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COMUNICADO AO MERCADO
A RUMO S.A. (B3: RAIL3) (“Rumo” ou “Companhia”), nos termos da Instrução da Comissão
de Valores Mobiliários nº 480 (“ICVM 480”), conforme alterada, comunica aos seus
acionistas e ao mercado em geral que, na presente data, o Conselho de Administração da
Companhia aprovou um aumento de capital social da Companhia, dentro do limite de capital
autorizado, nos termos do artigo 6º do Estatuto Social, para fazer face ao plano de outorga
de opções de ações vigente, mediante a emissão de novas ações ordinárias da Companhia.
Não será concedido o direto de preferência na subscrição das novas ações aos demais
acionistas da Companhia, conforme dispõe o Artigo 171, parágrafo 3º da Lei 6.404/76.
Ricardo Lewin
Vice-Presidente Financeiro e Diretor de Relações com Investidores
ANEXO 30-XXXII - ICVM 480
Emissão de 890.019 (oitocentas e noventa mil e dezenove) novas ações ordinárias, sem valor
nominal, dentro do limite do capital autorizado, conforme dispõe o Artigo 6º do Estatuto
Social da Companhia. O número de ações passa das atuais 1.853.268.772 (um bilhão,
oitocentas e cinquenta e três milhões, duzentas e sessenta e oito mil, setecentas e setenta
e duas) ações ordinárias, todas sem valor nominal, para 1.854.158.791 (um bilhão,
oitocentas e cinquenta e quatro milhões, cento e cinquenta e oito mil e setecentas e
noventa e uma) ações ordinárias sem valor nominal, sendo que as ações serão integralizadas
à vista, no ato da subscrição, em moeda corrente nacional pelos beneficiários elegíveis no
Plano de Ações – Ano Calendário 2015. As ações ordinárias emitidas conferirão aos seus
titulares os mesmos direitos e vantagens conferidos às ações de mesma espécie, de acordo
com o estabelecido na nos termos da Lei nº 6.404, de 15 de dezembro de 1976, conforme
alterada (“Lei das Sociedades por Ações”) e no Estatuto Social da Companhia.
a. Cotação mínima, média e máxima de cada ano, nos últimos 3 (três) anos;
b. Cotação mínima, média e máxima de cada trimestre, nos últimos 2 (dois) anos;
c. Cotação mínima, média e máxima de cada mês, nos últimos 6 (seis) meses; e
R$/ação Média
De 01.06.2020 a 30.09.2020 22,45
RUMO S.A. (B3: RAIL3) (“Rumo” or “Company”), pursuant to Instruction issued by the Brazilian
Securities and Exchange Commission No. 480 (“ICVM 480”), as amended, hereby informs its
shareholders and the market in general that, on this present date, the Company’s Board of
Directors approved the Company’s capital increase, within the limit of authorized capital,
pursuant to Article 6 of the Company’s Bylaws to cope with the stock option plan in force, by
issuing new common shares of the Company.
The Board of Directors approved the issue of 890,019 new common shares, in the total amount
of R$8,900.19. Therefore, the Company’s capital stock shall increase from R$16,054,897,107.32,
divided into 1,853,268,772 common shares, to R$16,054,906,007.51, divided into 1,854,158,791
non-par common shares, and the percentage of potential dilution resulting from the issue is
0.05%.
The preemptive right in the subscription of new shares shall not be granted to other
shareholders of the Company, as provided for in Article 171, Paragraph 3 of Law No. 6.404/76.
In compliance with Article 30, XXXII of ICVM 480, the Company discloses the information
requested by CVM, according to the information attached hereto.
Ricardo Lewin
Chief Financial and Investor Relations Officer
EXHIBIT 30-XXXII - ICVM 480
VII. Date of shareholders’ general meeting in which the stock option plan was approved.
The Company’s Annual and Extraordinary Shareholders’ Meeting held on December 19, 2016,
approved, among other matters, the Company’s Share-Based Compensation Plan (“Stock Plan”).
On July 22, 2020, the Shareholders’ General Meeting approved the amendment to the Stock
Plan (“AGE 07.22.2020”), and authorized the Company, within authorized capital of its Bylaws,
to issue new shares without preemptive right to other shareholders, pursuant to Article 171,
Paragraph 3 of Law No. 6.404/1976, aiming at effectively delivering shares to those eligible to
the Stock Plan. Through this amendment, the Stock Plan now foresees both the grant as
Restricted Stocks (mode entitling to receive in the future the shares issued by the Company) and
the mode of a stock option to acquire the shares issued by the Company (“Options”).
On August 13, 2020, the Company’s Board of Directors approved the replacement of all the
grants of the Stock Plan by the mode of Restricted Stocks by Option, due to the amendment
approved at the AGE 07.22.2020.
The Board of Directors’ meeting held on October 2, 2015, approved the Company’s Stock Option
Grant Program or the Stock Subscription– 2015 Calendar year.
Capital increase totaling eight thousand, nine hundred Reais and nineteen centavos (R$
8,900.19), from current sixteen billion, fifty-four million, eight hundred, ninety-seven thousand,
one hundred, seven Reais and thirty-two centavos (R$16,054,897,107.32), to sixteen billion,
fifty-four million, nine hundred, six thousand, seven Reais and fifty-one centavos
(R$16,054,906,007.51).
Issue of eight hundred, ninety thousand and nineteen (890,019) non-par, new common shares,
within the limit of authorized capital, as provided for in Article 6 of the Company’s Bylaws. The
number of shares shall increase from current one billion, eight hundred, fifty-three million, two
hundred, sixty-eight thousand, seven hundred and seventy-two (1,853,268,772) non-par
common shares, to one billion, eight hundred, fifty-four million, one hundred, fifty-eight
thousand, seven hundred and ninety-one (1,854,158,791) non-par common shares, and shares
shall be fully paid in cash, upon subscription, in domestic currency by beneficiaries eligible to
the Stock Plan – 2015 Calendar Year. The common shares issued shall confer to their holders the
same rights and advantages granted to the shares of the same type, according to provisions of
Law No. 6.404 of December 15, 1976, as amended (“Brazilian Corporation Law”) and the
Company’s Bylaws.
XI. Quote of each type and class of shares of issuer in the markets where these are traded,
identifying:
e. Minimum, average, and maximum quote of each year, in the last three (3) years;
R$/share Minimum Average Maximum
10.01.2017 to 09.30.2018 11.29 13.48 15.27
10.01.2018 to 09.30.2019 14.80 19.07 24.42
10.01.2019 to 10.01.2020 14.24 22.40 26.78
f. Minimum, average, and maximum quote of each quarter, in the last two (2) years;
g. Minimum, average, and maximum quote of each month, in the last six (6) months; and
R$/share Average
From 06.01.2020 to 30.09.2020 22.45