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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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SCHEDULE 13D
under the Securities Exchange Act of 1934
(Amendment No. 3)*
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GOLD FIELDS LIMITED
(Name of Issuer)
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AMERICAN DEPOSITARY SHARES, EACH REPRESENTING ONE ORDINARY SHARE OF PAR VALUE
RAND 0.50 EACH
ORDINARY SHARES OF PAR VALUE RAND 0.50 EACH
(Title of Class or securities)
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AMERICAN DEPOSITARY SHARES: 38059T106
ORDINARY SHARES: 38059R100
(CUSIP Number)
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DMITRY RAZUMOV
22 VOZNESENSKY PEREULOK
MOSCOW, 125009
RUSSIA
with a copy to:
WILLIAM A. PLAPINGER, ESQ.
SULLIVAN & CROMWELL LLP
1 NEW FETTER LANE
LONDON EC4A 1AN
ENGLAND
(011) (44) 20 7959-8900
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communication)
DECEMBER 16, 2004
(Date of Event to Which This Filing Relates)
================================================================================
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition that is the subject of this Schedule 13D, and is filing this
schedule because of Sections 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check
the following box. [_]
* The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter
disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
notes).
(Continued on following pages)
CUSIP NO. 38059T106 / 38059R100
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Names of Reporting Persons
MMC NORILSK NICKEL
1
IRS Identification Nos. of Above Persons (entities only)
NOT APPLICABLE (FOREIGN ENTITY)
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Check the Appropriate Box if a Member of a Group (See Instructions)
2 (a) [_]
(b) [X]
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3 SEC Use Only
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4 Source of Funds (See Instructions)
BK, WC
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5 Check if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e) [_]
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6 Citizenship or Place of Organization
RUSSIAN FEDERATION
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7 Sole Voting Power
0
Number of ----------------------------------------------------------
Shares of 8 Shared Voting Power
Beneficially 98,467,758 ORDINARY SHARES
Owned by Each ----------------------------------------------------------
Reporting 9 Sole Dispositive Power
Person with 0
----------------------------------------------------------
10 Shared Dispositive Power
98,467,758 ORDINARY SHARES
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Aggregate Amount Beneficially Owned by Each Reporting Person
11 98,467,758 ORDINARY SHARES
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Check if the Aggregate Amount in Row (11) Excludes
12 Certain Shares (See Instructions) [_]
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Percent of Class Represented by Amount in Row (11)
13 20.03%
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Type of Reporting Person (See Instructions)
14 HC
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-2-
CUSIP NO. 38059T106 / 38059R100
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Names of Reporting Persons
VLADIMIR O. POTANIN
1
IRS Identification Nos. of Above Persons (entities only)
NOT APPLICABLE (FOREIGN ENTITY)
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Check the Appropriate Box if a Member of a Group (See Instructions)
2 (a) [_]
(b) [X]
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3 SEC Use Only
--------------------------------------------------------------------------------
4 Source of Funds (See Instructions)
AF
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5 Check if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e) [_]
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6 Citizenship or Place of Organization
RUSSIAN FEDERATION
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7 Sole Voting Power
0
Number of ----------------------------------------------------------
Shares of 8 Shared Voting Power
Beneficially 98,467,758 ORDINARY SHARES (1)
Owned by Each ----------------------------------------------------------
Reporting 9 Sole Dispositive Power
Person with 0
----------------------------------------------------------
10 Shared Dispositive Power
98,467,758 ORDINARY SHARES (1)
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Aggregate Amount Beneficially Owned by Each Reporting Person
11 98,467,758 ORDINARY SHARES
--------------------------------------------------------------------------------
Check if the Aggregate Amount in Row (11) Excludes
12 Certain Shares (See Instructions) [_]
--------------------------------------------------------------------------------
Percent of Class Represented by Amount in Row (11)
13 20.03%
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Type of Reporting Person (See Instructions)
14 IN
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(1) Pursuant to Rule 13d-4 of the Act, the filing of this statement shall not be
construed as an admission that Mr. Potanin is, for the purpose of Sections 13(d)
or 13(g) of the Act, the beneficial owner of 98,467,758 ordinary shares.
