FORM 6-K
SECURITIES AND EXCHANGE COMMISSION
Washington D.C. 20549
Report of Foreign Private Issuer
Pursuant to Rule 13a-16 or 15d-16
of the Securities Exchange Act of 1934
For the
month of April 2021
Commission
File Number: 001-10306
NatWest
Group plc
RBS,
Gogarburn, PO Box 1000
Edinburgh
EH12 1HQ
(Address
of principal executive offices)
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 X 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):_________
Indicate
by check mark whether the registrant by furnishing the information
contained in this Form is also thereby furnishing the information
to the Commission pursuant to Rule 12g3-2(b) under the Securities
Exchange Act of 1934.
Yes ___
No X
If
"Yes" is marked, indicate below the file number assigned to the
registrant in connection with Rule 12g3-2(b): 82-
________
The following information was issued as Company announcements
in London, England and is furnished pursuant to General Instruction
B to the General Instructions to Form
6-K:
|
Exhibit
No. 1
|
Block
Listing Six Monthly Return dated 07 April 2021
|
|
Exhibit
No. 2
|
Form
8.3 Disclosure dated 19 April 2021
|
|
Exhibit
No. 3
|
Form
8.3 Disclosure dated 23 April 2021
|
|
Exhibit
No. 4
|
Form
8.3 Disclosure dated 27 April 2021
|
|
Exhibit
No. 5
|
Form
8.3 Disclosure dated 28 April 2021
|
|
Exhibit
No. 6
|
Total
Voting Rights dated 30 April 2021
|
Exhibit
No. 1
BLOCK LISTING SIX MONTHLY RETURN
Date: 7 April
2021
|
Name of applicant:
|
NatWest Group plc
|
|
Name of scheme:
|
NatWest Group plc 2007 Sharesave Plan
|
|
Period of return:
|
From:
|
1 October 2020
|
To:
|
31 March 2021
|
|
Balance of unallotted securities under scheme(s) from previous
return:
|
9,851,637
|
|
Plus: The amount by which the block scheme(s) has been
increased since the date of the last return (if any increase has
been applied for):
|
0
|
|
Less: Number of securities issued/allotted under scheme(s)
during period (see LR3.5.7G):
|
0
|
|
Equals: Balance under scheme(s) not yet issued/allotted at
end of period:
|
9,851,637
|
|
Name of contact:
|
Mark Stevens
|
|
Telephone number of contact:
|
0131 556 8555
|
|
Name of applicant:
|
NatWest Group plc
|
|
Name of scheme:
|
NatWest Group plc 2007 Irish Sharesave Plan
|
|
Period of return:
|
From:
|
1 October 2020
|
To:
|
31 March 2021
|
|
Balance of unallotted securities under scheme(s) from previous
return:
|
1,333,341
|
|
Plus: The amount by which the block scheme(s) has been
increased since the date of the last return (if any increase has
been applied for):
|
0
|
|
Less: Number of securities issued/allotted under scheme(s)
during period (see LR3.5.7G):
|
0
|
|
Equals: Balance under scheme(s) not yet issued/allotted at
end of period:
|
1,333,341
|
|
Name of contact:
|
Mark Stevens
|
|
Telephone number of contact:
|
0131 556 8555
|
|
Name of applicant:
|
NatWest Group plc
|
|
Name of scheme:
|
NatWest Group plc UK Sharesave Plan 2017
|
|
Period of return:
|
From:
|
1 October 2020
|
To:
|
31 March 2021
|
|
Balance of unallotted securities under scheme(s) from previous
return:
|
987,840
|
|
Plus: The amount by which the block scheme(s) has been
increased since the date of the last return (if any increase has
been applied for):
|
0
|
|
Less: Number of securities issued/allotted under scheme(s)
during period (see LR3.5.7G):
|
0
|
|
Equals: Balance under scheme(s) not yet issued/allotted at
end of period:
|
987,840
|
|
Name of contact:
|
Mark Stevens
|
|
Telephone number of contact:
|
0131 556 8555
|
|
|
|
|
Name of applicant:
|
NatWest Group plc
|
|
Name of scheme:
|
NatWest Group plc Irish Sharesave Plan 2017
|
|
Period of return:
|
From:
|
1 October 2020
|
To:
|
31 March 2021
|
|
Balance of unallotted securities under scheme(s) from previous
