glencore International will be obligated to post cash collateral to Citi and 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 Company on the First Subject Shares and the Second Subject Shares.

F8 · price: On July 2, 2010, Glencore International 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 Citi Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly owned subsidiary of Glencore plc ("Glencore Canada").

F11 · 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 twice to September 17, 2017).

F12 · 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.

F13 · price: Under the terms of the Swap Agreement, generally, Glencore International will be obligated to post cash collateral to Citi and 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 Company on the First Subject Shares and the Second Subject Shares.

F14 · derivative.exercise_date: On September 14, 2017 the expiration date of each of the First Swap and the Second Swap was extended to April 17, 2018 and thereafter will automatically extend 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.

F14 · derivative.expiration_date: On September 14, 2017 the expiration date of each of the First Swap and the Second Swap was extended to April 17, 2018 and thereafter will automatically extend 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.

F8 · derivative.underlying_shares: On July 2, 2010, Glencore International 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 Citi Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly owned subsidiary of Glencore plc ("Glencore Canada").

F11 · 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 twice to September 17, 2017).

F12 · 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.

F13 · derivative.underlying_shares: Under the terms of the Swap Agreement, generally, Glencore International will be obligated to post cash collateral to Citi and 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 Company on the First Subject Shares and the Second Subject Shares.

F8 · balance_after: On July 2, 2010, Glencore International 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 Citi Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly owned subsidiary of Glencore plc ("Glencore Canada").

F11 · 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 twice to September 17, 2017).

F12 · 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.

F13 · balance_after: Under the terms of the Swap Agreement, generally, Glencore International will be obligated to post cash collateral to Citi and 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 Company on the First Subject Shares and the Second Subject Shares.

F8 · ownership.direct: On July 2, 2010, Glencore International 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 Citi Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly owned subsidiary of Glencore plc ("Glencore Canada").

F15 · ownership.direct: The cash settled total return swaps reported in Table II are held directly by Glencore Canada (following Glencore International's transfer to it of the Citi Swap Agreement and all agreements and transactions thereunder on September 14, 2017), and may be deemed to be beneficially owned indirectly by Glencore plc. The cash settled total return swaps do not give Glencore Canada or 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. Glencore Canada does not beneficially own (within the meaning of Rule13d-3) any equity securities of the Company of a class registered pursuant to Section 12 of the Securities Act of 1933, as amended.

SEC source: 0001144204-17-048110 · v475138_form4.xml · derivative · entry 6

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: 1

Underlying: Common Stock · 4,729,302 shares

Expires 2021-03-21

F8 · derivative.exercise_price: On July 2, 2010, Glencore International 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 Citi Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly owned subsidiary of Glencore plc ("Glencore Canada").

F9 · 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 twice to September 17, 2017).

F10 · 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.

F8 · kind: On July 2, 2010, Glencore International 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 Citi Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly owned subsidiary of Glencore plc ("Glencore Canada").

F9 · 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 twice to September 17, 2017).

F10 · 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.

F9 · 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 twice to September 17, 2017).

F10 · 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.

F8 · price: On July 2, 2010, Glencore International 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 Citi Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly owned subsidiary of Glencore plc ("Glencore Canada").

F9 · 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 twice to September 17, 2017).

F10 · 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.

F14 · derivative.exercise_date: On September 14, 2017 the expiration date of each of the First Swap and the Second Swap was extended to April 17, 2018 and thereafter will automatically extend 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.

F14 · derivative.expiration_date: On September 14, 2017 the expiration date of each of the First Swap and the Second Swap was extended to April 17, 2018 and thereafter will automatically extend 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.

F8 · derivative.underlying_shares: On July 2, 2010, Glencore International 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 Citi Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly owned subsidiary of Glencore plc ("Glencore Canada").

F9 · 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 twice to September 17, 2017).

F10 · 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.

F8 · balance_after: On July 2, 2010, Glencore International 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 Citi Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly owned subsidiary of Glencore plc ("Glencore Canada").