-3-
CUSIP NO. 38059T106 / 38059R100
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Names of Reporting Persons
MIKHAIL D. PROKHOROV
1
IRS Identification Nos. of Above Persons (entities only)
NOT APPLICABLE (FOREIGN ENTITY)
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Check the Appropriate Box if a Member of a Group (See Instructions)
2 (a) [_]
(b) [X]
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3 SEC Use Only
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4 Source of Funds (See Instructions)
AF
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5 Check if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e) [_]
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6 Citizenship or Place of Organization
RUSSIAN FEDERATION
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7 Sole Voting Power
0
Number of ----------------------------------------------------------
Shares of 8 Shared Voting Power
Beneficially 98,467,758 ORDINARY SHARES (2)
Owned by Each ----------------------------------------------------------
Reporting 9 Sole Dispositive Power
Person with 0
----------------------------------------------------------
10 Shared Dispositive Power
98,467,758 ORDINARY SHARES (2)
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Aggregate Amount Beneficially Owned by Each Reporting Person
11 98,467,758 ORDINARY SHARES
--------------------------------------------------------------------------------
Check if the Aggregate Amount in Row (11) Excludes
12 Certain Shares (See Instructions) [_]
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Percent of Class Represented by Amount in Row (11)
13 20.03%
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Type of Reporting Person (See Instructions)
14 IN
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(2) Pursuant to Rule 13d-4 of the Act, the filing of this statement shall not be
construed as an admission that Mr. Prokhorov is, for the purpose of Sections
13(d) or 13(g) of the Act, the beneficial owner of 98,467,758 ordinary shares.
-4-
This Amendment No. 3 ("Amendment No. 3") amends and supplements
the Statement on Schedule 13D originally filed on April 7, 2004, as amended by
Amendment No. 1 thereto filed on August 6, 2004, and Amendment No. 2 thereto
filed on October 18, 2004, relating to the ordinary shares, par value Rand 0.50
per share (the "Shares"), of Gold Fields Limited, a company organized under the
laws of the Republic of South Africa (the "Company"). The Schedule 13D, as
amended, is referred to herein as the "Schedule 13D". Unless otherwise
indicated, capitalized terms used but not defined herein have the meanings
assigned to such term in the Schedule 13D.
ITEM 2. IDENTITY AND BACKGROUND
Item 2 is hereby amended and restated as follows:
Pursuant to Rule 13d-1(k)(1) of the Act, this statement is filed
on behalf of the following entities and individuals (such persons being referred
to collectively herein as the "Reporting Persons" and each as a "Reporting
Person"):
MMC NORILSK NICKEL is an open joint-stock company organized under
the laws of the Russian Federation. Norilsk Nickel's principal business is the
producing and selling of various base and precious metals. The address of
Norilsk Nickel's principal business and principal office is 22, Voznesensky
Pereulok, Moscow, 125009, Russia. See Exhibit A for information concerning the
executive officers and directors of Norilsk Nickel. During the last five years,
neither MMC Norilsk Nickel nor any of such persons has been convicted in a
criminal proceeding, excluding traffic violations or similar misdemeanors.
Further, during the last five years, neither MMC Norilsk Nickel nor any such
person was a party to a civil proceeding of a judicial or administrative body of
competent jurisdiction as a result of such a proceeding such person was or is
subject to a judgment, decree or final order enjoining future violations of, or
prohibiting or mandating activities subject to, United States federal or state
securities laws or finding any violation with respect to such laws.
VLADIMIR O. POTANIN is a citizen of the Russian Federation whose
present principal occupation is President of ZAO Interros Holding Company. As of
December 1, 2004, Mr. Potanin beneficially owned 29.26% of the stock of Norilsk
Nickel. Mr. Potanin's principal business address is 9, Bolshaya Yakimanka
Street, Moscow 119180, Russia. During the past five years, Mr. Potanin has not
been convicted in a criminal proceeding, excluding traffic violations or similar
misdemeanors. Further, during the last five years, Mr. Potanin has not been a
party to a civil proceeding of a judicial or administrative body of competent
jurisdiction where as a result of such proceeding he was or is subject to a
judgment, decree or final order enjoining future violations of, or prohibiting
or mandating activities subject to, United States federal or state securities
laws or finding any violation with respect to such laws.
