-----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, HJ8VUpZ9chcPRDRC3tr0VMxiehsnTjRB3t52jQngrLkcfg9nbts+MxP2wPVGQm3Y 9BirzcSw3w14gkwHbrxbFg== 0001021231-06-000613.txt : 20061212 0001021231-06-000613.hdr.sgml : 20061212 20061212103252 ACCESSION NUMBER: 0001021231-06-000613 CONFORMED SUBMISSION TYPE: 6-K PUBLIC DOCUMENT COUNT: 6 CONFORMED PERIOD OF REPORT: 20061212 FILED AS OF DATE: 20061212 DATE AS OF CHANGE: 20061212 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: 6-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-15146 FILM NUMBER: 061270434 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 6-K 1 b843854-6k.htm Prepared and filed by St Ives Financial

 

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549


FORM 6-K

Report of Foreign Issuer

Pursuant to Rule 13a-16 or 15d-16 of
the Securities Exchange Act of 1934

12 December 2006

Royal & Sun Alliance Insurance Group plc
(Translation of registrant’s name into English)

9th Floor, One Plantation Place
30 Fenchurch Street
London EC3M 3BD
Great Britain
(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 
  Form 40-F 

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 

If ‘Yes’ is marked indicate below the file number assigned to the registrant in connection with Rule 12g3-2(b): 82- _______

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 & Sun Alliance Insurance Group plc
 
                               (Registrant)
     
     
Dated: 12 December 2006
By:
/s/ M R Chambers
       Name: M R Chambers
Title: General Counsel and Group Company Secretary

 

EXHIBIT INDEX

Exhibit Number Exhibit Description
   
99.1 Directors Shareholdings – Released 5 December 2006
   
99.2 Notification of Major Shareholdings – Released 7 December 2006
   
99.3 Directors Shareholdings – Released 8 December 2006


GRAPHIC 2 emptybox.gif GRAPHIC begin 644 emptybox.gif M1TE&.#EA#``,`/?^``````$!`0("`@,#`P0$!`4%!08&!@<'!P@("`D)"0H* M"@L+"PP,#`T-#0X.#@\/#Q`0$!$1$1(2$A,3$Q04%!45%186%A<7%Q@8&!D9 M&1H:&AL;&QP<'!T='1X>'A\?'R`@("$A(2(B(B,C(R0D)"4E)28F)B7IZ>GM[>WQ\?'U]?7Y^?G]_?X"`@(&!@8*" M@H.#@X2$A(6%A8:&AH>'AXB(B(F)B8J*BHN+BXR,C(V-C8Z.CH^/CY"0D)&1 MD9*2DI.3DY24E)65E9:6EI>7EYB8F)F9F9J:FIN;FYRGI^?GZ"@ MH*&AH:*BHJ.CHZ2DI*6EI::FIJ>GIZBHJ*FIJ:JJJJNKJZRLK*VMK:ZNKJ^O MK["PL+&QL;*RLK.SL[2TM+6UM;:VMK>WM[BXN+FYN;JZNKN[N[R\O+V]O;Z^ MOK^_O\#`P,'!P<+"PL/#P\3$Q,7%Q<;&QL?'Q\C(R,G)RWM_?W^#@X.'AX>+BXN/CX^3DY.7EY>;FYN?GY^CHZ.GIZ>KJZNOK MZ^SL[.WM[>[N[N_O[_#P\/'Q\?+R\O/S\_3T]/7U]?;V]O?W]_CX^/GY^?KZ M^OO[^_S\_/W]_?[^_O___R'Y!`$``/X`+``````,``P`!P@Z`/\)'$APX)L? M"!,J_/<#F;B'$!\:8"BNX,`#%"T*Q/BCHD:.'BV"U/AOY,>,)SN2Y&C@@,N7 &+@$$!``[ ` end GRAPHIC 3 tickedbox.gif GRAPHIC begin 644 tickedbox.gif M1TE&.#EA#``,`/?^``````$!`0("`@,#`P0$!`4%!08&!@<'!P@("`D)"0H* M"@L+"PP,#`T-#0X.#@\/#Q`0$!$1$1(2$A,3$Q04%!45%186%A<7%Q@8&!D9 M&1H:&AL;&QP<'!T='1X>'A\?'R`@("$A(2(B(B,C(R0D)"4E)28F)B7IZ>GM[>WQ\?'U]?7Y^?G]_?X"`@(&!@8*" M@H.#@X2$A(6%A8:&AH>'AXB(B(F)B8J*BHN+BXR,C(V-C8Z.CH^/CY"0D)&1 MD9*2DI.3DY24E)65E9:6EI>7EYB8F)F9F9J:FIN;FYRGI^?GZ"@ MH*&AH:*BHJ.CHZ2DI*6EI::FIJ>GIZBHJ*FIJ:JJJJNKJZRLK*VMK:ZNKJ^O MK["PL+&QL;*RLK.SL[2TM+6UM;:VMK>WM[BXN+FYN;JZNKN[N[R\O+V]O;Z^ MOK^_O\#`P,'!P<+"PL/#P\3$Q,7%Q<;&QL?'Q\C(R,G)RWM_?W^#@X.'AX>+BXN/CX^3DY.7EY>;FYN?GY^CHZ.GIZ>KJZNOK MZ^SL[.WM[>[N[N_O[_#P\/'Q\?+R\O/S\_3T]/7U]?;V]O?W]_CX^/GY^?KZ M^OO[^_S\_/W]_?[^_O___R'Y!`$``/X`+``````,``P`!PA>`/]%8T:PH,%_ M&0`H7,@0(3UF_R)&C*8N`T)P"O1(1"4@F$6+UB@0^H=*P2V$*/]94\!$P$F4 J%B/^`1!%XL>('#-EC'BSY,F0(S]& EX-99 4 b843854ex99-1.htm Prepared and filed by St Ives Burrups