F9 · 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 twice to September 17, 2017).

F10 · 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.

F8 · ownership.direct: On July 2, 2010, Glencore International 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 Citi Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly owned subsidiary of Glencore plc ("Glencore Canada").

F15 · ownership.direct: The cash settled total return swaps reported in Table II are held directly by Glencore Canada (following Glencore International's transfer to it of the Citi Swap Agreement and all agreements and transactions thereunder on September 14, 2017), and may be deemed to be beneficially owned indirectly by Glencore plc. The cash settled total return swaps do not give Glencore Canada or 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. Glencore Canada does not beneficially own (within the meaning of Rule13d-3) any equity securities of the Company of a class registered pursuant to Section 12 of the Securities Act of 1933, as amended.

SEC source: 0001144204-17-048110 · v475138_form4.xml · derivative · entry 5

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: 1

Underlying: Common Stock · 27,500,000 shares

Expires 2027-09-14

F6 · derivative.exercise_price: On the Effective Date, Glencore AG and Ryfold entered into a Call Option Agreement pursuant to which Glencore AG acquired an American-style call option that gives Glencore AG the right to purchase from Ryfold, at any time prior to the expiration thereof, 100% of the equity interests in Givolon for an aggregate exercise price of $100 (the "Givolon Call Option"). The Givolon Call Option will expire on September 14, 2027. Glencore AG paid Ryfold an aggregate premium of $100 for the Givolon Call Option. Givolon holds directly a number of shares equal to the Specified Shares, which shares are indirectly owned by each of Ryfold, The Ryfold Trust, which is the parent of Ryfold, and Estera Trust (Jersey) Limited solely in its capacity as trustee of The Ryfold Trust.

F6 · kind: On the Effective Date, Glencore AG and Ryfold entered into a Call Option Agreement pursuant to which Glencore AG acquired an American-style call option that gives Glencore AG the right to purchase from Ryfold, at any time prior to the expiration thereof, 100% of the equity interests in Givolon for an aggregate exercise price of $100 (the "Givolon Call Option"). The Givolon Call Option will expire on September 14, 2027. Glencore AG paid Ryfold an aggregate premium of $100 for the Givolon Call Option. Givolon holds directly a number of shares equal to the Specified Shares, which shares are indirectly owned by each of Ryfold, The Ryfold Trust, which is the parent of Ryfold, and Estera Trust (Jersey) Limited solely in its capacity as trustee of The Ryfold Trust.

F6 · price: On the Effective Date, Glencore AG and Ryfold entered into a Call Option Agreement pursuant to which Glencore AG acquired an American-style call option that gives Glencore AG the right to purchase from Ryfold, at any time prior to the expiration thereof, 100% of the equity interests in Givolon for an aggregate exercise price of $100 (the "Givolon Call Option"). The Givolon Call Option will expire on September 14, 2027. Glencore AG paid Ryfold an aggregate premium of $100 for the Givolon Call Option. Givolon holds directly a number of shares equal to the Specified Shares, which shares are indirectly owned by each of Ryfold, The Ryfold Trust, which is the parent of Ryfold, and Estera Trust (Jersey) Limited solely in its capacity as trustee of The Ryfold Trust.

F6 · derivative.exercise_date: On the Effective Date, Glencore AG and Ryfold entered into a Call Option Agreement pursuant to which Glencore AG acquired an American-style call option that gives Glencore AG the right to purchase from Ryfold, at any time prior to the expiration thereof, 100% of the equity interests in Givolon for an aggregate exercise price of $100 (the "Givolon Call Option"). The Givolon Call Option will expire on September 14, 2027. Glencore AG paid Ryfold an aggregate premium of $100 for the Givolon Call Option. Givolon holds directly a number of shares equal to the Specified Shares, which shares are indirectly owned by each of Ryfold, The Ryfold Trust, which is the parent of Ryfold, and Estera Trust (Jersey) Limited solely in its capacity as trustee of The Ryfold Trust.