return:
|
500,000
|
|
Plus: The amount by which the block scheme(s) has been
increased since the date of the last return (if any increase has
been applied for):
|
0
|
|
Less: Number of securities issued/allotted under scheme(s)
during period (see LR3.5.7G):
|
0
|
|
Equals: Balance under scheme(s) not yet issued/allotted at
end of period:
|
500,000
|
|
Name of contact:
|
Mark Stevens
|
|
Telephone number of contact:
|
0131 556 8555
|
|
Name of applicant:
|
NatWest Group plc
|
|
Name of scheme:
|
NatWest Group plc 2010 Long Term Incentive Plan
|
|
Period of return:
|
From:
|
1 October 2020
|
To:
|
31 March 2021
|
|
Balance of unallotted securities under scheme(s) from previous
return:
|
10,339,303
|
|
Plus: The amount by which the block scheme(s) has been
increased since the date of the last return (if any increase has
been applied for):
|
0
|
|
Less: Number of securities issued/allotted under scheme(s)
during period (see LR3.5.7G):
|
0
|
|
Equals: Balance under scheme(s) not yet issued/allotted at
end of period:
|
10,339,303
|
|
Name of contact:
|
Mark Stevens
|
|
Telephone number of contact:
|
0131 556 8555
|
|
Name of applicant:
|
NatWest Group plc
|
|
Name of scheme:
|
The Royal Bank of Scotland Group plc 2010 Company Share Option Plan
(Option 2011)
|
|
Period of return:
|
From:
|
1 October 2020
|
To:
|
31 March 2021
|
|
Balance of unallotted securities under scheme(s) from previous
return:
|
800,000
|
|
Plus: The amount by which the block scheme(s) has been
increased since the date of the last return (if any increase has
been applied for):
|
0
|
|
Less: Number of securities issued/allotted under scheme(s)
during period (see LR3.5.7G):
|
0
|
|
Equals: Balance under scheme(s) not yet issued/allotted at
end of period:
|
800,000
|
|
Name of contact:
|
Mark Stevens
|
|
Telephone number of contact:
|
0131 556 8555
|
|
Name of applicant:
|
NatWest Group plc
|
|
Name of scheme:
|
NatWest Group plc Employee Share Plan 2014
|
|
Period of return:
|
From:
|
1 October 2020
|
To:
|
31 March 2021
|
|
Balance of unallotted securities under scheme(s) from previous
return:
|
12,966,671
|
|
Plus: The amount by which the block scheme(s) has been
increased since the date of the last return (if any increase has
been applied for):
|
45,000,000
|
|
Less: Number of securities issued/allotted under scheme(s)
during period (see LR3.5.7G):
|
39,359,448
|
|
Equals: Balance under scheme(s) not yet issued/allotted at
end of period:
|
18,607,223
|
|
Name of contact:
|
Mark Stevens
|
|
Telephone number of contact:
|
0131 556 8555
|
Legal Entity Identifier: 2138005O9XJIJN4JPN90
Exhibit
No. 2
FORM 8.3
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE
BY
A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR
MORE
Rule 8.3 of the Takeover Code (the "Code")
1. KEY
INFORMATION
|
(a) Full name of discloser:
|
NatWest Group plc
|
|
(b) Owner or controller of interests and short positions disclosed,
if different from 1(a):
The naming of nominee or vehicle companies
is insufficient. For a trust, the trustee(s), settlor and
beneficiaries must be named.
|
Adam & Company Investment Management Limited
|
|
(c) Name of offeror/offeree
in relation to whose relevant securities this form
relates:
Use a separate form for each
offeror/offeree
|
Equiniti Group plc
|
|
(d) If an exempt fund manager connected with an offeror/offeree,
state this and specify identity of offeror/offeree:
|
N/A
|
|
(e) Date position held/dealing undertaken:
For an opening position disclosure, state
the latest practicable date prior to the disclosure
|
16 April 2021
|
|
(f) In addition to the company in 1(c) above, is the
discloser making disclosures in respect of any other party to the
offer?