Exhibit 99.1


NOTIFICATION OF TRANSACTIONS OF DIRECTORS/PERSONS DISCHARGING MANAGERIAL RESPONSIBILITY AND CONNECTED PERSONS

This form is intended for use by an issuer to make a RIS notification required by DR 3.1.4R(1).

(1) An issuer making a notification in respect of a transaction relating to the shares or debentures of the issuer should complete boxes 1 to 16, 23 and 24.
(2) An issuer making a notification in respect of a derivative relating to the shares of the issuer should complete boxes 1 to 4, 6, 8, 13, 14, 16, 23 and 24.
(3) An issuer making a notification in respect of options granted to a director/person discharging managerial responsibilities should complete boxes 1 to 3 and 17 to 24.
(4) An issuer making a notification in respect of a financial instrument relating to the shares of the issuer (other than a debenture) should complete boxes 1 to 4, 6, 8, 9, 11, 13, 14, 16, 23 and 24.

Please complete all relevant boxes in block capital letters.

1.   Name of issuer
    2.   State whether the notification relates to (i) a transaction notified in accordance with DR 3.1.4R(1)(a); or

(ii) DR 3.1.4(R)(1)(b) a disclosure made in accordance with section 324 (as extended by section 328) of the Companies Act 1985; or

(iii) both (i) and (ii)

 
                 
    ROYAL & SUN ALLIANCE INSURANCE GROUP PLC         (iii) BOTH  
                 
3.   Name of person discharging managerial responsibilities/director
    4.   State whether notification relates to a person connected with a person discharging managerial responsibilities/director named in 3 and identify the connected person
 
                 
    MR PAUL WHITTAKER         N/A  
                 
5.   Indicate whether the notification is in respect of a holding of the person referred to in 3 or 4 above or in respect of a non-beneficial interest3
    6.   Description of shares (including class), debentures or derivatives or financial instruments relating to shares
 
                 
    HOLDING IN RESPECT OF THE PERSON NAMED IN BOX 3         ORDINARY SHARES OF 27.5p  
                 
7.   Name of registered shareholder(s) and, if more than one, the number of shares held by each of them
    8.   State the nature of the transaction
 
                 
    PERSON NAMED IN BOX 3         EXERCISE AND SALE OF OPTIONS GRANTED UNDER THE COMPANY’S INTERNATIONAL SHARE OPTION PLAN  
                 
9.   Number of shares, debentures or financial instruments relating to shares acquired
    10.   Percentage of issued class acquired (treasury shares of that class should not be taken into account when calculating percentage)
 
