Form 6-K NatWest Group plc For: Jun 30
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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 June 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:
|
|
|
Q3
2016
Interim
Management Statement
|
|
Exhibit
No. 1
|
Publication
of Final Terms dated 28 May 2021
|
|
Exhibit
No. 2
|
Form
8.3 - Equiniti Group plc dated 01 June 2021
|
|
Exhibit
No. 3
|
Director/PDMR
Shareholding dated 01 June 2021
|
|
Exhibit
No. 4
|
Dividend
Declaration dated 01 June 2021
|
|
Exhibit
No. 5
|
Form
8.3 - Equiniti Group plc dated 02 June 2021
|
|
Exhibit
No. 6
|
Form
8.3 - Equiniti Group plc dated 03 June 2021
|
|
Exhibit
No. 7
|
Form
8.3 - Equiniti Group plc dated 07 June 2021
|
|
Exhibit
No. 8
|
Form
8.3 - Equiniti Group plc dated 11 June 2021
|
|
Exhibit
No. 9
|
Form
8.3 - Equiniti Group plc dated 17 June 2021
|
|
Exhibit
No. 10
|
Form
8.3 - Equiniti Group plc dated 18 June 2021
|
|
Exhibit
No. 11
|
Form
8.3 - Equiniti Group plc dated 21 June 2021
|
|
Exhibit
No. 12
|
Form
8.3 - Equiniti Group plc dated 22 June 2021
|
|
Exhibit
No. 13
|
Form
8.3 - Equiniti Group plc dated 23 June 2021
|
|
Exhibit
No. 14
|
Form
8.3 - Equiniti Group plc dated 24 June 2021
|
|
Exhibit
No. 15
|
Form
8.3 - Equiniti Group plc dated 25 June 2021
|
|
Exhibit
No. 16
|
Form
8.3 - Equiniti Group plc dated 28 June 2021
|
|
Exhibit
No. 17
|
Retail
and Private Banking Investor Spotlight dated 29 June
2021
|
|
Exhibit
No. 18
|
Form
8.3 - Equiniti Group plc dated 29 June 2021
|
|
Exhibit
No. 19
|
Director/PDMR
Shareholding dated 29 June 2021
|
|
Exhibit
No. 20
|
Total
Voting Rights dated 30 June 2021
|
Exhibit
No. 1
NatWest Group plc
Publication of Final Terms
The following Final Terms are available for viewing:
Final Terms dated 26 May 2021 (the "Final Terms") for NatWest Group
plc ("NatWest Group") £1,000,000,000 Fixed to Fixed Rate Reset
Tier 2 Notes due 28 November 2031 (ISIN: XS2346516250) (the
"Notes") issued under the £40,000,000,000 Euro Medium Term
Note Programme of NatWest Group (the "Programme").
The Final Terms contain the final terms of the Notes and must be
read in conjunction with the prospectus dated 26 November 2020,
which constitutes a base prospectus for the purposes of Regulation
(EU) 2017/1129 and the supplemental prospectuses dated 19 February
2021, 22 March 2021 and 4 May 2021, which each constitute a
supplementary prospectus for the purposes of Article 23 of
Regulation (EU) 2017/1129 as it forms part of domestic law in the
UK by virtue of the European Union (Withdrawal) Act 2018 (together,
the "Prospectus").
To view the Final Terms for the Notes, please paste the following
URL into the address bar of your browser:
http://www.rns-pdf.londonstockexchange.com/rns/2410A_1-2021-5-28.pdf
A copy of the above Final Terms has been submitted to the National
Storage Mechanism and will shortly be available for inspection
at:
https://data.fca.org.uk/#/nsm/nationalstoragemechanism
For further information, please contact:
Scott Forrest
Head of NatWest Treasury DCM
Tel: +44 (0) 7747 455 969
DISCLAIMER INTENDED ADDRESSEES
Please note that the information contained in the Final Terms (when
read together with the information in the Prospectus) may be
addressed to and/or targeted at persons who are residents of
particular countries (specified in the Prospectus) only and is not
intended for use and should not be relied upon by any person
outside these countries and/or to whom the offer contained in the
Final Terms and the Prospectus is not addressed. Prior to relying
on the information contained in the Final Terms and the Prospectus,
you must ascertain from the Prospectus whether or not you are part
of the intended addressees of the information contained
therein.
