ADR information

American depository receipts transfer agent

Frequently asked questions about ADRs

What is an American Depositary Receipt (ADR)?
An ADR is a negotiable U.S. certificate representing ownership of shares in a non-U.S. corporation. ADRs are quoted and traded in U.S. dollars in the U.S. securities market. Also, the dividends are paid to investor in U.S.dollars. ADRs were specifically designed to facilitate the purchase, holding and sale of non-U.S. securities by U.S. investor, and to provide a corporate finance vehicle for non-U.S. companies.

What types of companies issue ADRs?
ADRs issuers are typically large multinational corporations. Any non-U.S. company seeking to raise capital in the U.S. or increase their base of U.S. investor can issue ADRs.

Is it easy to get information and updates on an ADR company?
Investors receive annual reports and proxy materials in English. ADR issuers generally have full information in English about themselves on their websites, as well as on the main depositary bank websites, and are better tracked by the main U.S. financial websites. ADRs listed on U.S. exchanges provide holders with the same level of information as any other U.S. security. Trading information is readily available, financials are reconciled to U.S. Generally Accepted Accounting Principles (GAAP), and the SEC regulates the Company's disclosure to investor.

Where are Gold Fields’ ADRs traded?
The ADRs are listed and traded on the NYSE Stock Market. The trading code is GFI. The CUSIP number is 38059T106. The ratio between the ordinary share and the ADR is 1:1.

Who is Gold Fields’ depositary for ADRs?
The Bank of New York Mellon. The depositary bank plays a key role in the process of issuance and as cancellation of ADRs. It also maintains the ADR holder register and distributes the dividends in US dollars. For additional information, please visit The Bank of New York Mellon’s website at www.adrbny.com or contact the shareholder services department:

What is the difference between a Registered holder and a Beneficial ADR holder?
A registered holder is one whose name appears on the books of the depositary. The registered holder is considered the owner of record. A beneficial holder is one whose holdings are registered in a name other than their own, such as in the name of a broker, bank or nominee.

How are ADR dividends paid and taxed?
Dividends are paid in U.S. dollars and are generally taxable, just like dividends on U.S. shares. In addition, taxes may be withheld by the ADR company's local government. Depending on individual circumstances, foreign taxes withheld might be applied as a credit against U.S. taxes, or tax reclaim opportunities may be offered

How can I find out dividend and corporate action information on Gold Fields?
For dividend and corporate action information, please visit www.adrbny.com. Go to the "Investors" button and click on "DR Corporate Actions" and then enter company name, CUSIP or symbol.

How can I buy ADRs via a US Broker?
You can buy an ADR through a broker, just as you would U.S. securities. You can purchase Depositary Receipts through BNY Brokerage, Inc. BNY Brokerage Inc. is a wholly owned subsidiary of The Bank of New York Mellon Company and provides professional trade execution to meet all of your investing needs. BNY Brokerage, Inc. is a member NASD/SIPC, and is a wholly-owned subsidiary of The Bank of New York Mellon Company, Inc. Securities are not FDIC insured and may lose value.
BNY Brokerage, Inc.
101 Barclay St. - Fl. 12W
New York, NY 10286
Tel :1-800-255-8282

How can I buy an via a Direct Purchase or Dividend Reinvestment Plan
Global BuyDIRECT, a Direct Sale/Dividend Reinvestment Plan sponsored by The Bank of New York Mellon, offers investors the opportunity to purchase Depositary Receipts at commissions that are typically less than a retail broker. The Global BuyDIRECT Plan is a dividend reinvestment and direct purchase plan open to existing shareholders and new investors. Through the program, participants can buy initial and additional ADSs, sell ADSs and reinvest dividends all at commissions that are typically less than a retail broker.
For information on the Global BuyDIRECT plan, please visit www.adrbny.com. Go to the “Investors” section and then click on “How to Buy DRs”, followed by “Global BuyDIRECT”. To request plan brochures and enrollment forms for companies offering Global BuyDIRECT, please call +1.800.345.1612
Toll Free Telephone for U.S. Global BuyDIRECT participants: +1.888.BNY.ADRS

Telephone for International Callers: +1.212.815.3700
Email: shareowner-svcs@bankofny.com

How can I convert ordinary shares in Gold Fields into Gold Fields ADRs?
A shareholder wishing to convert Johannesburg Stock Exchange-listed ordinary shares in to ADRs should, in the first instance, request that their broker contact the ADR Broker Desk at The Bank of New York Mellon. Contact details can be found below;

Contacts

UK
Mark Lewis
Tel: +44 (0) 20 7964 6089
Fax: +44 (0) 20 7964 6024
E-mail: mark.lewis@bnymellon.com

US
Jason Paltrowitz
Tel: +1 212 815 2077
Fax: +1 212 5713050
E-mail: jason.paltrowitz@bnymellon.com

Alternatively, the shareholder may contact the ADR Broker Desk at The Bank of New York Mellon direct.

1. When contacting the ADR Broker Desk, the broker will be asked to confirm the following information:
   1. the number of ordinary shares the shareholder wishes to convert into ADRs (based on the current ratio of 1 ordinary share equals 1 ADR);
   2. the custodian name, account name and account number of the account in South Africa from which the ordinary shares will be delivered;
   3. the number of the DTC account in the US to which the shareholder wishes their ADRs to be credited. If the shareholder does not have a DTC account, they will need to appoint a nominee (e.g. a broker) to hold the ADRs on their behalf.

1. Once these details have been confirmed, the broker (or shareholder) should instruct the delivery of the ordinary shares from their custody account in South Africa.

3. On the day that the local custodian confirms to The Bank of New York Mellon that the ordinary shares have settled in The Bank of New York Mellon account, The Bank of New York Mellon will instruct the delivery of the equivalent amount of ADRs to the requested DTC account.
4. A fee per ADR issued is payable to The Bank of New York Mellon upon the delivery of the ADRs. Most commonly, when The Bank of New York Mellon delivers the ADRs to the specified DTC account, this is done on a delivery versus payment (DVP) instruction against the conversion fee. If an alternative method of payment is required, please contact the Broker Desk for further details. Where the DTC account is operated by a broker on behalf of a shareholder, the broker should confirm to the shareholder that it has received the ADRs and is holding them on his/her behalf.