                 
    3,444         0.00012%  
                 
11.   Number of shares, debentures or financial instruments relating to shares disposed
    12.   Percentage of issued class disposed (treasury shares of that class should not be taken into account when calculating percentage)
 
                 
    3,444         0.00012%  
                 
13.   Price per share or value of transaction
    14.   Date and place of transaction
 
                 
    £0.75         4 DECEMBER 2006/LONDON  
                 
15.   Total holding following notification and total percentage holding following notification (any treasury shares should not be taken into account when calculating percentage)
    16.   Date issuer informed of transaction
 
                 
    78,494/0.0026%         4 DECEMBER 2006  


If a person discharging managerial responsibilities has been granted options by the issuer complete the following boxes

17.   Date of grant
    18.   Period during which or date on which it can be exercised
 
                 
    N/A         N/A  
                 
19.   Total amount paid (if any) for grant of the option
    20.   Description of shares or debentures involved (class and number)
 
                 
    N/A         N/A  
                 
21.   Exercise price (if fixed at time of grant) or indication that price is to be fixed at the time of exercise
    22.   Total number of shares or debentures over which options held following notification
 
                 
    N/A         SHARE OPTIONS: 1,421,317
2005 SHARE MATCHING PLAN (SMP): (DEFERRED AND MATCHING AWARDS) 298,280 (SEE BOX 23) 2006 LTIP (COMPULSORY DEFERRED, MATCHING AND PERFORMANCE AWARDS) 524,140
 
                 
23.   Any additional information
    24.   Name of contact and telephone number for queries
 
                 
    THE 2005 SMP, 2006 LTIP AND PERFORMANCE SHARES INCLUDE THE MAXIMUM AWARD AVAILABLE TO THE PARTICIPANT. THE ACTUAL NUMBER OF SHARES TO BE DELIVERED WILL BE DEPENDANT UPON THE SATISFACTION OF PERFORMANCE CRITERIA         SARAH BRAIN: 020 7111 7000  


       
25.   Name and signature of duly authorised officer of issuer responsible for making this notification

LUKE THOMAS, DEPUTY GROUP COMPANY SECRETARY

Date of notification 5 DECEMBER 2006
 
       


EX-99 5 b843854ex99-2.htm Prepared and filed by St Ives Burrups

Exhibit 99.2


SCHEDULE 10

NOTIFICATION OF MAJOR INTERESTS IN SHARES

 

All relevant boxes should be completed in block capital letters.


1. Name of company   2. Name of shareholder having a major interest
         
  ROYAL & SUN ALLIANCE INSURANCE GROUP PLC     BARCLAYS PLC


3. Please state whether notification indicates that it is in respect of holding of the shareholder named in 2 above or in respect of a non-beneficial interest or in the case of an individual holder if it is a holding of that person’s spouse or children under the age of 18   4. Name of the registered holder(s) and, if more than one holder, the number of shares held by each of them
         
  SHAREHOLDER NAMED IN 2 ABOVE      


5. Number of shares/amount of stock acquired 6. Percentage of issued class 7. Number of shares/amount of stock disposed 8. Percentage of issued class
               
  N/A   N/A   NOT DISCLOSED   NOT DISCLOSED


9. Class of security 10. Date of transaction 11. Date company informed
           
  ORDINARY SHARES OF 27.5p EACH   4 DECEMBER 2006   7 DECEMBER 2006


12. Total holding following this notification 13. Total percentage holding of issued class following this notification
       
  90,378,590   3.03%


14. Any additional information 15. Name of contact and telephone number for queries
       
      LUKE THOMAS 020 7111 7000


16. Name of authorised company official responsible for making this notification
   
  LUKE THOMAS, DEPUTY GROUP COMPANY SECRETARY
   

  Date of notification: 7 DECEMBER 2006



REGISTERED HOLDERS REPORT

ROYAL&SUN ALLIANCE SEDOL: 0661689

As at 04 December 2006 Barclays PLC, through the registered holders listed below, had a notifiable interest in 90,378,590 ORD GBP0.275 representing 3.03% of the issued share capital of 2,986,544,144 units.

