6-K 1 f9291116k.htm f9291116k.htm


FORM 6-K
 
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
Report of a Foreign Private Issuer
 
Pursuant to Rule 13a-16 or 15d-16
of the Securities Exchange Act of 1934
 
For the month of September, 2011
Commission File Number: 001-13928
 
Royal Bank of Canada
 
(Exact name of registrant as specified in its charter)
   
200 Bay Street
Royal Bank Plaza
Toronto, Ontario
Canada M5J 2J5
Attention: Vice-President
& Corporate Secretary
1 Place Ville Marie
Montreal, Quebec
Canada H3C 3A9
Attention: Vice-President
& Corporate Secretary 
 
(Address of registrant’s 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 o
Form 40-F x

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): o

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): o

Indicate by check mark whether by furnishing the information contained in this Form, the registrant is also thereby furnishing the information to the Commission pursuant to Rule 12g3-2(b) under the Securities Exchange Act of 1934.

Yes o
No x

If “Yes” is marked, indicate below the file number assigned to the registrant in connection with Rule 12g3-2(b): o
 
THIS REPORT ON FORM 6-K AND THE EXHIBITS HERETO SHALL BE DEEMED TO BE INCORPORATED BY REFERENCE AS EXHIBITS TO ROYAL BANK OF CANADA’S REGISTRATION STATEMENT ON FORM F-3 (FILE NO. 333-171806) AND TO BE A PART THEREOF FROM THE DATE ON WHICH THIS REPORT IS FURNISHED, TO THE EXTENT NOT SUPERSEDED BY DOCUMENTS OR REPORTS SUBSEQUENTLY FILED OR FURNISHED.
 


 
 

 
 
Exhibits are filed herewith in connection with the issuance of the following Senior Global Medium-Term Notes, Series E (collectively, the “Notes”) by Royal Bank of Canada (the “Bank”) on or following the date of this report on Form 6-K, pursuant to the Bank’s shelf registration statement on Form F-3 (File No. 333-171806):
 
Name of Security
Date of Pricing
Supplement
Date of Settlement of
Security
Principal
Amount
Reverse Convertible Notes Each Linked to a Single Reference Stock
September 26, 2011
September 30, 2011
$2,551,000
Reverse Convertible Notes Each Linked to a Single Reference Stock
September 27, 2011
September 30, 2011
$2,211,000
Buffered Bullish Enhanced Return Notes Linked to the S&P 500 Index, due March 30, 2012
September 27, 2011
September 30, 2011
$2,225,000
Buffered Bullish Enhanced Return Notes Linked to the S&P 500 Index, due September 30, 2012
September 27, 2011
September 30, 2011
$1,670,000
Redeemable Step Up Notes, due September 30, 2026
September 28, 2011
September 30, 2011
$15,000,000
Trigger Yield Optimization Notes Linked to the Common Stock of Intel Corporation due on March 30, 2012
September 28, 2011
September 30, 2011
$1,338,296.84
Trigger Yield Optimization Notes Linked to the Common Stock of Goldcorp Inc. due on March 30, 2012
September 28, 2011
September 30, 2011
$3,564,446.39
 
Trigger Yield Optimization Notes Linked to the SPDR® S&P 500® ETF Trust due on March 30, 2012
September 28, 2011
September 30, 2011
$7,790,804.32
 

 
EXHIBITS
 
     
Exhibit
 
Description of Exhibit
5.1
 
Opinion of Norton Rose OR LLP, Canadian counsel for the Bank, as to certain matters under Canadian, Ontario and Quebec law.
     
5.2
 
Opinion of Morrison & Foerster LLP, as to the validity of the Notes under New York law.
 
 
 

 

Signatures
 
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
 
       
   
ROYAL BANK OF CANADA
     
   
By:
 /s/ Donald Dye
       
   
Name:
Title:
Donald Dye
Authorized Officer
       
   
Date:
September 30, 2011
 

       
   
ROYAL BANK OF CANADA
     
   
By:
/s/ John Matthews
       
   
Name:
Title:
John Matthews
Authorized Officer
       
   
Date:
September 30, 2011