0000950103-14-006809.txt : 20141001 0000950103-14-006809.hdr.sgml : 20140930 20140930175425 ACCESSION NUMBER: 0000950103-14-006809 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140929 FILED AS OF DATE: 20140930 DATE AS OF CHANGE: 20140930 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CITIZENS FINANCIAL GROUP INC/RI CENTRAL INDEX KEY: 0000759944 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 050412693 STATE OF INCORPORATION: RI FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 870 WESTMINSTER ST STREET 2: 1 CITIZENS PLZ THIRD FL CITY: PROVIDENCE STATE: RI ZIP: 02903 BUSINESS PHONE: 4014567000 MAIL ADDRESS: STREET 1: 1 CITIZENS PLAZA CITY: PROVIDENCE STATE: RI ZIP: 02903 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RBS CBFM North America Corp. CENTRAL INDEX KEY: 0001619956 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36636 FILM NUMBER: 141130658 BUSINESS ADDRESS: STREET 1: 600 WASHINGTON BOULEVARD CITY: STAMFORD STATE: CT ZIP: 06901 BUSINESS PHONE: 203-897-2700 MAIL ADDRESS: STREET 1: 340 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10173 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NatWest Group Holdings Corp. CENTRAL INDEX KEY: 0001619957 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36636 FILM NUMBER: 141130659 BUSINESS ADDRESS: STREET 1: 600 WASHINGTON BOULEVARD CITY: STAMFORD STATE: CT ZIP: 06901 BUSINESS PHONE: 203-897-2700 MAIL ADDRESS: STREET 1: 2711 CENTERVILLE ROAD STREET 2: SUITE 400 CITY: WILMINGTON STATE: DE ZIP: 19808 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RBSG International Holdings Ltd. CENTRAL INDEX KEY: 0001619969 STATE OF INCORPORATION: XX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36636 FILM NUMBER: 141130661 BUSINESS ADDRESS: STREET 1: 24/25 ST. ANDREW SQUARE CITY: EDINBURGH EH2 1AF, SCOTLAND STATE: X0 ZIP: 00000 BUSINESS PHONE: 131-626-3851 MAIL ADDRESS: STREET 1: 24/25 ST. ANDREW SQUARE CITY: EDINBURGH EH2 1AF, SCOTLAND STATE: X0 ZIP: 00000 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROYAL BANK OF SCOTLAND PLC CENTRAL INDEX KEY: 0000729153 STANDARD INDUSTRIAL CLASSIFICATION: COMMERCIAL BANKS, NEC [6029] FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36636 FILM NUMBER: 141130662 BUSINESS ADDRESS: STREET 1: P O BOX 31 STREET 2: 42 ST ANDREW SQUARE CITY: EDINBURGH EH2 2YE SCOTLAND STATE: X0 ZIP: 00000 BUSINESS PHONE: 441315568555 MAIL ADDRESS: STREET 1: GOGARBURN STREET 2: PO BOX 100 CITY: EDINBURGH, SCOTLAND STATE: X0 ZIP: EH12 1HQ REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROYAL BANK OF SCOTLAND GROUP PLC CENTRAL INDEX KEY: 0000844150 STANDARD INDUSTRIAL CLASSIFICATION: COMMERCIAL BANKS, NEC [6029] STATE OF INCORPORATION: X0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36636 FILM NUMBER: 141130663 BUSINESS ADDRESS: STREET 1: GOGARBURN STREET 2: PO BOX 1000 CITY: EDINBURGH, SCOTLAND STATE: X0 ZIP: EH12 1HQ BUSINESS PHONE: 441315568555 MAIL ADDRESS: STREET 1: GOGARBURN STREET 2: PO BOX 1000 CITY: EDINBURGH, SCOTLAND STATE: X0 ZIP: EH12 1HQ REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NATIONAL WESTMINSTER BANK PLC /ENG/ CENTRAL INDEX KEY: 0000702162 STANDARD INDUSTRIAL CLASSIFICATION: COMMERCIAL BANKS, NEC [6029] STATE