Registered Holder   Account Designation   Holding  
           
BANK OF IRELAND   426353   1,881,739  
BANK OF NEW YORK       212,697  
Barclays Capital Nominees Ltd       495,000  
Barclays Capital Nominees Ltd       1,628,902  
Barclays Capital Nominees Ltd       495,000  
Barclays Capital Nominees Ltd       10,719  
Barclays Capital Nominees Ltd       7,439,390  
Barclays Capital Nominees Ltd       5,392,430  
Barclays Global Investors Canada       268,236  
Barclays Trust Co & Others       52,068  
Barclays Trust Co DMC69       49,672  
Barclays Trust Co R69       74,763  
CHASE NOMINEES LTD   16376   1,470,616  
CHASE NOMINEES LTD   28270   852,892  
Durlacher Nominees Ltd       202,420  
Gerrard Nominees Limited   610720   4,500  
Gerrard Nominees Limited   611717   7,272  
Gerrard Nominees Limited   660302   14,030  
Gerrard Nominees Limited   660632   4,000  
Gerrard Nominees Limited   660851   20,000  
Gerrard Nominees Limited   768557   45,000  
Greig Middleton Nominees Limited (GM1)       686,465  
Greig Middleton Nominees Ltd (GM3)   523475DN   500,000  
INVESTORS BANK AND TRUST CO.       508,096  
INVESTORS BANK AND TRUST CO.       13,227,834  
INVESTORS BANK AND TRUST CO.       265,000  
INVESTORS BANK AND TRUST CO.       252,708  
INVESTORS BANK AND TRUST CO.       2,838,276  
INVESTORS BANK AND TRUST CO.       4,616  
INVESTORS BANK AND TRUST CO.       318,535  
INVESTORS BANK AND TRUST CO.       280,897  
INVESTORS BANK AND TRUST CO.       515,999  
INVESTORS BANK AND TRUST CO.       920,773  
INVESTORS BANK AND TRUST CO.       784,098  
INVESTORS BANK AND TRUST CO.       8,861,790  
JP MORGAN (BGI CUSTODY)   16331   735,188  
JP MORGAN (BGI CUSTODY)   16338   171,465  
JP MORGAN (BGI CUSTODY)   16341   1,741,677  
JP MORGAN (BGI CUSTODY)   16342   389,077  
JP MORGAN (BGI CUSTODY)   16400   21,544,358  
JP MORGAN (BGI CUSTODY)   17011   49,852  
JP MORGAN (BGI CUSTODY)   18409   2,753,095  
JPMORGAN CHASE BANK       96,816  
JPMorgan Chase Bank       296,962  
JPMorgan Chase Bank       168,621  
JPMorgan Chase Bank       30,731  
JPMORGAN CHASE BANK       257,284  
JPMorgan Chase Bank       86,165  
JPMorgan Chase Bank       405,159  
JPMorgan Chase Bank       434,384  
JPMorgan Chase Bank       25,860  
JPMorgan Chase Bank       154,618  
JPMorgan Chase Bank       42,405  
JPMorgan Chase Bank       323,276  
JPMorgan Chase Bank       300,953  
JPMorgan Chase Bank       1,642,211  
Master Trust Bank       230,057  
Mellon Trust – US CUSTODIAN /       113,607  
Mitsui Asset       51,860  
R C Greig Nominees Limited       3,609,771  
R C Greig Nominees Limited a/c AK1       971,538  
R C Greig Nominees Limited a/c BL1       217,648  
R C Greig Nominees Limited a/c CM1       99,346  
R C Greig Nominees Limited GP1       566,522  
R C Greig Nominees Limited SA1       314,047  
STATE STREET BOSTON       1,400,175  
The Northern Trust Company – U       27,505  
Trust & Custody Services Bank       27,297  
Trust & Custody Services Bank       3,523  
Trust & Custody Services Bank       456,922  
Trust & Custody Services Bank       12,442  
ZEBAN NOMINEES LIMITED       25,000  
ZEBAN NOMINEES LIMITED       14,740  
           
Total       90,378,590  


EX-99 6 b843854ex99-3.htm Prepared and filed by St Ives Burrups

Exhibit 99.3


NOTIFICATION OF TRANSACTIONS OF DIRECTORS/PERSONS DISCHARGING MANAGERIAL RESPONSIBILITY AND CONNECTED PERSONS

This form is intended for use by an issuer to make a RIS notification required by DR 3.1.4R(1).