-5-
MIKHAIL D. PROKHOROV is a citizen of the Russian Federation whose
present principal occupation is Chief Executive Officer of Norilsk Nickel. As of
December 1, 2004, Mr. Prokhorov beneficially owned 29.26% of the stock of
Norilsk Nickel. Mr. Prokhorov's principal business address is 22, Voznesensky
Pereulok, Moscow 125009, Russia. During the last five years, Mr. Prokhorov has
not been convicted in a criminal proceeding, excluding traffic violations or
similar misdemeanors. Further, during the last five years, Mr. Prokhorov has not
been a party to a civil proceeding of a judicial or administrative body of
competent jurisdiction where as a result of such proceeding he was or is subject
to a judgment, decree or final order enjoining future violations of, or
prohibiting or mandating activities subject to, United States federal or state
securities laws or finding any violation with respect to such laws.
Neither the filing of this Schedule 13D nor any of its contents
shall be deemed to constitute an admission that any of the Reporting Persons is
the beneficial owner of Shares (if any) held by Harmony Gold Mining Company
Limited ("Harmony") or that Harmony is a beneficial owner of the Shares referred
to above. Pursuant to Rule 13d-5(b), the Reporting Persons and Harmony may be
deemed to be a group; however, the Reporting Persons disclaim membership in any
group with Harmony and beneficial ownership of any Shares of Harmony.
ITEM 4. PURPOSE OF TRANSACTION
Item 4 is hereby amended to add the following additional
paragraph at the end:
Norilsk Nickel is exploring alternative transactions intended to
result in a mutually acceptable resolution among the Company, Harmony and
Norilsk Nickel relating to the offer by Harmony for the remaining shares in the
Company that it does not hold. To that end, Norilsk Nickel has commenced
discussions with the Company and Harmony. Any such discussions or transactions
by Norilsk Nickel are subject to Norilsk Nickel's continuing obligations under
the Irrevocable Undertaking to the extent applicable.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
TO SECURITIES OF THE ISSUER
The last paragraph of Item 6 is hereby amended and restated as
follows:
The last paragraph of Item 4, which has been added by this
Amendment No. 3, is hereby incorporated by this reference in this Item 6.
Except as described above, none of the Reporting Persons, nor, to
the knowledge of the Reporting Persons, any of the persons listed in Exhibit A,
has any contract, arrangement, understanding or relationship (legal or
otherwise) with any person with respect to any securities of the Company,
including but not limited to transfer or voting of any such securities, finder's
fees, joint ventures, loan or option arrangements, puts or calls, guarantees of
profits, division of profits or loss, or the giving or withholding of proxies.
-6-
SIGNATURE
After reasonable inquiry and to the best of my knowledge and
belief, I certify that the information set forth in this statement is true,
complete and correct.
Date: December 17, 2004
MMC NORILSK NICKEL
By: /s/ Mikhail Prokhorov
---------------------------------
Name: Mikhail Prokhorov
Title: General Director
VLADIMIR O. POTANIN
By: /s/ Vladimir O. Potanin
---------------------------------
Name: Vladimir O. Potanin
MIKHAIL D. PROKHOROV
By: /s/ Mikhail Prokhorov
---------------------------------
Name: Mikhail Prokhorov
-7-
EXHIBIT INDEX
Exhibit A Officers and Directors of Reporting Persons.**
Exhibit B Agreement Relating to Joint Filing of Schedule 13D.*
Exhibit C Purchase Agreement.*
Exhibit D Power of Attorney.*
Exhibit E Facility Agreement.*
Exhibit F Intercompany Purchase Agreement.**
Exhibit G Irrevocable Undertaking in Respect of a Proposal by Harmony
Gold Mining Company Limited to Acquire All the Shares in Gold
Fields Limited.***
* Filed with the initial statement on Schedule 13D on April 7, 2004.
** Filed with the Amendment No. 1 to Schedule 13D on August 6, 2004.
*** Filed with the Amendment No. 2 to Schedule 13D on October 18, 2004.