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AENZA SAA Form 20-F Filed 2021-05-17

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AENZA SAA Form 20-F Filed 2021-05-17 SECURITIES AND EXCHANGE COMMISSION FORM 20-F Annual and transition report of foreign private issuers pursuant to sections 13 or 15(d) Filing Date: 2021-05-17 | Period of Report: 2020-12-31 SEC Accession No. 0001193125-21-162643 (HTML Version on secdatabase.com) FILER AENZA S.A.A. Mailing Address Business Address AV. PASEO DE LA AV. PASEO DE LA CIK:1572621| IRS No.: 000000000 | State of Incorp.:R5 | Fiscal Year End: 1231 REPUBLICA 4667 REPUBLICA 4667 Type: 20-F | Act: 34 | File No.: 001-35991 | Film No.: 21927289 LIMA R5 LIMA 34 LIMA R5 LIMA 34 SIC: 1600 Heavy construction other than bldg const - contractors 5112136565 Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 20-F ☐ REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ☐ SHELL COMPANY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of event requiring this shell company report For the transition period from to Commission file number 001-35991 AENZA S.A.A. (Formerly Graña y Montero S.A.A.) (Exact name of Registrant as specified in its charter) N/A (Translation of Registrants name into English) Republic of Peru (Jurisdiction of incorporation or organization) Av. Paseo de la República 4667 Surquillo Lima 34, Peru (Address of principal executive offices) Daniel Urbina Pérez, Chief Legal Officer Tel. 011-51-1-213-6565 [email protected] Av. Paseo de la República 4667 Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document Surquillo Lima 34, Peru (Name, telephone, e-mail and/or facsimile number and address of company contact person) Securities registered pursuant to Section 12(b) of the Act: Title of each class Trading Symbol Name of each exchange on which registered Common Shares, par value s/1.00 per share New York Stock Exchange* American Depositary Shares, each representing New York Stock Exchange five Common Shares AENZ * Not for trading purposes, but only in connection with the registration on the New York Stock Exchange of the American Depositary Shares representing those common shares. Securities registered pursuant to Section 12(g) of the Act: None Securities for which there is a reporting obligation pursuant to Section 15(d) of the Act: None Indicate the number of outstanding shares of each of the issuers classes of capital or common stock as of the close of the period covered by the annual report: At December 31, 2020 871,917,855 shares of common stock Indicate by check mark if the Registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes ☐ No ☒ If this report is an annual or transition report, indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934. Yes ☐ No ☒ Note - Checking the box above will not relieve any registrant required to file reports pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 from their obligations under those Sections. Indicate by check mark whether the Registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the Registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes ☐ No ☒ Indicate by check mark whether the Registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the Registrant was required to submit such files). Yes ☒ No ☐ Indicate by check mark whether the Registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or an emerging growth company. See definitions of large accelerated filer, accelerated filer, and emerging growth company in Rule 12b-2 of the Exchange Act. (Check one): Large accelerated filer ☐ Accelerated filer ☒ Non-accelerated filer ☐ Emerging growth company ☐ If an emerging growth company that prepares its financial statements in accordance with U.S. GAAP, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐ The term new or revised financial accounting standard refers to any update issued by the Financial Accounting Standards Board to its Accounting Standards Codification after April 5, 2012. Indicate by check mark whether the registrant has filed a report on and attestation to its managements assessment of the effectiveness of its internal control over financial reporting under Section 404(b) of the Sarbanes-Oxley Act (15 U.S.C. 7262(b)) by the registered public accounting firm that prepared or issued its audit report. Yes ☒ No ☐ Indicate by check mark which basis of