Your right to access this service is conditional upon complying
with the above requirement.
Legal Entity Identifier
NatWest Group plc - 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
|
28 May
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:
|
4,264,759
|
1.16%
|
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:
|
4,264,759
|
1.16%
|
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
|
3,000
|
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:
|
01 June 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
1 June 2021
NatWest Group plc
INITIAL NOTIFICATION OF TRANSACTION OF PERSON DISCHARGING
MANAGERIAL RESPONSIBILITY (PDMR) IN ACCORDANCE WITH ARTICLE 19
OF THE EU MARKET ABUSE REGULATION 596/2014
NatWest Group plc (the Company) was notified on 1 June 2021 that
the trustee of the Company's Buy As You Earn Share Plan (the Plan)
purchased ordinary shares of £1 each in the Company (Shares)
(ISIN: GB00B7T77214) on 28 May 2021 on behalf of the PDMR named
below as a participant in the Plan.
|
PDMR
|
Position of PDMR
|
No. of Shares purchased
|
Purchase price
|
|
Katie
Murray
|
Chief
Financial Officer, NatWest Group plc
|
72
|
£2.0797
|
The transaction took place on the London Stock Exchange
(XLON).
Legal Entity Identifier: 2138005O9XJIJN4JPN90
For further information contact:-
NatWest Group Investor Relations
Alexander Holcroft
Head of Investor Relations
+44 20 7672 1758
NatWest Group Media Relations
+44(0)131 523 4205
Exhibit No. 4
NATWEST GROUP plc
1 June 2021
DIVIDEND ON SERIES U NON-CUMULATIVE PREFERENCE SHARES OF US$0.01
FOR THE THREE MONTHS TO 30 JUNE 2021
The Directors have declared the specified dividend on the
undernoted series of
non-cumulative preference shares of US$0.01 each, all of which are
represented by American Depositary Shares, for the three months to
30 June 2021. Unless otherwise resolved by the Board,
this dividend will be paid on 30 June
2021 at the undernoted rate to holders on the register at the close
of business on 15 June 2021.
|
Series
|
Dividend
payable per share
|
|
Series
U
|
US$637.63
|
End
Legal Entity Identifier: 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
|
01 June
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:
|
4,260,402
|
1.16%
|
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:
|
4,260,402
|
1.16%
|
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
|
4,357
|
1.816
GBP
|
(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:
|
02 June 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
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
|
02 June
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:
|
4,254,402
|
1.16%
|
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:
|
4,254,402
|
1.16%
|
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
|
6,000
|
1.814
GBP
|
(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:
|
03 June 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. 7
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
|
04 June
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:
|
4,246,902
|
1.16%
|
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:
|
4,246,902
|
1.16%
|
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
|
7,500
|
1.822
GBP
|
(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:
|
07 June 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. 8
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
|
10 June
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:
|
4,239,588
|
1.15%
|
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:
|
4,239,588
|
1.15%
|
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
|
7,314
|
1.818
GBP
|
(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:
|
11 June 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. 9
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 June
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:
|
4,057,958
|
1.10%
|
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:
|
4,057,958
|
1.10%
|
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
1p
Ordinary
1p
Ordinary
1p
Ordinary
1p
Ordinary
1p
Ordinary
1p
Ordinary
1p
Ordinary
1p
Ordinary
1p
Ordinary
1p
Ordinary
|
Sale
Sale
Sale
Sale
Sale
Sale
Sale
Sale
Sale
Sale
Sale
|
12,426
5,900
8,500
2,064
3,035
10,750
7,714
80,000
32,785
15,178
3,278
|
1.82
GBP
1.82
GBP
1.82
GBP
1.82
GBP
1.82
GBP
1.82
GBP
1.82
GBP
1.82
GBP
1.822
GBP
1.824
GBP
1.824
GBP
|
(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:
|
17 June 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. 10
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
|
17 June
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:
|
4,041,254
|
1.10%
|
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:
|
4,041,254
|
1.10%
|
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
1p
Ordinary
|
Sale
Sale
|
12,704
4,000
|
1.82
GBP
1.82
GBP
|
(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:
|
18 June 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. 11
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
|
18 June
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:
|
4,024,569
|
1.09%
|
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:
