Form 144 NatWest Group plc Filed by: HM Treasury

August 3, 2021 11:23 AM EDT

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM 144
NOTICE OF PROPOSED SALE OF SECURITIES

PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933

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OMB Number: 3235-0101

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SEC USE ONLY
DOCUMENT SEQUENCE NO.
 
CUSIP NUMBER
ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker.  
(a) NAME OF ISSUER (Please type or print) (b) IRS IDENT. NO. (c) S.E.C. FILE NO. WORK LOCATION
NatWest Group plc 00-0000000 001-10306  
(d) ADDRESS OF ISSUER STREET CITY STATE ZIP CODE (e) TELEPHONE NO.
RBS Gogarburn, PO Box 1000 Edinburgh XO SW1A 2HQ AREA CODE NUMBER
          +44 01316 626-3860
(a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD   (b) RELATIONSHIP TO ISSUER (c) ADDRESS STREET CITY STATE ZIP CODE
The Commissioners of Her Majesty's Treasury   Affiliate 1 Horse Guards Road London XO SW1A 2HQ
                                     

 

INSTRUCTION:  The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.

3 (a) (b) SEC USE ONLY (c) (d) (e) (f) (g)
Title of the Class of Securities To Be Sold Name and Address of Each Broker Through Whom the Securities are to be Offered or Each Market Maker who is Acquiring the Securities Broker-Dealer
File Number
Number of Shares
or Other Units
To Be Sold
(See instr. 3(c))
Aggregate
Market
Value
(See instr. 3(d))
Number of Shares
or Other Units
Outstanding
(See instr. 3(e))
Approximate
Date of Sale
(See instr. 3(f))
(MO. DAY YR.)
Name of Each
Securities
Exchange
(See instr. 3(g))
Ordinary Shares Morgan Stanley & Co. International 25 Cabot Square London E14 4QA United Kingdom   up to 115,848,865 up to £236,910,929 as of 08/02/2021 11,584,886,571 at any time from 08/12/2021 to 08/11/2022 Various exchanges outside of the United States
               
               

 

INSTRUCTIONS:

1. (a) Name of issuer 3. (a) Title of the class of securities to be sold
  (b) Issuer’s I.R.S. Identification Number   (b) Name and address of each broker through whom the securities are intended to be sold
  (c) Issuer’s S.E.C. file number, if any   (c) Number of shares or other units to be sold (if debt securities, give the aggregate face amount)
  (d) Issuer’s address, including zip code   (d) Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice
  (e) Issuer’s telephone number, including area code   (e) Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer
        (f) Approximate date on which the securities are to be sold
2. (a) Name of person for whose account the securities are to be sold   (g) Name of each securities exchange, if any, on which the securities are intended to be sold
  (b) Such person’s relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing)      
  (c) Such person’s address, including zip code      

Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

SEC 1147 (02-08)

  

 

 

 

TABLE I –– SECURITIES TO BE SOLD

Furnish the following information with respect to the acquisition of the securities to be sold
and with respect to the payment of all or any part of the purchase price or other consideration therefor:

 

Title of the Class Date you Acquired Nature of Acquisition Transaction Name of Person from Whom Acquired
(If gift, also give date donor acquired)
Amount of Securities Acquired Date of Payment Nature of Payment
Ordinary Shares December 2008 - December 2009 The Comissioners of Her Majesty's Treasury acquired an 84% stake in Royal Bank of Scotland (now NatWest Group plc) as part of a series of recapitalizations designed to maintain stability at the height of the financial crisis. NatWest Group plc (a) the purchase of £15 billion ordinary shares and £5 billion preference shares (that converted into ordinary shares) in December 2008(b) a further injection of £25.5 billion in December 2009 in non-voting B Shares, taking the total economic stake to 84% (67% of voting shares) December 2008 and December 2009 Cash

 

INSTRUCTIONS: If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.  

 

TABLE II –– SECURITIES SOLD DURING THE PAST 3 MONTHS

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

 

Name and Address of Seller Title of Securities Sold Date of Sale Amount of Securities Sold Gross Proceeds
The Commissioners of Her Majesty's Treasury 1 Horse Guards Road London SW1A 2HQ England Ordinary shares May 13, 2021 580,000,000 ordinary shares £1,102,000,000

 

REMARKS:

 

INSTRUCTIONS:   ATTENTION:
See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.   The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

 

August 3, 2021   /s/ Lowri Khan, Director Financial Stability (HMT)
DATE OF NOTICE   (SIGNATURE)
     
    The notice shall be signed by the person for whose account the securities are to be sold.  At least one copy of the notice shall be manually signed.  Any copies not manually signed shall bear typed or printed signatures.
DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION, IF RELYING ON RULE 10B5-1  

 

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

SEC 1147 (02-08)

 

 

 

 



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