If it is a cash offer or possible cash
offer, state "N/A"
|
YES / NO /
N/A
If YES, specify which:
|
2. POSITIONS OF THE
PERSON MAKING THE DISCLOSURE
If there are positions or rights to subscribe to disclose in more
than one class of relevant securities of the offeror or offeree
named in 1(c), copy table 2(a) or (b) (as appropriate) for each
additional class of relevant security.
(a) Interests and short
positions in the relevant securities of the offeror or offeree to
which the disclosure relates following the dealing (if
any)
|
Class of relevant security:
|
1p ordinary
|
|
|
Interests
|
Short positions
|
|
|
Number
|
%
|
Number
|
%
|
(1)
Relevant securities owned and/or controlled:
|
4,326,993
|
1.18%
|
0
|
0.00
|
|
(2) Cash-settled derivatives:
|
0
|
0.00
|
0
|
0.00
|
|
(3) Stock-settled derivatives (including options) and agreements to
purchase/sell:
|
0
|
0.00
|
0
|
0.00
|
|
TOTAL:
|
4,326,993
|
1.18%
|
0
|
0.00
|
All interests and all short positions should be
disclosed.
Details of any open stock-settled derivative positions (including
traded options), or agreements to purchase or sell relevant
securities, should be given on a Supplemental Form 8 (Open
Positions).
(b) Rights to subscribe
for new securities (including directors' and other employee
options)
|
Class of relevant security in relation to which subscription right
exists:
|
N/A
|
|
Details, including nature of the rights concerned and relevant
percentages:
|
N/A
|
3. DEALINGS (IF
ANY) BY THE PERSON MAKING THE DISCLOSURE
Where there have been dealings in more than one class of relevant
securities of the offeror or offeree named in 1(c), copy table
3(a), (b), (c) or (d) (as appropriate) for each additional class of
relevant security dealt in.
The currency of all prices and other monetary amounts should be
stated.
(a) Purchases and
sales
|
Class of relevant security
|
Purchase/sale
|
Number of securities
|
Price per unit
|
|
|
|
|
|
(b) Cash-settled
derivative transactions
|
Class of relevant security
|
Product description
e.g. CFD
|
Nature of dealing
e.g. opening/closing a long/short position, increasing/reducing a
long/short position
|
Number of reference securities
|
Price per unit
|
|
|
|
|
|
|
(c) Stock-settled
derivative transactions (including options)
(i) Writing,
selling, purchasing or varying
|
Class of relevant security
|
Product description e.g. call
option
|
Writing, purchasing, selling, varying etc.
|
Number of securities to which option relates
|
Exercise price per unit
|
Type
e.g. American, European etc.
|
Expiry date
|
Option money paid/ received per unit
|
|
|
|
|
|
|
|
|
|
(ii)
Exercise
|
Class of relevant security
|
Product description
e.g. call option
|
Exercising/ exercised against
|
Number of securities
|
Exercise price per unit
|
|
|
|
|
|
|
(d) Other dealings
(including subscribing for new securities)
|
Class of relevant security
|
Nature of dealing
e.g. subscription, conversion
|
Details
|
Price per unit (if applicable)
|
|
|
|
|
|
4. OTHER
INFORMATION
(a) Indemnity and other
dealing arrangements
|
Details of any indemnity or option arrangement, or any agreement or
understanding, formal or informal, relating to relevant securities
which may be an inducement to deal or refrain from dealing entered
into by the person making the disclosure and any party to the offer
or any person acting in concert with a party to the
offer:
Irrevocable commitments and letters of intent should not be
included. If there are no such agreements, arrangements or
understandings, state "none"
|
|
NONE
|
(b) Agreements,
arrangements or understandings relating to options or
derivatives
|
Details of any agreement, arrangement or understanding, formal or
informal, between the person making the disclosure and any other
person relating to:
(i) the voting rights of any relevant securities under any
option; or
(ii) the voting rights or future acquisition or disposal of any
relevant securities to which any derivative is
referenced:
If there are no such agreements, arrangements or understandings,
state "none"
|
|
NONE
|
(c)
Attachments
|
Is a Supplemental Form 8 (Open Positions) attached?
|
YES/NO
|
|
Date of disclosure:
|
19 April 2021
|
|
Contact name:
|
Suzanne Davidson
|
|
Telephone number*:
|
0131 626 4120
|
Public disclosures under Rule 8 of the Code must be made to a
Regulatory Information Service.
