# EDGAR Filing Document

**Accession Number:** 0000863064
**File Stem:** 0001628280-23-006596
**Filing Date:** 2023-3
**Character Count:** 7322
**Document Hash:** 74a6f0fac6bc61176c1af3afca274d9e
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001628280-23-006596.hdr.sgml**: 20230307

**ACCESSION NUMBER**: 0001628280-23-006596

**CONFORMED SUBMISSION TYPE**: 6-K

**PUBLIC DOCUMENT COUNT**: 4

**CONFORMED PERIOD OF REPORT**: 20230306

**FILED AS OF DATE**: 20230307

**DATE AS OF CHANGE**: 20230306

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** RIO TINTO PLC
- **CENTRAL INDEX KEY:** 0000863064
- **STANDARD INDUSTRIAL CLASSIFICATION:** METAL MINING [1000]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** X0
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 6-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-10533
- **FILM NUMBER:** 23710573

**BUSINESS ADDRESS:**
- **STREET 1:** 6 ST JAMES'S SQUARE
- **CITY:** LONDON, SW1Y 4AD
- **STATE:** X0
- **ZIP:** 00000
- **BUSINESS PHONE:** 44 20 7781 1623

**MAIL ADDRESS:**
- **STREET 1:** RIO TINTO SERVICES INC.
- **STREET 2:** 80 STATE STREET
- **CITY:** ALBANY
- **STATE:** NY
- **ZIP:** 12207-2543

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** RTZ CORPORATION PLC
- **DATE OF NAME CHANGE:** 19950522
**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** RIO TINTO LTD
- **CENTRAL INDEX KEY:** 0000887028
- **STANDARD INDUSTRIAL CLASSIFICATION:** METAL MINING [1000]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** C3
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 6-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-34121
- **FILM NUMBER:** 23710575

**BUSINESS ADDRESS:**
- **STREET 1:** 120 COLLINS STREET
- **STREET 2:** MELBOURNE
- **CITY:** VICTORIA 3000
- **STATE:** C3
- **ZIP:** AUSTRALIA
- **BUSINESS PHONE:** 44 20 7781 1623

**MAIL ADDRESS:**
- **STREET 1:** RIO TINTO SERVICES INC.
- **STREET 2:** 80 STATE STREET
- **CITY:** ALBANY
- **STATE:** NY
- **ZIP:** 12207-2543

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** CRA LTD
- **DATE OF NAME CHANGE:** 19950725

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**WASHINGTON, DC 20549**

**FORM 6-K**

**REPORT OF FOREIGN PRIVATE ISSUER**

**PURSUANT TO RULE 13A-16 OR 15D-16 UNDER**

**THE SECURITIES EXCHANGE ACT OF 1934**

**March 6, 2023**

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| | |
|:---|:---|
| **Commission file number: 001-10533** | **Commission file number: 001-34121** |
| **Rio Tinto plc** | **Rio Tinto Limited** |
| | **ABN 96 004 458 404** |
| (Translation of registrant's name into English) | (Translation of registrant's name into English) |
| **6 St. James's Square** | **Level 43, 120 Collins Street** |
| **London, SW1Y 4AD, United Kingdom** | **Melbourne, Victoria 3000, Australia** |
| (Address of principal executive offices) | (Address of principal executive offices) |

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Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F:

Form 20-F ☒ Form 40-F ☐

Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(1): ☐

Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(7): ☐

**THIS REPORT ON FORM 6-K SHALL BE DEEMED TO BE INCORPORATED BY REFERENCE IN EACH OF THE REGISTRATION STATEMENTS ON FORM F-3 OF RIO TINTO PLC (NO. 333-238553), RIO TINTO LIMITED (NO. 333-238553-01), RIO TINTO FINANCE (USA) INC. (NO. 333-238553-02), RIO TINTO FINANCE (USA) PLC (NO. 333-238553-03), AND RIO TINTO FINANCE (USA) LIMITED (NO. 333-238553-04) AND IN THE REGISTRATION STATEMENTS ON FORM S-8 OF RIO TINTO PLC (NOS. 333-184397 AND 333-224907), AND RIO TINTO LIMITED (NO. 333-224907-01) AND TO BE A PART THEREOF FROM THE DATE ON WHICH THIS REPORT IS FURNISHED, TO THE EXTENT NOT SUPERSEDED BY DOCUMENTS OR REPORTS SUBSEQUENTLY FILED OR FURNISHED.**