OF INCORPORATION: X0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36636 FILM NUMBER: 141130660 BUSINESS ADDRESS: STREET 1: GOGARBURN STREET 2: PO BOX 1000 CITY: EDINBURGH, SCOTLAND STATE: X0 ZIP: EH12 1HQ BUSINESS PHONE: 441315568555 MAIL ADDRESS: STREET 1: GOGARBURN STREET 2: PO BOX 1000 CITY: EDINBURGH, SCOTLAND STATE: X0 ZIP: EH12 1HQ 4 1 dp49766_4-rbs.xml FORM 4 X0306 4 2014-09-29 0 0000759944 CITIZENS FINANCIAL GROUP INC/RI CFG 0000844150 ROYAL BANK OF SCOTLAND GROUP PLC 36 ST. ANDREW SQUARE EDINBURGH X0 EH2 2YB UNITED KINGDOM 0 0 1 0 0000729153 ROYAL BANK OF SCOTLAND PLC 36 ST. ANDREW SQUARE EDINBURGH X0 EH2 2YB UNITED KINGDOM 0 0 1 0 0001619969 RBSG International Holdings Ltd. 24/25 ST. ANDREW SQUARE EDINBURGH X0 EH2 1AF UNITED KINGDOM 0 0 1 0 0000702162 NATIONAL WESTMINSTER BANK PLC /ENG/ 135 BISHOPSGATE LONDON X0 EC2M 3UR UNITED KINGDOM 0 0 1 0 0001619957 NatWest Group Holdings Corp. 2711 CENTERVILLE ROAD, SUITE 400 WILMINGTON DE 19808 0 0 1 0 0001619956 RBS CBFM North America Corp. 340 MADISON AVENUE NEW YORK NY 10173 0 0 1 0 Common Stock 2014-09-29 4 S 0 156363704 21.09 D 398998324 I See Footnote Common Stock 2014-09-29 4 S 0 4636296 21.09 D 0 I See Footnote This amount reflects the number of shares of common stock of the Issuer ("Common Stock") sold by RBSG International Holdings Limited, including 21,000,000 shares of Common Stock covered by the over-allotment option exercised by the underwriters, in connection with the initial public offering of the Issuer which closed on September 29, 2014 (the "IPO"). The material terms of the IPO are described in the prospectus, dated September 23, 2014, filed by the Issuer with the U.S. Securities and Exchange Commission on September 24, 2014. This amount represents the $21.50 per share price of Common Stock sold by the underwriters in connection with the IPO, less the underwriting discount of $0.4085 per share. Directly owned by RBSG International Holdings Limited, which is a wholly owned subsidiary of The Royal Bank of Scotland plc, which is a wholly owned subsidiary of The Royal Bank of Scotland Group plc. This amount reflects the number of shares of Common Stock sold by RBS CBFM North America Corp. in connection with the IPO. Directly owned by RBS CBFM North America Corp., which is a wholly owned subsidiary of NatWest Group Holdings Corporation, which is a wholly owned subsidiary of National Westminster Bank plc, which is a wholly owned subsidiary of The Royal Bank of Scotland plc, which is a wholly owned subsidiary of The Royal Bank of Scotland Group plc. The Royal Bank of Scotland Group plc, By: /s/ Aileen Taylor, Company Secretary and Chief Corporate Governance Officer 2014-09-30 The Royal Bank of Scotland plc, By: /s/ Aileen Taylor, Company Secretary and Chief Corporate Governance Officer 2014-09-30 RBSG International Holdings Limited, By: /s/ Sally Sutherland, Director of Company Secretary 2014-09-30 National Westminster Bank plc, By: /s/ Aileen Taylor, Company Secretary and Chief Corporate Governance Officer 2014-09-30 NatWest Group Holdings Corporation, By: /s/ Jason Hauf, Chief Financial Officer 2014-09-30 RBS CBFM North America Corp., By: /s/ Jason Hauf, Chief Financial Officer 2014-09-30