F6 · derivative.expiration_date: On the Effective Date, Glencore AG and Ryfold entered into a Call Option Agreement pursuant to which Glencore AG acquired an American-style call option that gives Glencore AG the right to purchase from Ryfold, at any time prior to the expiration thereof, 100% of the equity interests in Givolon for an aggregate exercise price of $100 (the "Givolon Call Option"). The Givolon Call Option will expire on September 14, 2027. Glencore AG paid Ryfold an aggregate premium of $100 for the Givolon Call Option. Givolon holds directly a number of shares equal to the Specified Shares, which shares are indirectly owned by each of Ryfold, The Ryfold Trust, which is the parent of Ryfold, and Estera Trust (Jersey) Limited solely in its capacity as trustee of The Ryfold Trust.

F6 · derivative.underlying_shares: On the Effective Date, Glencore AG and Ryfold entered into a Call Option Agreement pursuant to which Glencore AG acquired an American-style call option that gives Glencore AG the right to purchase from Ryfold, at any time prior to the expiration thereof, 100% of the equity interests in Givolon for an aggregate exercise price of $100 (the "Givolon Call Option"). The Givolon Call Option will expire on September 14, 2027. Glencore AG paid Ryfold an aggregate premium of $100 for the Givolon Call Option. Givolon holds directly a number of shares equal to the Specified Shares, which shares are indirectly owned by each of Ryfold, The Ryfold Trust, which is the parent of Ryfold, and Estera Trust (Jersey) Limited solely in its capacity as trustee of The Ryfold Trust.

F6 · ownership.direct: On the Effective Date, Glencore AG and Ryfold entered into a Call Option Agreement pursuant to which Glencore AG acquired an American-style call option that gives Glencore AG the right to purchase from Ryfold, at any time prior to the expiration thereof, 100% of the equity interests in Givolon for an aggregate exercise price of $100 (the "Givolon Call Option"). The Givolon Call Option will expire on September 14, 2027. Glencore AG paid Ryfold an aggregate premium of $100 for the Givolon Call Option. Givolon holds directly a number of shares equal to the Specified Shares, which shares are indirectly owned by each of Ryfold, The Ryfold Trust, which is the parent of Ryfold, and Estera Trust (Jersey) Limited solely in its capacity as trustee of The Ryfold Trust.

F7 · ownership.direct: The shares of Common Stock reported on Table I and the Total Return Swap and the Call Options reported on Table II are held directly by Glencore AG, and indirectly by each of Glencore AG's parent, Glencore International and its parent, Glencore plc.

SEC source: 0001144204-17-048110 · v475138_form4.xml · derivative · entry 4

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: 1

Underlying: Common Stock · 27,500,000 shares

Expires 2022-12-31

F5 · security: Under the terms of the Century TRS and the Century Call Option, the Century TRS is scheduled to expire and settle after expiration of the Century Call Option, so that Glencore AG will acquire a number of shares equal to the Specified Shares under the Century TRS even if Glencore AG does not exercise the Century Call Option. In addition, the Century TRS will automatically terminate, with no remaining obligations on the part of either party, upon exercise of the Century Call Option. As a result, under the Century TRS and the Century Call Option, Glencore AG has the right to acquire and Givolon has the obligation to deliver to Glencore AG an aggregate number of shares equal to the Specified Shares. Givolon has granted to Glencore AG the irrevocable right to vote and to direct the voting of the Specified Shares.

F4 · derivative.exercise_price: On the Effective Date, Glencore AG and Givolon entered into a Century Call Option Confirmation pursuant to the Master Agreement, pursuant to which Glencore AG acquired an American-style call option that gives Glencore AG the right to purchase from Givolon, at any time prior to the expiration thereof, a number of shares of Common Stock equal to the Specified Shares at a price equal to $2.70462 per share of Common Stock (the "Century Call Option"). Glencore AG paid Givolon a premium of $15.32613 per share for the Century Call Option. The Century Call Option is scheduled to expire on the Expiration Date, prior to the time the Century TRS is scheduled to settle.

