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American Depositary Receipts (ADRs)

We are aware that certain US banks have issued ADRs in respect of Anglo American's ordinary shares. However, such receipts are not issued or sponsored by Anglo American and any questions in relation to ADRs should be directed to the relevant ADR issuing bank.

Anglo American unsponsored ADRs trade on the OTCBB Pink Sheets under the ticker AAUKY.

A list of frequently asked questions appears below. If you cannot find the answer you need, please contact us.

What is an ADR?

An ADR is an American Depositary Receipt issued by a US depository bank, representing shares of a non-US company held by the bank. One ADR may represent all or a portion of the underlying share.

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Who are the issuers of Anglo American ADRs?

Although we have not sponsored the ADRs issued in respect of our ordinary shares, we understand that the transfer agents for the various ADR issuers are as follows:

Deutsche Bank - American Stock Transfer
JP Morgan - Wells Fargo
Citibank - Computershare
Bank of New York - Bank of New York

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What does it mean when Anglo American's ADRs are referred to as being "unsponsored"?

Anglo American plc has not participated in the issue of ADRs representing Anglo American ordinary shares and as such we have no contractual relationship with the issuers of the ADRs, no US transfer agent and no control over or involvement with the terms of the ADR issues.

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Why can I not margin my AAUK shares?

Anglo American plc ordinary shares are not listed on any US securities exchange, although unsponsored ADRs issued in respect of our ordinary shares are traded on NASDAQ. Whilst we are aware that certain banks have issued ADRs in respect of our shares, such ADRs are not sponsored by Anglo American. Please contact your broker with any questions relating to trading on margin.

Deutsche Bank - American Stock Transfer
JP Morgan - Wells Fargo
Citibank - Computershare
Bank of New York - Bank of New York

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What are the forthcoming dividend record, ex-dividend and payment dates for American ADR holders?

Anglo American's ADR programme is unsponsored; as such, you will need to contact your transfer agent for this information. The dividend record, ex-dividend and payment dates for the underlying Anglo American plc ordinary shares are posted on this website. We understand that the transfer agents for the various ADR issuers are:

Deutsche Bank - American Stock Transfer
JP Morgan - Wells Fargo
Citibank - Computershare
Bank of New York - Bank of New York

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I have inherited some AAUK stock. How do I change the details on the share certificates?

Anglo American's ADR programme is unsponsored, and as such we have no contractual relationship with the issuer of the ADRs, no US transfer agent and no control over or involvement with the terms of the ADR issue. You will need to contact the ADR transfer agent for this information. We understand that the transfer agents for the various ADR issuers are as follows:

Deutsche Bank - American Stock Transfer
JP Morgan - Wells Fargo
Citibank - Computershare
Bank of New York - Bank of New York

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Why has a 'fee' been subtracted from my dividend payment?

Anglo American plc's ADR programme is unsponsored and consequently we have no contractual relationship with the issuer of the ADRs, and no control over or involvement with the terms of the ADR issue. Normally in cases where financial institutions create an unsponsored ADR facility, the ADR issuing banks charge certain fees with respect to ADRs in accordance with the terms and conditions of the issue of the ADRs, which often include a fee upon the conversion of dividends paid on the underlying securities into US dollars. If you require further information on this point we suggest you contact the issuing bank. We understand the transfer agents for the various ADR issuers are as follows:

Deutsche Bank - American Stock Transfer
JP Morgan - Wells Fargo
Citibank - Computershare
Bank of New York - Bank of New York

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Why have the unsponsored Anglo American ADRs been delisted from the NASDAQ?

The unsponsored ADRs for ordinary shares of Anglo American plc were created by various financial institutions, or issuing banks, and are not a result of any action taken by Anglo American – indeed Anglo American has no contractual or other arrangements regarding these ADRs with any of the issuing banks. Anglo American has not registered its shares with the SEC nor has it sought to list its ADRs in the US but the unsponsored ADRs were listed on NASDAQ at the request of the issuing banks (inter alia JP Morgan, Bank of New York Mellon etc).

Until recently, unsponsored ADRs traded on the NASDAQ SmallCap Issuers market. However, as a consequence of NASDAQ becoming a “national securities exchange” the SEC required all securities trading on this exchange to be registered under section 12(b) of the Securities Exchange Act, subject to a grace period which expired on 1 August 2009. Registration under the Securities Exchange Act involves a significant and unnecessary cost burden and, consistent with its position over many years, Anglo American, like certain other overseas companies decided not to seek such a registration. Hence, the delisting from NASDAQ and the move to the OTC Pink Sheets on 1 August 2009 occurred automatically.

The unsponsored ADRs continue to be listed on the OTC Pink Sheets and the following market makers currently make a market in them:

MMID Name Location
ABLE Natixis Bleichroeder, Inc New York, NY
ARCA Archipelago Trading Services Inc. Chicago, IL
AUTO Automated Trading Desk Fincl Svcs Mt. Pleasant, SC
DOMS Domestic Securities, Inc. Edison, NJ
ETRF E*Trade Capital Markets, LLC IMM Chicago, IL
HDSN Hudson Securities, Inc OTC Trading - Jersey City, NJ
IAEX Israel A. Englander & CO New York, NY
INTL Intl Trading, Inc. Trading Room - Altamonte Springs, FL
JANE Jane Street Markets, LLC New York, NY
JEFF Jefferies & Co., Inc. New York, NY
JSUP Jesup & Lamont Securities Corp. Longwood, FL
LABS LaBranche Financial Services, Inc. Trading Dept. NY
LAFC R. F. Lafferty & Co. New York, NY
LFCM Lighthouse Financial Group LLC New York, NY
MAXM Maxim Group LLC Red Bank, NJ
MLCO Merrill Lynch, Pierce, FS New York, NY
NITE Knight Equity Markets, LP Jersey City, NJ
PALC Pali Capital Inc New York, NY
PERT Pershing Trading Company Jersey City, NJ
SBSH Citigroup Global Markets Inc. New York, NY
STEW Collins Stewart Inc. New York, NY
STXG StockCross Financial Services Lake Mary, FL
VERT The Vertical Group Inc. New York, NY
VNDM Vandham Securities Corp. Woodclifflake, NJ Foreign
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