|
4,024,569
|
1.09%
|
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
1p
Ordinary
|
Sale
Sale
|
7,400
9,285
|
1.816
GBP
1.818
GBP
|
(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:
|
21 June 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. 12
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
|
21 June
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:
|
3,992,239
|
1.09%
|
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:
|
3,992,239
|
1.09%
|
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
1p
Ordinary
1p
Ordinary
1p
Ordinary
|
Sale
Sale
Sale
Sale
|
4,900
4,310
6,242
16,878
|
1.812
GBP
1.822
GBP
1.822
GBP
1.816
GBP
|
(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:
|
22 June 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. 13
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 June
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:
|
3,982,647
|
1.08%
|
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:
|
3,982,647
|
1.08%
|
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
|
9,592
|
1.814
GBP
|
(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 June 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. 14
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
|
23 June
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:
|
3,971,719
|
1.07%
|
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:
|
3,971,719
|
1.07%
|
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
|
10,928
|
1.802
GBP
|
(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:
|
24 June 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. 15
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
|
24 June
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:
|
3,952,662
|
1.07%
|
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:
|
3,952,662
|
1.07%
|
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
1p
Ordinary
|
Sale
Sale
|
4,200
14,857
|
1.798
GBP
1.798
GBP
|
(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:
|
25 June 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. 16
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
|
25 June 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:
|
3,946,122
|
1.07%
|
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:
|
3,946,122
|
1.07%
|
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
|
6,540
|
1.804 GBP
|
(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:
|
28 June 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. 17
NatWest Group plc - Retail and Private Banking Investor
Spotlight
NatWest Group will be hosting an investor spotlight on the Retail
and Private Banking franchises on Tuesday 29th June
at 3pm. A live zoom presentation and slides will be available on
our website www.natwestgroup.com/presentations
For further information:
Investor Relations
Alexander Holcroft
Head of Investor Relations
+44 (0) 20 7672 1758
LEI: 2138005O9XJIJN4JPN90
Exhibit
No. 18
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
|
28 June 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:
|
3,914,662
|
1.06%
|
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:
|
3,914,662
|
1.06%
|
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
1p Ordinary
1p Ordinary
1p Ordinary
1p Ordinary
|
Sale
Sale
Sale
Sale
Sale
|
3,000
6,071
2,250
5,325
14,814
|
1.804 GBP
1.804 GBP
1.804 GBP
1.798 GBP
1.800337 GBP
|
(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:
|
29 June 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. 19
29 June 2021
NatWest Group plc
INITIAL NOTIFICATION OF TRANSACTION OF PERSON DISCHARGING
MANAGERIAL RESPONSIBILITY (PDMR) IN ACCORDANCE WITH ARTICLE 19
OF THE EU MARKET ABUSE REGULATION 596/2014
NatWest Group plc (the Company) was notified on 29 June 2021 that
the trustee of the Company's Buy As You Earn Share Plan (the Plan)
purchased ordinary shares of £1 each in the Company (Shares)
(ISIN: GB00B7T77214) on 28 June 2021 on behalf of the PDMR named
below as a participant in the Plan.
|
PDMR
|
Position of PDMR
|
No. of Shares purchased
|
Purchase price
|
|
Katie Murray
|
Chief Financial Officer, NatWest Group plc
|
73
|
£2.0594
|
The transaction took place on the London Stock Exchange
(XLON).
Legal Entity Identifier: 2138005O9XJIJN4JPN90
For further information contact:-
NatWest Group Investor Relations
Alexander Holcroft
Head of Investor Relations
+44 20 7672 1758
NatWest Group Media Relations
+44(0)131 523 4205
Exhibit No. 20
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 June
2021.
|
Share Class and nominal value
|
Number of Shares issued
|
Voting rights per share
|
Total Voting rights -
|
|
30 June 2021
|
|||
|
Ordinary Shares of £1
|
11,584,886,571
|
4
|
46,339,546,284
|
|
Ordinary Shares of £1 held in treasury
|
191,132,856
|
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
|
|
46,343,146,284
|
Shareholders may use the above figure (46,343,146,284) 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
June 2021
|
|
NATWEST
GROUP plc (Registrant)
|
|
|
|
|
|
By: /s/
Jan Cargill
|
|
|
|
|
|
Name:
Jan Cargill
|
|
|
Title:
Deputy Secretary
|
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