Vale executive files initial Form 3 ownership

Vale S.A. filed an initial Form 3 for executive Usmar Shaun A., who serves as CEO of VBM.

Rhea-AI Filing Summary

Vale S.A. filed an initial Form 3 for executive Usmar Shaun A., who serves as CEO of VBM. This filing establishes him as a reporting person for Vale under U.S. securities rules. The filing lists no common stock or derivative transactions and shows no changes in ownership.

Key Terms

Form 3, reporting person, derivative transactions

3 terms

Form 3 regulatory

"Vale S.A. filed an initial Form 3 for executive Usmar Shaun A."

Form 3 is the initial public filing that officers, directors and large shareholders must submit to report their ownership of a company’s securities when they become insiders. It acts like an opening inventory sheet that gives investors a starting point to see who holds significant stakes and to spot later trades or potential conflicts of interest, helping assess insider confidence and transparency.

reporting person regulatory

"This filing establishes him as a reporting person for Vale under U.S. securities rules."

derivative transactions financial

"The filing lists no common stock or derivative transactions and shows no changes in ownership."

Derivative transactions are contracts whose value depends on the price or performance of something else—like stocks, bonds, currencies, interest rates or commodities. Think of them as insurance or bets about a future price: investors use them to protect against losses, lock in prices, or try to amplify returns, but they can also magnify losses, create cash demands and expose a firm to the risk that the other party won’t meet its obligation, so they can materially affect a company’s financial stability and volatility.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the Vale (VALE) Form 3 filed for Usmar Shaun A. show?

The Form 3 identifies Usmar Shaun A., CEO of VBM, as a reporting person for Vale S.A. It serves as his initial ownership statement and shows no reported stock or derivative transactions in this filing.

Does the Vale (VALE) Form 3 for Usmar Shaun A. show any insider buying or selling?

No insider buying or selling is reported. The transaction summary lists zero buy, sell, acquire, dispose, exercise, gift, tax withholding, and restructuring transactions, indicating no trading activity in this Form 3.

Who is the reporting person in this Vale (VALE) Form 3 filing?

The reporting person is Usmar Shaun A., identified as an officer of Vale S.A. with the title CEO of VBM. This filing formally registers him as subject to insider reporting requirements for Vale.

Are any derivative securities reported in the Vale (VALE) Form 3 for Usmar Shaun A.?

No derivative securities are reported. The derivative summary is empty and the transaction summary shows zero derivative transactions and zero shares tied to derivative exercises in this initial statement.

What is the purpose of this Vale (VALE) Form 3 with no transactions?

This Form 3 functions as an initial ownership report for a new reporting person, Usmar Shaun A. It sets up ongoing insider reporting for future transactions, even though no trades or holdings are detailed in this specific filing.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 03/31/2026 - 07:01 PM EDT Learn about SEC filing dates

SEC Form 3

FORM 3

UNITED 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^*

Usmar Shaun A.

(Last) (First) (Middle)

C/O ASSISTANT CORPORATE SECRETARY

PEABODY ENERGY CORP., 701 MARKET ST.

(Street)

ST. LOUIS MISSOURI 63101

(City) (State) (Zip)

UNITED STATES

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
03/18/2026

3. Issuer Name and Ticker or Trading Symbol
Vale S.A. [ VALE ]

3a. Foreign Trading Symbol
[VALE3]

5. If Amendment, Date of Original Filed (Month/Day/Year)

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	CEO of VBM

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form 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)

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 Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

Remarks:

Exhibit 24 - Power of Attorney

No securities are beneficially owned.

	/s/ Thiago Kiill Lofiego, Attorney-in-fact	03/31/2026
	** Signature of Reporting Person	Date
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)