-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, JrvzS8FFzjSCoZaZ5TmdcRU+T0o4u2Zwz5IlbIe/JwWX6SzRyp8y3XHdGtiw63zp dY5pb2QraQLiPlzYu0qYvw== 0000899140-07-001602.txt : 20070927 0000899140-07-001602.hdr.sgml : 20070927 20070927125258 ACCESSION NUMBER: 0000899140-07-001602 CONFORMED SUBMISSION TYPE: 15F-12B PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070927 DATE AS OF CHANGE: 20070927 EFFECTIVENESS DATE: 20070927 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ROYAL & SUN ALLIANCE INSURANCE GROUP PLC CENTRAL INDEX KEY: 0001126313 STANDARD INDUSTRIAL CLASSIFICATION: FIRE, MARINE & CASUALTY INSURANCE [6331] IRS NUMBER: 000000000 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 15F-12B SEC ACT: 1934 Act SEC FILE NUMBER: 001-15146 FILM NUMBER: 071138651 BUSINESS ADDRESS: STREET 1: 30 BERKELEYSQUARE CITY: LONDON WIJ 6EW STATE: X0 ZIP: 00000 BUSINESS PHONE: 0114402075696042 MAIL ADDRESS: STREET 1: 30 BERKELEY SQU CITY: LONDON WIJ 6EW STATE: X0 ZIP: 00000 15F-12B 1 r3731025.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15F CERTIFICATION OF A FOREIGN PRIVATE ISSUER'S TERMINATION OF REGISTRATION OF A CLASS OF SECURITIES UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ITS TERMINATION OF THE DUTY TO FILE REPORTS UNDER SECTION 13(a) OR SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 333-1-276-2 Royal & Sun Alliance Insurance Group plc (Exact name of registrant as specified in its charter) 9th Floor, One Plantation Place 30 Fenchurch Street London EC3M 3BD Great Britain 44 (0) 20 7111 700 (Address, including zip code, and telephone number, including area code, of registrant's principal executive offices) Ordinary shares, nominal value 27.5p per share (Title of each class of securities covered by this Form) Place an X in the appropriate box(es) to indicate the provision(s) relied upon to terminate the duty to file reports under the Securities Exchange Act of 1934: Rule 12h-6(a) [ ] Rule 12h-6(d) [ ] (for equity securities) (for successor registrants) Rule 12h-6(c) [ ] Rule 12h-6(i) [X] (for debt securities) (for prior Form 15 filers) PART I Item 1. Exchange Act Reporting History Not Applicable. Item 2. Recent United States Market Activity Not Applicable. Item 3. Foreign Listing and Primary Trading Market A. The primary trading market for Royal & Sun Alliance Insurance Group plc's (the "Company") ordinary shares, nominal value 27.5 pence per share (the "Shares"), is the London Stock Exchange (the "LSE"). B. The date of the initial listing of the Shares on the LSE is 3 July 1989. The Company has maintained a listing of its Shares on the LSE for at least the 12 months preceding the date hereof. C. For the recent 12 month period from 31 August 2006 to 31 August 2007, at least 99 % of the trading volume in the Shares occurred in the United Kingdom on the LSE. Item 4. Comparative Trading Volume Data A. The first and last day of the recent 12-month period used to meet the requirements of Rule 12h-6(a)(4)(i) are 31 August 2006 and 31 August 2007. B. For the recent 12-month period referenced above in Item 4.A., the average daily trading volume of the Shares in the United States and on a worldwide basis was 86,907 and 15,713,343, respectively. C. For the recent 12-month period referenced above in Item 4.A., the average daily trading volume of the Shares in the United States as a percentage of the average daily trading volume on a worldwide basis was 0.55%. - 2 - D. The Company terminated its American Depositary Receipt program (the "ADR Program") on 30 October 2006 in respect of its American Depositary Shares (as evidenced by American Depositary Receipts), each representing five Shares, and delisted the American Depositary Shares and the Shares underlying the American Depositary Shares from the New York Stock Exchange on October 30, 2006. The remainder of the information required by Item 4.D of Form 15F is not applicable. The Company is filing Form 15F pursuant to Rule 12h-6(i). E. The Company terminated the ADR Program on 30 October 2006. The remainder of the information required by Item 4.E of Form 15F is not applicable. The Company is filing this Form 15F pursuant to Rule 12h-6(i). F. The source of the trading volume information used for determining whether the Company meets the requirements of Rule 12h-6 is Merrill Lynch, which obtained the required information from Bloomberg. Item 5. Alternative Record Holder Information Not Applicable. Item 6. Debt Securities Not Applicable. Item 7. Notice Requirement Not Applicable. Item 8. Prior Form 15 Filers A. The Company filed a Form 15 on 21 December 2006 to suspend its reporting obligations with respect to the Shares pursuant to Rule 12g-4(a)(2)(i) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Company also filed a Form 15 on 8 January 2007 to inform the Commission under Rule 15d-6 that the Company's duty to file reports pursuant to Section 15(d) of the Exchange Act was suspended. - 3 - B. Items 3 and 4 of this Form 15F are incorporated herein by reference. C. Not Applicable. PART II Item 9. Rule 12g3-2(b) Exemption The information required under Rule 12g3-2(b)(1)(iii) is available on the Company's website at http://www.royalsun.com. PART III Item 10. Exhibits None. Item 11. Undertakings The undersigned issuer hereby undertakes to withdraw this Form 15F if, at any time before the effectiveness of its termination of reporting under Rule 12h-6, it has actual knowledge of information that causes it reasonably to believe that, at the time of filing the Form 15F: (1) The average daily trading volume of its subject class of securities in the United States exceeded 5 percent of the average daily trading volume of that class of securities on a worldwide basis for the same recent 12-month period that the issuer used for purposes of Rule 12h-6(a)(4)(i); (2) Its subject class of securities was held of record by 300 or more United States residents or 300 or more persons worldwide, if proceeding under Rule 12h-6(a)(4)(ii) or Rule 12h-6(c); or (3) It otherwise did not qualify for termination of its Exchange Act reporting obligations under Rule 12h-6. - 4 - Signature Pursuant to the requirements of the Securities Exchange Act of 1934, Royal & Sun Alliance Insurance Group plc has duly authorized the undersigned person to sign on its behalf this certification on Form 15F. In so doing, Royal & Sun Alliance Insurance Group plc certifies that, as represented on this Form, it has complied with all of the conditions set forth in Rule 12h-6 for terminating its registration under section 12(g) of the Exchange Act, or its duty to file reports under section 13(a) or section 15(d) of the Exchange Act, or both. Date: 27 September 2007 By: /s/ George Culmer -------------------------------- Name: George Culmer Title: Chief Financial Officer - 5 - -----END PRIVACY-ENHANCED MESSAGE-----