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Gold Fields (NYSE: GFI) EVP discloses share and incentive rights stake

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
3

Rhea-AI Filing Summary

Gold Fields Limited EVP Legal & Governance Kelly Michelle Carter filed an initial ownership report showing a mix of direct shares and equity awards. She holds 21,144 Ordinary Shares directly. She also has 3,583 restricted share rights granted as deferred short‑term incentive awards and matching share rights over 4,700 and 4,308 Ordinary Shares under the company’s minimum shareholding policy. These awards have an exercise price of zero and are scheduled to vest on March 1, 2028, subject to continued service and, for matching shares, meeting the minimum shareholding requirements.

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Insider Carter Kelly Michelle
Role EVP Legal & Governance
Type Security Shares Price Value
holding Restricted Share Rights -- -- --
holding Matching Share Rights -- -- --
holding Matching Share Rights -- -- --
holding Ordinary Shares -- -- --
Holdings After Transaction: Restricted Share Rights — 3,583 shares (Direct); Matching Share Rights — 4,700 shares (Direct); Ordinary Shares — 21,144 shares (Direct)
Footnotes (1)
  1. Each restricted share right represents a conditional right to receive one ordinary share of Gold Fields Limited (the "Company"). The Reporting Person was granted restricted share rights in the form of deferred short-term incentive awards under the Company's Share Incentive Plan 2025. The awards vest on March 1, 2028, subject to the Reporting Person's continued service to the Company or its subsidiaries and the terms of the plan. Consists of matching shares of the Company awarded to the Reporting Person under the Company's Minimum Shareholding Requirement Policy ("MSR Policy"). The matching shares vest on March 1, 2028, subject to the Reporting Person's continued service to the Company or its subsidiaries, and satisfaction of the minimum shareholding requirement as set out in the MSR Policy. Consists of matching shares of the Company awarded to the Reporting Person under the Company's MSR Policy. The matching shares will vest on March 1, 2028, subject to the Reporting Person's continued service to the Company or its subsidiaries, and satisfaction of the minimum shareholding requirement as set out in the MSR Policy.
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SEC Form 3
FORM 3UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0104
Estimated average burden
hours per response:0.5
1. Name and Address of Reporting Person*
Carter Kelly Michelle
(Last)(First)(Middle)
150 HELEN ROAD
SANDOWN
(Street)
SANDTON2196
(City)(State)(Zip)
SOUTH AFRICA
(Country)		2. Date of Event Requiring Statement (Month/Day/Year)
03/18/2026		3. Issuer Name and Ticker or Trading Symbol
GOLD FIELDS LTD [ GFI ]
3a. Foreign Trading Symbol
[GFI] 		5. If Amendment, Date of Original Filed (Month/Day/Year)
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director10% Owner
XOfficer (give title below)Other (specify below)
EVP Legal & Governance
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Ordinary Shares21,144D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year)3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Share Rights03/01/2028(1)03/01/2028Ordinary Shares3,583$0D
Matching Share Rights03/01/2028(2)03/01/2028Ordinary Shares4,700$0D
Matching Share Rights03/01/2028(3)03/01/2028Ordinary Shares4,308$0D
Explanation of Responses:
1. Each restricted share right represents a conditional right to receive one ordinary share of Gold Fields Limited (the "Company"). The Reporting Person was granted restricted share rights in the form of deferred short-term incentive awards under the Company's Share Incentive Plan 2025. The awards vest on March 1, 2028, subject to the Reporting Person's continued service to the Company or its subsidiaries and the terms of the plan.
2. Consists of matching shares of the Company awarded to the Reporting Person under the Company's Minimum Shareholding Requirement Policy ("MSR Policy"). The matching shares vest on March 1, 2028, subject to the Reporting Person's continued service to the Company or its subsidiaries, and satisfaction of the minimum shareholding requirement as set out in the MSR Policy.
3. Consists of matching shares of the Company awarded to the Reporting Person under the Company's MSR Policy. The matching shares will vest on March 1, 2028, subject to the Reporting Person's continued service to the Company or its subsidiaries, and satisfaction of the minimum shareholding requirement as set out in the MSR Policy.
Remarks:
/s/ Kelly Michelle Carter03/18/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 3: SEC 1473 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What does the Gold Fields (GFI) Form 3 filing by Kelly Michelle Carter show?

The Form 3 shows that EVP Legal & Governance Kelly Michelle Carter reports ownership of 21,144 Ordinary Shares and several equity awards. These include restricted share rights and matching share rights that may convert into additional Ordinary Shares if vesting conditions are met.

How many Gold Fields (GFI) restricted share rights does Kelly Michelle Carter report?

She reports 3,583 restricted share rights, each representing a conditional right to receive one Ordinary Share. These were granted as deferred short‑term incentive awards and are scheduled to vest on March 1, 2028, subject to her continued service and plan terms.

What matching share rights in Gold Fields (GFI) does Kelly Michelle Carter hold?

She reports two blocks of matching share rights: one over 4,700 Ordinary Shares and another over 4,308 Ordinary Shares. Both were awarded under the company’s Minimum Shareholding Requirement Policy and are scheduled to vest on March 1, 2028, subject to conditions.

When do Kelly Michelle Carter’s Gold Fields (GFI) equity awards vest?

The restricted share rights and matching share rights are scheduled to vest on March 1, 2028. Vesting depends on her continued service to Gold Fields or its subsidiaries, and for matching shares, meeting the minimum shareholding requirement set out in the company’s MSR Policy.

Does the Gold Fields (GFI) Form 3 show any recent share purchases or sales by Kelly Michelle Carter?

No buy or sell transactions are reported. The Form 3 lists existing holdings and awards, including Ordinary Shares and various share rights. All transaction entries are categorized as holdings with unknown transaction codes, indicating this is an initial ownership statement rather than a trade report.

What is the exercise price of Kelly Michelle Carter’s Gold Fields (GFI) share rights?

The restricted share rights and matching share rights have an exercise price of 0.0000 per share. Each right represents a conditional entitlement to receive one Ordinary Share upon vesting, subject to continued service and, for matching shares, compliance with the minimum shareholding policy.