F4 · kind: On the Effective Date, Glencore AG and Givolon entered into a Century Call Option Confirmation pursuant to the Master Agreement, pursuant to which Glencore AG acquired an American-style call option that gives Glencore AG the right to purchase from Givolon, at any time prior to the expiration thereof, a number of shares of Common Stock equal to the Specified Shares at a price equal to $2.70462 per share of Common Stock (the "Century Call Option"). Glencore AG paid Givolon a premium of $15.32613 per share for the Century Call Option. The Century Call Option is scheduled to expire on the Expiration Date, prior to the time the Century TRS is scheduled to settle.

F4 · price: On the Effective Date, Glencore AG and Givolon entered into a Century Call Option Confirmation pursuant to the Master Agreement, pursuant to which Glencore AG acquired an American-style call option that gives Glencore AG the right to purchase from Givolon, at any time prior to the expiration thereof, a number of shares of Common Stock equal to the Specified Shares at a price equal to $2.70462 per share of Common Stock (the "Century Call Option"). Glencore AG paid Givolon a premium of $15.32613 per share for the Century Call Option. The Century Call Option is scheduled to expire on the Expiration Date, prior to the time the Century TRS is scheduled to settle.

F4 · derivative.exercise_date: On the Effective Date, Glencore AG and Givolon entered into a Century Call Option Confirmation pursuant to the Master Agreement, pursuant to which Glencore AG acquired an American-style call option that gives Glencore AG the right to purchase from Givolon, at any time prior to the expiration thereof, a number of shares of Common Stock equal to the Specified Shares at a price equal to $2.70462 per share of Common Stock (the "Century Call Option"). Glencore AG paid Givolon a premium of $15.32613 per share for the Century Call Option. The Century Call Option is scheduled to expire on the Expiration Date, prior to the time the Century TRS is scheduled to settle.

F4 · derivative.expiration_date: On the Effective Date, Glencore AG and Givolon entered into a Century Call Option Confirmation pursuant to the Master Agreement, pursuant to which Glencore AG acquired an American-style call option that gives Glencore AG the right to purchase from Givolon, at any time prior to the expiration thereof, a number of shares of Common Stock equal to the Specified Shares at a price equal to $2.70462 per share of Common Stock (the "Century Call Option"). Glencore AG paid Givolon a premium of $15.32613 per share for the Century Call Option. The Century Call Option is scheduled to expire on the Expiration Date, prior to the time the Century TRS is scheduled to settle.

F4 · derivative.underlying_shares: On the Effective Date, Glencore AG and Givolon entered into a Century Call Option Confirmation pursuant to the Master Agreement, pursuant to which Glencore AG acquired an American-style call option that gives Glencore AG the right to purchase from Givolon, at any time prior to the expiration thereof, a number of shares of Common Stock equal to the Specified Shares at a price equal to $2.70462 per share of Common Stock (the "Century Call Option"). Glencore AG paid Givolon a premium of $15.32613 per share for the Century Call Option. The Century Call Option is scheduled to expire on the Expiration Date, prior to the time the Century TRS is scheduled to settle.

F7 · ownership.direct: The shares of Common Stock reported on Table I and the Total Return Swap and the Call Options reported on Table II are held directly by Glencore AG, and indirectly by each of Glencore AG's parent, Glencore International and its parent, Glencore plc.

SEC source: 0001144204-17-048110 · v475138_form4.xml · derivative · entry 3

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: 1

Underlying: Common Stock · 27,500,000 shares

Expires 2022-12-31

F5 · security: Under the terms of the Century TRS and the Century Call Option, the Century TRS is scheduled to expire and settle after expiration of the Century Call Option, so that Glencore AG will acquire a number of shares equal to the Specified Shares under the Century TRS even if Glencore AG does not exercise the Century Call Option. In addition, the Century TRS will automatically terminate, with no remaining obligations on the part of either party, upon exercise of the Century Call Option. As a result, under the Century TRS and the Century Call Option, Glencore AG has the right to acquire and Givolon has the obligation to deliver to Glencore AG an aggregate number of shares equal to the Specified Shares. Givolon has granted to Glencore AG the irrevocable right to vote and to direct the voting of the Specified Shares.