accounting the Registrant has used to prepare the financial statements included in this filing: Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document U.S. GAAP ☐ International Financial Reporting Standards as issued Other ☐ by the International Accounting Standards Board ☒ If Other has been checked in response to the previous question, indicate by check mark which financial statement item the Registrant has elected to follow. Item 17 ☐ Item 18 ☐ If this is an annual report, indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes ☐ No ☒ Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document Table of Contents TABLE OF CONTENTS Page PART I. INTRODUCTION 1 ITEM 1. IDENTITY OF DIRECTORS, SENIOR MANAGEMENT AND ADVISERS 5 ITEM 2. OFFER STATISTICS AND EXPECTED TIMETABLE 5 ITEM 3. KEY INFORMATION 6 A. Selected Financial Data 6 B. Capitalization and Indebtedness 6 C. Reasons for the Offer and Use of Proceeds 6 D. Risk Factors 6 ITEM 4. INFORMATION ON THE COMPANY 36 A. History and Development of the Company 36 B. Business Overview 38 C. Organizational Structure 91 D. Property, Plant and Equipment 93 ITEM 4A. UNRESOLVED STAFF COMMENTS 94 ITEM 5. OPERATING AND FINANCIAL REVIEW AND PROSPECTS 94 A. Operating Results 94 B. Liquidity and Capital Resources 128 C. Research and Development, Patents and Licenses, Etc. 134 D. Trend Information 134 E. Off-Balance Sheet Arrangements 138 F. Tabular Disclosure of Contractual Obligations 138 G. Safe Harbor 139 ITEM 6. DIRECTORS, SENIOR MANAGEMENT AND EMPLOYEES 139 A. Directors and Senior Management 139 B. Compensation 145 C. Board Practices 146 D. Employees 150 E. Share Ownership 152 ITEM 7. MAJOR SHAREHOLDERS AND RELATED PARTY TRANSACTIONS 152 A. Major Shareholders 152 B. Related Party Transactions 154 C. Interests of Experts and Counsel 154 ITEM 8. FINANCIAL INFORMATION 154 A. Consolidated Statements and Other Financial Information. 154 B. Significant Changes. 157 ITEM 9. THE OFFER AND LISTING 157 A. Offer and Listing Details 157 B. Plan of Distribution 157 C. Markets 157 D. Selling Shareholders 159 E. Dilution 159 F. Expenses of the Issue 159 ITEM 10. ADDITIONAL INFORMATION 160 i Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document Table of Contents A. Share Capital 160 B. Memorandum and Articles of Association 160 C. Material Contracts 160 D. Exchange Controls 161 E. Taxation 161 F. Dividends and Paying Agents 167 G. Statement by Experts 167 H. Documents on Display 167 I. Subsidiary Information 168 ITEM 11. QUANTITATIVE AND QUALITATIVE DISCLOSURES ABOUT MARKET RISK 168 ITEM 12. DESCRIPTION OF SECURITIES OTHER THAN EQUITY SECURITIES 169 A. Debt Securities 169 B. Warrants and Rights 169 C. Other Securities 169 D. American Depositary Shares 169 Part II. 170 ITEM 13. DEFAULTS, DIVIDEND ARREARAGES AND DELINQUENCIES 170 ITEM 14. MATERIAL MODIFICATIONS TO THE RIGHTS OF SECURITY HOLDERS AND USE OF PROCEEDS 171 ITEM 15. CONTROLS AND PROCEDURES 171 A. Disclosure Controls and Procedures 171 B. Managements Annual Report on Internal Control Over Financial Reporting 171 C. Attestation Report of the Registered Public Accounting Firm 173 D. Changes in Internal Control Over Financial Reporting 173 Item 16. [RESERVED] 174 ITEM 16A. AUDIT COMMITTEE FINANCIAL EXPERT 174 ITEM 16B. CODE OF BUSINESS CONDUCT AND ETHICS 174 ITEM 16C. PRINCIPAL ACCOUNTANT FEES AND SERVICES 174 ITEM 16D. EXEMPTIONS FROM THE LISTING STANDARDS FOR AUDIT COMMITTEES 175 ITEM 16E. PURCHASES OF EQUITY SECURITIES BY THE ISSUER AND AFFILIATED PURCHASERS 175 ITEM 16F. CHANGE IN REGISTRANTS CERTIFYING ACCOUNTANT 175 ITEM 16G. CORPORATE GOVERNANCE 175 ITEM 16H. MINE SAFETY DISCLOSURE 176 ITEM 17. FINANCIAL STATEMENTS 176 ITEM 18. FINANCIAL STATEMENTS 176 ITEM 19. EXHIBITS 176 ii Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document Table of Contents PART I. INTRODUCTION Certain Definitions All references to we, us, our, our company, the group and AENZA in this annual report are to AENZA S.A.A. (formerly, Graña y Montero S.A.A.) a publicly-held corporation (sociedad anónima abierta) organized under the laws of the Republic of Peru (Peru). In this annual report, we refer to our principal subsidiaries, joint operations, joint ventures and associated companies as follows: (i) in our Engineering and Construction (E&C) segment: Cumbra Perú S.A.
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