The Panel's Market Surveillance Unit is available for consultation
in relation to the Code's disclosure requirements on +44 (0)20 7638
0129.
*If the discloser is a natural person, a telephone number does not
need to be included, provided contact information has been provided
to the Panel's Market Surveillance Unit.
The Code can be viewed on the Panel's
website at www.thetakeoverpanel.org.uk.
LEI: 2138005O9XJIJN4JPN90
Exhibit
No. 3
FORM 8.3
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE
BY
A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR
MORE
Rule 8.3 of the Takeover Code (the "Code")
1. KEY
INFORMATION
|
(a) Full name of discloser:
|
NatWest Group plc
|
|
(b) Owner or controller of interests and short positions disclosed,
if different from 1(a):
The naming of nominee or vehicle companies
is insufficient. For a trust, the trustee(s), settlor and
beneficiaries must be named.
|
Adam & Company Investment Management Limited
|
|
(c) Name of offeror/offeree
in relation to whose relevant securities this form
relates:
Use a separate form for each
offeror/offeree
|
Equiniti Group plc
|
|
(d) If an exempt fund manager connected with an offeror/offeree,
state this and specify identity of offeror/offeree:
|
N/A
|
|
(e) Date position held/dealing undertaken:
For an opening position disclosure, state
the latest practicable date prior to the disclosure
|
22 April 2021
|
|
(f) In addition to the company in 1(c) above, is the
discloser making disclosures in respect of any other party to the
offer?
If it is a cash offer or possible cash
offer, state "N/A"
|
YES / NO /
N/A
If YES, specify which:
|
2. POSITIONS OF THE
PERSON MAKING THE DISCLOSURE
If there are positions or rights to subscribe to disclose in more
than one class of relevant securities of the offeror or offeree
named in 1(c), copy table 2(a) or (b) (as appropriate) for each
additional class of relevant security.
(a) Interests and short
positions in the relevant securities of the offeror or offeree to
which the disclosure relates following the dealing (if
any)
|
Class of relevant security:
|
1p ordinary
|
|
|
Interests
|
Short positions
|
|
|
Number
|
%
|
Number
|
%
|
|
(1) Relevant securities owned and/or controlled:
|
4,328,993
|
1.18%
|
0
|
0.00
|
|
(2) Cash-settled derivatives:
|
0
|
0.00
|
0
|
0.00
|
|
(3) Stock-settled derivatives (including options) and agreements to
purchase/sell:
|
0
|
0.00
|
0
|
0.00
|
|
TOTAL:
|
4,328,993
|
1.18%
|
0
|
0.00
|
All interests and all short positions should be
disclosed.
Details of any open stock-settled derivative positions (including
traded options), or agreements to purchase or sell relevant
securities, should be given on a Supplemental Form 8 (Open
Positions).
(b) Rights to subscribe
for new securities (including directors' and other employee
options)
|
Class of relevant security in relation to which subscription right
exists:
|
N/A
|
|
Details, including nature of the rights concerned and relevant
percentages:
|
N/A
|
3. DEALINGS (IF
ANY) BY THE PERSON MAKING THE DISCLOSURE
Where there have been dealings in more than one class of relevant
securities of the offeror or offeree named in 1(c), copy table
3(a), (b), (c) or (d) (as appropriate) for each additional class of
relevant security dealt in.
The currency of all prices and other monetary amounts should be
stated.