F2 · derivative.exercise_price: On the Effective Date, Glencore AG and Givolon entered into an ISDA Master Agreement in the form of the 1992 ISDA Master Agreement (Multi-currency - Cross Border) together with a related Schedule thereto (the "Master Agreement") and a related Total Return Swap Confirmation, pursuant to which Glencore AG received economic exposure to a number of shares of Common Stock equal to the Specified Shares at a reference price equal to $18.03075 per share of Common Stock, under a stock-settled total return swap (the "Century TRS"). The Century TRS is scheduled to expire and settle on December 31, 2022 (following expiration of the Century Call Option (defined below)) (the "Expiration Date").

F3 · derivative.exercise_price: Under the Century TRS, (i) with respect to the period of time prior to the settlement of the Century TRS, (A) Glencore AG will be obligated to pay certain fees to Givolon, and (B) Givolon will be obligated to pay to Glencore AG an amount equal to any dividends and other distributions that would have been paid by Century Aluminum Company on a number of shares equal to the Specified Shares; and (ii) at settlement of the Century TRS, (A) Givolon will be obligated to deliver a number of shares equal to the Specified Shares to Glencore AG, and (B) Glencore AG will be obligated to pay to Givolon $18.03075 for each such share.

F2 · kind: On the Effective Date, Glencore AG and Givolon entered into an ISDA Master Agreement in the form of the 1992 ISDA Master Agreement (Multi-currency - Cross Border) together with a related Schedule thereto (the "Master Agreement") and a related Total Return Swap Confirmation, pursuant to which Glencore AG received economic exposure to a number of shares of Common Stock equal to the Specified Shares at a reference price equal to $18.03075 per share of Common Stock, under a stock-settled total return swap (the "Century TRS"). The Century TRS is scheduled to expire and settle on December 31, 2022 (following expiration of the Century Call Option (defined below)) (the "Expiration Date").

F3 · kind: Under the Century TRS, (i) with respect to the period of time prior to the settlement of the Century TRS, (A) Glencore AG will be obligated to pay certain fees to Givolon, and (B) Givolon will be obligated to pay to Glencore AG an amount equal to any dividends and other distributions that would have been paid by Century Aluminum Company on a number of shares equal to the Specified Shares; and (ii) at settlement of the Century TRS, (A) Givolon will be obligated to deliver a number of shares equal to the Specified Shares to Glencore AG, and (B) Glencore AG will be obligated to pay to Givolon $18.03075 for each such share.

F2 · price: On the Effective Date, Glencore AG and Givolon entered into an ISDA Master Agreement in the form of the 1992 ISDA Master Agreement (Multi-currency - Cross Border) together with a related Schedule thereto (the "Master Agreement") and a related Total Return Swap Confirmation, pursuant to which Glencore AG received economic exposure to a number of shares of Common Stock equal to the Specified Shares at a reference price equal to $18.03075 per share of Common Stock, under a stock-settled total return swap (the "Century TRS"). The Century TRS is scheduled to expire and settle on December 31, 2022 (following expiration of the Century Call Option (defined below)) (the "Expiration Date").

F3 · price: Under the Century TRS, (i) with respect to the period of time prior to the settlement of the Century TRS, (A) Glencore AG will be obligated to pay certain fees to Givolon, and (B) Givolon will be obligated to pay to Glencore AG an amount equal to any dividends and other distributions that would have been paid by Century Aluminum Company on a number of shares equal to the Specified Shares; and (ii) at settlement of the Century TRS, (A) Givolon will be obligated to deliver a number of shares equal to the Specified Shares to Glencore AG, and (B) Glencore AG will be obligated to pay to Givolon $18.03075 for each such share.

