NATWEST GROUP PLC
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 ofofferor/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
|
29 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:
|
3,911,662
|
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:
|
3,911,662
|
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
|
Sale
|
3,000
|
1.796 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:
|
30 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. 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
|
01 July 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:
|
3,902,005
|
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:
|
3,902,005
|
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
|
Sale
Sale
|
6,500
3,157
|
1.796 GBP
1.796 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 July 2021
|
Contact name:
|
Suzanne Davidson
|
Telephone number*:
|
0131 626 4120
|
Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service.
The Panel's Market Surveillance Unit is available for consultation in relation to the Code's disclosure requirements on +44 (0)20 7638 0129.
*If the discloser is a natural person, a telephone number does not need to be included, provided contact information has been provided to the Panel's Market Surveillance Unit.
The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk
LEI:2138005O9XJIJN4JPN90
Exhibit No. 3
FORM 8.3
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY
A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE
Rule 8.3 of the Takeover Code (the 'Code')
1. KEY INFORMATION
(a) Full name of discloser:
|
NatWest Group plc
|
(b) Owner or controller of interests and short positions disclosed, if different from 1(a):
The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.
|
Adam & Company Investment Management Limited
|
(c) Name of offeror/offeree in relation to whose relevant securities this form relates:
Use a separate form for each offeror/offeree
|
Equiniti Group plc
|
(d) If an exempt fund manager connected with an offeror/offeree, state this and specify identity of offeror/offeree:
|
N/A
|
(e) Date position held/dealing undertaken:
For an opening position disclosure, state the latest practicable date prior to the disclosure
|
06 July 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:
|
3,880,752
|
1.05%
|
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:
|
3,880,752
|
1.05%
|
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
|
Sale
Sale
Sale
|
10,685
4,497
6,071
|
1.796 GBP
1.796 GBP
1.796 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 July 2021
|
Contact name:
|
Suzanne Davidson
|
Telephone number*:
|
0131 626 4120
|
Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service.
The Panel's Market Surveillance Unit is available for consultation in relation to the Code's disclosure requirements on +44 (0)20 7638 0129.
*If the discloser is a natural person, a telephone number does not need to be included, provided contact information has been provided to the Panel's Market Surveillance Unit.
The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk
.
LEI:2138005O9XJIJN4JPN90
Exhibit No. 4
FORM 8.3
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY
A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE
Rule 8.3 of the Takeover Code (the 'Code')
1. KEY INFORMATION
(a) Full name of discloser:
|
NatWest Group plc
|
(b) Owner or controller of interests and short positions disclosed, if different from 1(a):
The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.
|
Adam & Company Investment Management Limited
|
(c) Name of offeror/offeree in relation to whose relevant securities this form relates:
Use a separate form for each offeror/offeree
|
Equiniti Group plc
|
(d) If an exempt fund manager connected with an offeror/offeree, state this and specify identity of offeror/offeree:
|
N/A
|
(e) Date position held/dealing undertaken:
For an opening position disclosure, state the latest practicable date prior to the disclosure
|
12 July 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:
|
3,880,352
|
1.05%
|
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:
|
3,880,352
|
1.05%
|
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
|
Sale
Purchase
Purchase
|
4,000
2,000
1,600
|
1.79 GBP
1.795 GBP
1.795 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:
|
13 July 2021
|
Contact name:
|
Suzanne Davidson
|
Telephone number*:
|
0131 626 4120
|
Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service.
The Panel's Market Surveillance Unit is available for consultation in relation to the Code's disclosure requirements on +44 (0)20 7638 0129.
*If the discloser is a natural person, a telephone number does not need to be included, provided contact information has been provided to the Panel's Market Surveillance Unit.
The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk
.
LEI:2138005O9XJIJN4JPN90
Exhibit No. 5
NatWest Group plc
13 July 2021
Notice of Redemption
NatWest Group plc (formerly known as The Royal Bank of Scotland Group plc) (the 'Issuer')
The Issuer has given notice to holders of the $2,650,000,000 8.625% Perpetual Subordinated Contingent Convertible Additional Tier 1 Capital Notes (ISIN: US780097BB64 (the 'Notes')) of the upcoming redemption of the Notes on 15 August 2021. The amount of the Notes currently outstanding is $2,650,000,000
.
Upon redemption of the Notes there will be a gain to CET1 of approximately 8bps based on Q1 RWAs. This arises due to changes in FX rates since the date of issuance of the Notes. The Notes are being redeemed pursuant to Section 3.08 of the Third Supplemental Indenture. All of the outstanding Notes will be redeemed by the Issuer on 15 August 2021 (the 'Redemption Date') at 100% of principal amount, together with accrued and unpaid interest to (but excluding) the Redemption Date, and subsequently cancelled. The Issuer has notified the holders pursuant to the terms of the Notes.
To view the notice, please click on the link below.
http://www.rns-pdf.londonstockexchange.com/rns/1275F_1-2021-7-13.pdf
For further information, please contact:
Scott Forrest
Head of NatWest Treasury DCM
Tel: +44 (0)7747 455 969
Paul Pybus
Head of Debt Investor Relations
Tel: +44 (0) 7769 161 183
Legal Entity Identifier: 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 ofofferor/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 July 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:
|
3,868,210
|
1.05%
|
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:
|
3,868,210
|
1.05%
|
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
|
12,142
|
1.79049 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:
|
19 July 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 ofofferor/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
|
19 July 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:
|
3,849,510
|
1.04%
|
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:
|
3,849,510
|
1.04%
|
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
|
18,700
|
1.788 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:
|
20 July 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
|
28 July 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:
|
3,832,468
|
1.04%
|
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:
|
3,832,468
|
1.04%
|
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
|
4,900
12,142
|
1.784 GBP
1.784 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 July 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
29 July 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 July 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 July 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
|
74
|
£2.0255
|
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. 10
NatWest Group plc
29 July 2021
NatWest Markets N.V. Interim Results 2021
NatWest Markets N.V. today announces the publication of its 2021 Interim Results. This company is a wholly-owned subsidiary of NatWest Markets Plc. The 2021 Interim Results are available on the NatWest Group plc website at
https://investors.natwestgroup.com/reports-archive
For further information, please contact
NatWest Group Investor Relations
Investor.relations@natwest.com
+44 207 672 1758
NatWest Group Media Relations
+44 131 523 4205(UK)
+31 20 464 1150 (NL)
29 July 2021
LEI:
X3CZP3CK64YBHON1LE12 - NatWest Markets N.V.
2138005O9XJIJN4JPN90 - NatWest Group plc
RR3QWICWWIPCS8A4S074 - NatWest Markets Plc
Exhibit No. 11
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 July 2021.
Share Class and nominal value
|
Number of Shares issued
|
Voting rights per share
|
Total Voting rights -
|
30 July 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 July 2021
NATWEST GROUP plc (Registrant)
| |
By: /s/ Jan Cargill
| |
Name: Jan Cargill
| |
Title: Deputy Secretary
|
Attachments
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Disclaimer
Natwest Group plc published this content on 30 July 2021 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 30 July 2021 17:18:12 UTC.