(a) Purchases and
sales
|
Class of relevant security
|
Purchase/sale
|
Number of securities
|
Price per unit
|
|
1p Ordinary
|
Purchase
|
2,000
|
1.608
|
(b) Cash-settled
derivative transactions
|
Class of relevant security
|
Product description
e.g. CFD
|
Nature of dealing
e.g. opening/closing a long/short position, increasing/reducing a
long/short position
|
Number of reference securities
|
Price per unit
|
|
|
|
|
|
|
(c) Stock-settled
derivative transactions (including options)
(i) Writing,
selling, purchasing or varying
|
Class of relevant security
|
Product description e.g. call
option
|
Writing, purchasing, selling, varying etc.
|
Number of securities to which option relates
|
Exercise price per unit
|
Type
e.g. American, European etc.
|
Expiry date
|
Option money paid/ received per unit
|
|
|
|
|
|
|
|
|
|
(ii)
Exercise
|
Class of relevant security
|
Product description
e.g. call option
|
Exercising/ exercised against
|
Number of securities
|
Exercise price per unit
|
|
|
|
|
|
|
(d) Other dealings
(including subscribing for new securities)
|
Class of relevant security
|
Nature of dealing
e.g. subscription, conversion
|
Details
|
Price per unit (if applicable)
|
|
|
|
|
|
4. OTHER
INFORMATION
(a) Indemnity and other
dealing arrangements
|
Details of any indemnity or option arrangement, or any agreement or
understanding, formal or informal, relating to relevant securities
which may be an inducement to deal or refrain from dealing entered
into by the person making the disclosure and any party to the offer
or any person acting in concert with a party to the
offer:
Irrevocable commitments and letters of intent should not be
included. If there are no such agreements, arrangements or
understandings, state "none"
|
|
NONE
|
(b) Agreements,
arrangements or understandings relating to options or
derivatives
|
Details of any agreement, arrangement or understanding, formal or
informal, between the person making the disclosure and any other
person relating to:
(i) the voting rights of any relevant securities under any
option; or
(ii) the voting rights or future acquisition or disposal of any
relevant securities to which any derivative is
referenced:
If there are no such agreements, arrangements or understandings,
state "none"
|
|
NONE
|
(c)
Attachments
|
Is a Supplemental Form 8 (Open Positions) attached?
|
YES/NO
|
|
Date of disclosure:
|
23 April 2021
|
|
Contact name:
|
Suzanne Davidson
|
|
Telephone number*:
|
0131 626 4120
|
Public disclosures under Rule 8 of the Code must be made to a
Regulatory Information Service.
The Panel's Market Surveillance Unit is available for consultation
in relation to the Code's disclosure requirements on +44 (0)20 7638
0129.
*If the discloser is a natural person, a telephone number does not
need to be included, provided contact information has been provided
to the Panel's Market Surveillance Unit.
The Code can be
viewed on the Panel's website at www.thetakeoverpanel.org.uk.
LEI: 2138005O9XJIJN4JPN90
Exhibit
No. 4
FORM 8.3
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE
BY
A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR
MORE
Rule 8.3 of the Takeover Code (the "Code")
1. KEY
INFORMATION
|
(a) Full name of discloser:
|
NatWest Group plc
|
|
(b) Owner or controller of interests and short positions disclosed,
if different from 1(a):
The naming of nominee or vehicle companies
is insufficient. For a trust, the trustee(s), settlor and
beneficiaries must be named.
|
Adam & Company Investment Management Limited
|
|
(c) Name of offeror/offeree
in relation to whose relevant securities this form
relates:
Use a separate form for each
offeror/offeree
|
Equiniti Group plc
|
|
(d) If an exempt fund manager connected with an offeror/offeree,
state this and specify identity of offeror/offeree:
|
N/A
|
|
(e) Date position held/dealing undertaken:
For an opening position disclosure, state
the latest practicable date prior to the disclosure
|
26 April 2021
|
|
(f) In addition to the company in 1(c) above, is the
discloser making disclosures in respect of any other party to the
offer?