F2 · derivative.exercise_date: On the Effective Date, Glencore AG and Givolon entered into an ISDA Master Agreement in the form of the 1992 ISDA Master Agreement (Multi-currency - Cross Border) together with a related Schedule thereto (the "Master Agreement") and a related Total Return Swap Confirmation, pursuant to which Glencore AG received economic exposure to a number of shares of Common Stock equal to the Specified Shares at a reference price equal to $18.03075 per share of Common Stock, under a stock-settled total return swap (the "Century TRS"). The Century TRS is scheduled to expire and settle on December 31, 2022 (following expiration of the Century Call Option (defined below)) (the "Expiration Date").

F3 · derivative.exercise_date: Under the Century TRS, (i) with respect to the period of time prior to the settlement of the Century TRS, (A) Glencore AG will be obligated to pay certain fees to Givolon, and (B) Givolon will be obligated to pay to Glencore AG an amount equal to any dividends and other distributions that would have been paid by Century Aluminum Company on a number of shares equal to the Specified Shares; and (ii) at settlement of the Century TRS, (A) Givolon will be obligated to deliver a number of shares equal to the Specified Shares to Glencore AG, and (B) Glencore AG will be obligated to pay to Givolon $18.03075 for each such share.

F2 · derivative.expiration_date: On the Effective Date, Glencore AG and Givolon entered into an ISDA Master Agreement in the form of the 1992 ISDA Master Agreement (Multi-currency - Cross Border) together with a related Schedule thereto (the "Master Agreement") and a related Total Return Swap Confirmation, pursuant to which Glencore AG received economic exposure to a number of shares of Common Stock equal to the Specified Shares at a reference price equal to $18.03075 per share of Common Stock, under a stock-settled total return swap (the "Century TRS"). The Century TRS is scheduled to expire and settle on December 31, 2022 (following expiration of the Century Call Option (defined below)) (the "Expiration Date").

F3 · derivative.expiration_date: Under the Century TRS, (i) with respect to the period of time prior to the settlement of the Century TRS, (A) Glencore AG will be obligated to pay certain fees to Givolon, and (B) Givolon will be obligated to pay to Glencore AG an amount equal to any dividends and other distributions that would have been paid by Century Aluminum Company on a number of shares equal to the Specified Shares; and (ii) at settlement of the Century TRS, (A) Givolon will be obligated to deliver a number of shares equal to the Specified Shares to Glencore AG, and (B) Glencore AG will be obligated to pay to Givolon $18.03075 for each such share.

F2 · derivative.underlying_shares: On the Effective Date, Glencore AG and Givolon entered into an ISDA Master Agreement in the form of the 1992 ISDA Master Agreement (Multi-currency - Cross Border) together with a related Schedule thereto (the "Master Agreement") and a related Total Return Swap Confirmation, pursuant to which Glencore AG received economic exposure to a number of shares of Common Stock equal to the Specified Shares at a reference price equal to $18.03075 per share of Common Stock, under a stock-settled total return swap (the "Century TRS"). The Century TRS is scheduled to expire and settle on December 31, 2022 (following expiration of the Century Call Option (defined below)) (the "Expiration Date").

F3 · derivative.underlying_shares: Under the Century TRS, (i) with respect to the period of time prior to the settlement of the Century TRS, (A) Glencore AG will be obligated to pay certain fees to Givolon, and (B) Givolon will be obligated to pay to Glencore AG an amount equal to any dividends and other distributions that would have been paid by Century Aluminum Company on a number of shares equal to the Specified Shares; and (ii) at settlement of the Century TRS, (A) Givolon will be obligated to deliver a number of shares equal to the Specified Shares to Glencore AG, and (B) Glencore AG will be obligated to pay to Givolon $18.03075 for each such share.