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**EXHIBITS**

99.1Stock Exchange announcement dated 6 March 2023 entitled '<u>[Rio Tinto resolves legacy U.S. Securities and Exchange Commission FCPA investigation](ex01secresolution.htm)</u>'

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**SIGNATURES**

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrants have duly caused this report to be signed on their behalf by the undersigned, thereunto duly authorised.

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| | | | |
|:---|:---|:---|:---|
| **Rio Tinto plc** | **Rio Tinto plc** | **Rio Tinto Limited** | **Rio Tinto Limited** |
| (Registrant) | (Registrant) | (Registrant) | (Registrant) |
| By | /s/ Steve Allen | By | /s/ Steve Allen |
| Name | Steve Allen | Name | Steve Allen |
| Title | Company Secretary | Title | Joint Company Secretary |
| Date | March 6, 2023 | Date | March 6, 2023 |

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## Exhibit 99.1

![](ex01secresolution001.jpg)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Notice to ASX/LSE Rio Tinto resolves legacy U.S. Securities and Exchange Commission FCPA investigation 6 March 2023 Rio Tinto has today resolved a previously self-disclosed investigation by the U.S. Securities and Exchange Commission (SEC) into certain contractual payments made to a former consultant over a decade ago in 2011, relating to the Simandou project in the Republic of Guinea. Without admitting to or denying the SEC's findings, Rio Tinto has agreed to pay a $15 million civil penalty for violations of the books and records and internal controls provisions of the Foreign Corrupt Practices Act (FCPA). In connection with the settlement, Dominic Barton, Chairman of Rio Tinto said: "We are glad to have resolved this matter related to events that occurred over a decade ago on appropriate and reasonable terms. When Rio became aware of the issue, an internal investigation was immediately launched, and we proactively notified the appropriate authorities. "Since becoming aware, Rio Tinto has taken significant actions to enhance our compliance programme based on best practices. Under current leadership we are taking action to build a culture guided by our values of care, courage and curiosity; an environment where every team member feels comfortable to speak up if something is not right. We remain committed to conducting business to the highest standards of integrity, and ensuring that our projects benefit communities, host governments, shareholders, and customers." EXHIBIT 99.1

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![](ex01secresolution002.jpg)

Notice to ASX/LSE 2 / 2 Contacts Please direct all enquiries to media.enquiries@riotinto.com Media Relations, United Kingdom Matthew Klar M +44 7796 630 637 David Outhwaite M +44 7787 597 493 Media Relations, Australia Matt Chambers M +61 433 525 739 Jesse Riseborough M +61 436 653 412 Alyesha Anderson M +61 434 868 118 Media Relations, Americas Simon Letendre M +1 514 796 4973 Malika Cherry M +1 418 592 7293 Investor Relations, United Kingdom Menno Sanderse M +44 7825 195 178 David Ovington M +44 7920 010 978 Clare Peever M +44 7788 967 877 Investor Relations, Australia Tom Gallop M +61 439 353 948 Amar Jambaa M +61 472 865 948 Rio Tinto plc 6 St James's Square London SW1Y 4AD United Kingdom T +44 20 7781 2000 Registered in England No. 719885 Rio Tinto Limited Level 43, 120 Collins Street Melbourne 3000 Australia T +61 3 9283 3333 Registered in Australia ABN 96 004 458 404 This announcement is authorised for release to the market by Steve Allen, Rio Tinto's Group Company Secretary. riotinto.com

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