If it is a cash offer or possible cash
offer, state "N/A"
|
YES / NO /
N/A
If YES, specify which:
|
2. POSITIONS OF THE
PERSON MAKING THE DISCLOSURE
If there are positions or rights to subscribe to disclose in more
than one class of relevant securities of the offeror or offeree
named in 1(c), copy table 2(a) or (b) (as appropriate) for each
additional class of relevant security.
(a) Interests and short
positions in the relevant securities of the offeror or offeree to
which the disclosure relates following the dealing (if
any)
|
Class of relevant security:
|
1p ordinary
|
|
|
Interests
|
Short positions
|
|
|
Number
|
%
|
Number
|
%
|
|
(1) Relevant securities owned and/or controlled:
|
4,324,379
|
1.18%
|
0
|
0.00
|
|
(2) Cash-settled derivatives:
|
0
|
0.00
|
0
|
0.00
|
|
(3) Stock-settled derivatives (including options) and agreements to
purchase/sell:
|
0
|
0.00
|
0
|
0.00
|
|
TOTAL:
|
4,324,379
|
1.18%
|
0
|
0.00
|
All interests and all short positions should be
disclosed.
Details of any open stock-settled derivative positions (including
traded options), or agreements to purchase or sell relevant
securities, should be given on a Supplemental Form 8 (Open
Positions).
(b) Rights to subscribe
for new securities (including directors' and other employee
options)
|
Class of relevant security in relation to which subscription right
exists:
|
N/A
|
|
Details, including nature of the rights concerned and relevant
percentages:
|
N/A
|
3. DEALINGS (IF
ANY) BY THE PERSON MAKING THE DISCLOSURE
Where there have been dealings in more than one class of relevant
securities of the offeror or offeree named in 1(c), copy table
3(a), (b), (c) or (d) (as appropriate) for each additional class of
relevant security dealt in.
The currency of all prices and other monetary amounts should be
stated.
(a) Purchases and
sales
|
Class of relevant security
|
Purchase/sale
|
Number of securities
|
Price per unit
|
|
1p Ordinary
|
Sale
|
4,614
|
1.63
|
(b) Cash-settled
derivative transactions
|
Class of relevant security
|
Product description
e.g. CFD
|
Nature of dealing
e.g. opening/closing a long/short position, increasing/reducing a
long/short position
|
Number of reference securities
|
Price per unit
|
|
|
|
|
|
|
(c) Stock-settled
derivative transactions (including options)
(i) Writing,
selling, purchasing or varying
|
Class of relevant security
|
Product description e.g. call
option
|
Writing, purchasing, selling, varying etc.
|
Number of securities to which option relates
|
Exercise price per unit
|
Type
e.g. American, European etc.
|
Expiry date
|
Option money paid/ received per unit
|
|
|
|
|
|
|
|
|
|
(ii)
Exercise
|
Class of relevant security
|
Product description
e.g. call option
|
Exercising/ exercised against
|
Number of securities
|
Exercise price per unit
|
|
|
|
|
|
|
(d) Other dealings
(including subscribing for new securities)
|
Class of relevant security
|
Nature of dealing
e.g. subscription, conversion
|
Details
|
Price per unit (if applicable)
|
|
|
|
|
|
4. OTHER
INFORMATION
(a) Indemnity and other
dealing arrangements
|
Details of any indemnity or option arrangement, or any agreement or
understanding, formal or informal, relating to relevant securities
which may be an inducement to deal or refrain from dealing entered
into by the person making the disclosure and any party to the offer
or any person acting in concert with a party to the
offer:
Irrevocable commitments and letters of intent should not be
included. If there are no such agreements, arrangements or
understandings, state "none"
|
|
NONE
|
(b) Agreements,
arrangements or understandings relating to options or
derivatives
|
Details of any agreement, arrangement or understanding, formal or
informal, between the person making the disclosure and any other
person relating to:
(i) the voting rights of any relevant securities under any
option; or
(ii) the voting rights or future acquisition or disposal of any
relevant securities to which any derivative is
referenced:
If there are no such agreements, arrangements or understandings,
state "none"
|
|
NONE
|
(c)
Attachments
|
Is a Supplemental Form 8 (Open Positions) attached?
|
YES/NO
|
|
Date of disclosure:
|
27 April 2021
|
|
Contact name:
|
Suzanne Davidson
|
|
Telephone number*:
|
0131 626 4120
|
Public disclosures under Rule 8 of the Code must be made to a
Regulatory Information Service.