F7 · ownership.direct: The shares of Common Stock reported on Table I and the Total Return Swap and the Call Options reported on Table II are held directly by Glencore AG, and indirectly by each of Glencore AG's parent, Glencore International and its parent, Glencore plc.

SEC source: 0001144204-17-048110 · v475138_form4.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: Indirect · See footnote

Disclosed balance after: 0

F1 · kind: The reported securities (the "Specified Shares") are held by Givolon Limited ("Givolon") and prior to the transaction described in the following sentence, were held indirectly by each of Glencore AG, Glencore AG's parent, Glencore International AG ("Glencore International") and its parent, Glencore plc. On September 14, 2017 (the "Effective Date"), Glencore AG sold to Ryfold Limited ("Ryfold") 100% of the equity interests in Givolon (of which Glencore AG was the sole shareholder) for the aggregate purchase price of $100 (the "Givolon Sale"). Prior to the Givolon Sale on the Effective Date, Givolon, a wholly-owned subsidiary of Glencore AG at such time, purchased from Glencore AG the Specified Shares for the aggregate price of $495,845,625, or $18.03075 per share (the "Specified Shares Sale"). Immediately following the Specified Shares Sale, Glencore AG continued to hold directly 9,971,319 shares of Common Stock as set forth on row 2 in Table I.

F1 · price: The reported securities (the "Specified Shares") are held by Givolon Limited ("Givolon") and prior to the transaction described in the following sentence, were held indirectly by each of Glencore AG, Glencore AG's parent, Glencore International AG ("Glencore International") and its parent, Glencore plc. On September 14, 2017 (the "Effective Date"), Glencore AG sold to Ryfold Limited ("Ryfold") 100% of the equity interests in Givolon (of which Glencore AG was the sole shareholder) for the aggregate purchase price of $100 (the "Givolon Sale"). Prior to the Givolon Sale on the Effective Date, Givolon, a wholly-owned subsidiary of Glencore AG at such time, purchased from Glencore AG the Specified Shares for the aggregate price of $495,845,625, or $18.03075 per share (the "Specified Shares Sale"). Immediately following the Specified Shares Sale, Glencore AG continued to hold directly 9,971,319 shares of Common Stock as set forth on row 2 in Table I.

F1 · ownership.nature: The reported securities (the "Specified Shares") are held by Givolon Limited ("Givolon") and prior to the transaction described in the following sentence, were held indirectly by each of Glencore AG, Glencore AG's parent, Glencore International AG ("Glencore International") and its parent, Glencore plc. On September 14, 2017 (the "Effective Date"), Glencore AG sold to Ryfold Limited ("Ryfold") 100% of the equity interests in Givolon (of which Glencore AG was the sole shareholder) for the aggregate purchase price of $100 (the "Givolon Sale"). Prior to the Givolon Sale on the Effective Date, Givolon, a wholly-owned subsidiary of Glencore AG at such time, purchased from Glencore AG the Specified Shares for the aggregate price of $495,845,625, or $18.03075 per share (the "Specified Shares Sale"). Immediately following the Specified Shares Sale, Glencore AG continued to hold directly 9,971,319 shares of Common Stock as set forth on row 2 in Table I.

SEC source: 0001144204-17-035520 · v470297_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: 75,346.28

Underlying: Common Stock · 23,109 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: 0001144204-17-035520 · v470297_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: 37,471,319

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 231.09 shares of Series A Convertible Preferred Stock on June 30, 2017.

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: 0001144204-17-018424 · v463341_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: 75,577.37

Underlying: Common Stock · 4,795 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: 0001144204-17-018424 · v463341_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: 37,448,210

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 47.95 shares of Series A Convertible Preferred Stock on March 31, 2017.

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: 0001144204-17-000080 · v456067_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: 75,625.32

Underlying: Common Stock · 75,253 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: 0001144204-17-000080 · v456067_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: 37,443,415

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 752.53 shares of Series A Convertible Preferred Stock on December 31, 2016.

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.