(1) An issuer making a notification in respect of a transaction relating to the shares or debentures of the issuer should complete boxes 1 to 16, 23 and 24.
(2) An issuer making a notification in respect of a derivative relating to the shares of the issuer should complete boxes 1 to 4, 6, 8, 13, 14, 16, 23 and 24.
(3) An issuer making a notification in respect of options granted to a director/person discharging managerial responsibilities should complete boxes 1 to 3 and 17 to 24.
(4) An issuer making a notification in respect of a financial instrument relating to the shares of the issuer (other than a debenture) should complete boxes 1 to 4, 6, 8, 9, 11, 13, 14, 16, 23 and 24.

Please complete all relevant boxes in block capital letters.

1.   Name of issuer
    2.   State whether the notification relates to (i) a transaction notified in accordance with DR 3.1.4R(1)(a); or

(ii) DR 3.1.4(R)(1)(b) a disclosure made in accordance with section 324 (as extended by section 328) of the Companies Act 1985; or

(iii) both (i) and (ii)

 
                 
    ROYAL & SUN ALLIANCE INSURANCE GROUP PLC         (iii) BOTH  
                 
3.   Name of person discharging managerial responsibilities/director
    4.   State whether notification relates to a person connected with a person discharging managerial responsibilities/director named in 3 and identify the connected person
 
                 
    MR ANDREW CHRISTOPHER NELSON         N/A  
                 
5.   Indicate whether the notification is in respect of a holding of the person referred to in 3 or 4 above or in respect of a non-beneficial interest3
    6.   Description of shares (including class), debentures or derivatives or financial instruments relating to shares
 
                 
    HOLDING IN RESPECT OF THE PERSON NAMED IN BOX 3         ORDINARY SHARES OF 27.5p  
                 
7.   Name of registered shareholder(s) and, if more than one, the number of shares held by each of them
    8.   State the nature of the transaction
 
                 
    PERSON NAMED IN BOX 3         EXERCISE AND PARTIAL SALE OF OPTIONS GRANTED UNDER THE COMPANY’S EXECUTIVE SHARE OPTION PLAN  
                 
9.   Number of shares, debentures or financial instruments relating to shares acquired
    10.   Percentage of issued class acquired (treasury shares of that class should not be taken into account when calculating percentage)
 
                 
    229,999         0.0077%  
                 
11.   Number of shares, debentures or financial instruments relating to shares disposed
    12.   Percentage of issued class disposed (treasury shares of that class should not be taken into account when calculating percentage)
 
                 
    205,378         0.0069%  
                 
13.   Price per share or value of transaction
    14.   Date and place of transaction
 
                 
    120,000 AT £1.1405
109,999 AT £0.924
        7 DECEMBER 2006/LONDON  
                 
15.   Total holding following notification and total percentage holding following notification (any treasury shares should not be taken into account when calculating percentage)
    16.   Date issuer informed of transaction
 
                 
    74,621/0.0025%         7 DECEMBER 2006  


If a person discharging managerial responsibilities has been granted options by the issuer complete the following boxes

17.   Date of grant
    18.   Period during which or date on which it can be exercised
 
                 
    N/A         N/A  
                 
19.   Total amount paid (if any) for grant of the option
    20.   Description of shares or debentures involved (class and number)
 
                 
    N/A         N/A  
                 
21.   Exercise price (if fixed at time of grant) or indication that price is to be fixed at the time of exercise
    22.   Total number of shares or debentures over which options held following notification
 
                 
    N/A         SHARE OPTIONS: 1,045,936
2005 SHARE MATCHING PLAN (SMP): (DEFERRED AND MATCHING AWARDS) 330,316 (SEE BOX 23)
 
                 
23.   Any additional information
    24.   Name of contact and telephone number for queries
 
                 
    THE 2005 SMP INCLUDES THE MAXIMUM AWARD AVAILABLE TO THE PARTICIPANT. THE ACTUAL NUMBER OF SHARES TO BE DELIVERED WILL BE DEPENDANT UPON THE SATISFACTION OF PERFORMANCE CRITERIA         SARAH BRAIN: 020 7111 7000  


       
25.   Name and signature of duly authorised officer of issuer responsible for making this notification

LUKE THOMAS, DEPUTY GROUP COMPANY SECRETARY

Date of notification 8 DECEMBER 2006
 
       


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