The Panel's Market Surveillance Unit is available for consultation
in relation to the Code's disclosure requirements on +44 (0)20 7638
0129.
*If the discloser is a natural person, a telephone number does not
need to be included, provided contact information has been provided
to the Panel's Market Surveillance Unit.
The Code can be
viewed on the Panel's website at www.thetakeoverpanel.org.uk.
LEI: 2138005O9XJIJN4JPN90
Exhibit
No. 5
FORM 8.3
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE
BY
A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR
MORE
Rule 8.3 of the Takeover Code (the "Code")
1. KEY
INFORMATION
|
(a) Full name of discloser:
|
NatWest Group plc
|
|
(b) Owner or controller of interests and short positions disclosed,
if different from 1(a):
The naming of nominee or vehicle companies
is insufficient. For a trust, the trustee(s), settlor and
beneficiaries must be named.
|
Adam & Company Investment Management Limited
|
|
(c) Name of offeror/offeree
in relation to whose relevant securities this form
relates:
Use a separate form for each
offeror/offeree
|
Equiniti Group plc
|
|
(d) If an exempt fund manager connected with an offeror/offeree,
state this and specify identity of offeror/offeree:
|
N/A
|
|
(e) Date position held/dealing undertaken:
For an opening position disclosure, state
the latest practicable date prior to the disclosure
|
27 April 2021
|
|
(f) In addition to the company in 1(c) above, is the
discloser making disclosures in respect of any other party to the
offer?
If it is a cash offer or possible cash
offer, state "N/A"
|
N/A
|
2. POSITIONS OF THE
PERSON MAKING THE DISCLOSURE
If there are positions or rights to subscribe to disclose in more
than one class of relevant securities of the offeror or offeree
named in 1(c), copy table 2(a) or (b) (as appropriate) for each
additional class of relevant security.
(a) Interests and short
positions in the relevant securities of the offeror or offeree to
which the disclosure relates following the dealing (if
any)
|
Class of relevant security:
|
1p ordinary
|
|
|
Interests
|
Short positions
|
|
|
Number
|
%
|
Number
|
%
|
|
(1) Relevant securities owned and/or controlled:
|
4,322,858
|
1.18%
|
0
|
0.00
|
|
(2) Cash-settled derivatives:
|
0
|
0.00
|
0
|
0.00
|
|
(3) Stock-settled derivatives (including options) and agreements to
purchase/sell:
|
0
|
0.00
|
0
|
0.00
|
|
TOTAL:
|
4,322,858
|
1.18%
|
0
|
0.00
|
All interests and all short positions should be
disclosed.
Details of any open stock-settled derivative positions (including
traded options), or agreements to purchase or sell relevant
securities, should be given on a Supplemental Form 8 (Open
Positions).
(b) Rights to subscribe
for new securities (including directors' and other employee
options)
|
Class of relevant security in relation to which subscription right
exists:
|
N/A
|
|
Details, including nature of the rights concerned and relevant
percentages:
|
N/A
|
3. DEALINGS (IF
ANY) BY THE PERSON MAKING THE DISCLOSURE
Where there have been dealings in more than one class of relevant
securities of the offeror or offeree named in 1(c), copy table
3(a), (b), (c) or (d) (as appropriate) for each additional class of
relevant security dealt in.
The currency of all prices and other monetary amounts should be
stated.
(a) Purchases and
sales
|
Class of relevant security
|
Purchase/sale
|
Number of securities
|
Price per unit
|
|
|
|
|
|
(b) Cash-settled
derivative transactions
|
Class of relevant security
|
Product description
e.g. CFD
|
Nature of dealing
e.g. opening/closing a long/short position, increasing/reducing a
long/short position
|
Number of reference securities
|
Price per unit
|
|
|
|
|
|
|
(c) Stock-settled
derivative transactions (including options)
(i) Writing,
selling, purchasing or varying
|
Class of relevant security
|
Product description e.g. call
option
|
Writing, purchasing, selling, varying etc.
|
Number of securities to which option relates
|
Exercise price per unit
|
Type
e.g. American, European etc.
|
Expiry date
|
Option money paid/ received per unit
|
|
|
|
|
|
|
|
|
|
(ii)
Exercise
|
Class of relevant security
|
Product description
e.g. call option
|
Exercising/ exercised against
|
Number of securities
|
Exercise price per unit
|
|
|
|
|
|
|
(d) Other dealings
(including subscribing for new securities)
|
Class of relevant security
|
Nature of dealing
e.g. subscription, conversion
|
Details
|
Price per unit (if applicable)
|
|
1p Ordinary
|
Transfer out of shares from a discretionary holding to a
non-discretionary holding
|
1,521
|
N/A
|
4. OTHER
INFORMATION
(a) Indemnity and other
dealing arrangements
|
Details of any indemnity or option arrangement, or any agreement or
understanding, formal or informal, relating to relevant securities
which may be an inducement to deal or refrain from dealing entered
into by the person making the disclosure and any party to the offer
or any person acting in concert with a party to the
offer:
Irrevocable commitments and letters of intent should not be
included. If there are no such agreements, arrangements or
understandings, state "none"
|
|
NONE
|
(b) Agreements,
arrangements or understandings relating to options or
derivatives
|
Details of any agreement, arrangement or understanding, formal or
informal, between the person making the disclosure and any other
person relating to:
(i) the voting rights of any relevant securities under any
option; or
(ii) the voting rights or future acquisition or disposal of any
relevant securities to which any derivative is
referenced:
If there are no such agreements, arrangements or understandings,
state "none"
|
|
NONE
|
(c)
Attachments
|
Is a Supplemental Form 8 (Open Positions) attached?
|
YES/NO
|
|
Date of disclosure:
|
28 April 2021
|
|
Contact name:
|
Suzanne Davidson
|
|
Telephone number*:
|
0131 626 4120
|
Public disclosures under Rule 8 of the Code must be made to a
Regulatory Information Service.
The Panel's Market Surveillance Unit is available for consultation
in relation to the Code's disclosure requirements on +44 (0)20 7638
0129.
*If the discloser is a natural person, a telephone number does not
need to be included, provided contact information has been provided
to the Panel's Market Surveillance Unit.
The Code can be
viewed on the Panel's website at www.thetakeoverpanel.org.uk.
LEI: 2138005O9XJIJN4JPN90
Exhibit
No. 6
NatWest Group plc
Total Voting Rights and Capital
In conformity with the Disclosure Guidance and Transparency Rules,
NatWest Group plc ("NWG") hereby notifies the following in respect
of its issued share capital with voting rights as at 30 April
2021.
|
Share Class and nominal value
|
Number of Shares issued
|
Voting rights per share
|
Total Voting rights -
|
|
30 April 2021
|
|
Ordinary
Shares of £1
|
11,576,019,427
|
4
|
46,304,077,708
|
|
Ordinary
Shares of £1 held in treasury
|
200,000,000
|
4
|
Voting
rights not exercisable
|
|
11%
Cumulative Preference Shares of £1
|
500,000
|
4
|
2,000,000
|
|
5.5%
Cumulative Preference Shares of £1
|
400,000
|
4
|
1,600,000
|
|
Total:
|
11,776,919,427
|
|
46,307,677,708
|
Shareholders may use the above figure (46,307,677,708) for their
calculations to determine whether they are required to notify their
interest in, or a change to their interest in NWG under the FCA's
Disclosure Guidance and Transparency Rules.
Legal Entity
Identifier: 2138005O9XJIJN4JPN90
Date: 30
April 2021
|
|
NATWEST
GROUP plc (Registrant)
|
|
|
|
|
|
By: /s/
Jan Cargill
|
|
|
|
|
|
Name:
Jan Cargill
|
|
|
Title:
Chief Governance Officer and Company Secretary
|
Royal Bank of Scotland (NYSE:RBS)
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