1.
|
Names of Reporting Persons
The Royal Bank of Scotland plc
|
||
2.
|
Check the Appropriate Box If a Member of a Group (See Instructions)
a. ☐
b. ☒
|
||
3.
|
SEC Use Only
|
||
4.
|
Citizenship or Place of Organization
COUNTRY OF ORIGIN: United Kingdom REGISTERED: Scotland
|
||
Number of
Shares Beneficially Owned By Each Reporting Person With |
5.
|
Sole Voting Power
2,517,013
|
|
6.
|
Shared Voting Power
0
|
||
7.
|
Sole Dispositive Power
2,517,013
|
||
8.
|
Shared Dispositive Power
0
|
||
9.
|
Aggregate Amount Beneficially Owned by Each Reporting Person
2,517,013
|
||
10.
|
Check Box If the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions) ☐
|
||
11.
|
Percent of Class Represented By Amount in Row (9)
10.15%
|
||
12.
|
Type of Reporting Person (See Instructions)
CO
|
1.
|
Names of Reporting Persons
NatWest Holdings Limited
|
||
2.
|
Check the Appropriate Box If a Member of a Group (See Instructions)
a. ☐
b. ☒
|
||
3.
|
SEC Use Only
|
||
4.
|
Citizenship or Place of Organization
COUNTRY OF ORIGIN: United Kingdom REGISTERED: England
|
||
Number of
Shares Beneficially Owned By Each Reporting Person With |
5.
|
Sole Voting Power
2,517,013
|
|
6.
|
Shared Voting Power
0
|
||
7.
|
Sole Dispositive Power
2,517,013
|
||
8.
|
Shared Dispositive Power
0
|
||
9.
|
Aggregate Amount Beneficially Owned by Each Reporting Person
2,517,013
|
||
10.
|
Check Box If the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions) ☐
|
||
11.
|
Percent of Class Represented By Amount in Row (9)
10.15%
|
||
12.
|
Type of Reporting Person (See Instructions)
HC, CO
|
1.
|
Names of Reporting Persons
The Royal Bank of Scotland Group plc
|
||
2.
|
Check the Appropriate Box If a Member of a Group (See Instructions)
a. ☐
b. ☒
|
||
3.
|
SEC Use Only
|
||
4.
|
Citizenship or Place of Organization
COUNTRY OF ORIGIN: United Kingdom REGISTERED: Scotland
|
||
Number of
Shares Beneficially Owned By Each Reporting Person With |
5.
|
Sole Voting Power
2,517,013
|
|
6.
|
Shared Voting Power
0
|
||
7.
|
Sole Dispositive Power
2,517,013
|
||
8.
|
Shared Dispositive Power
0
|
||
9.
|
Aggregate Amount Beneficially Owned by Each Reporting Person
2,517,013
|
||
10.
|
Check Box If the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions) ☐
|
||
11.
|
Percent of Class Represented By Amount in Row (9)
10.15%
|
||
12.
|
Type of Reporting Person (See Instructions)
HC, CO
|
Item 1(a). |
Name of Issuer:
|
Item 1(b). |
Address of the Issuer’s Principal Executive Offices:
|
Item 2(a). |
Name of Person Filing
|
Item 2(b). |
Address of Principal Business Office or, if None, Residence:
|
Item 2(c). |
Citizenship:
|
Item 2(d). |
Title of Class of Securities:
|
Item 2(e). |
CUSIP Number:
|
Item 3. |
If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), check whether the person
filing is a:
|
a.
|
☐ Broker or dealer registered under Section 15 of the Act.
|
b.
|
☐ Bank as defined in Section 3(a)(6) of the Act.
|
c.
|
☐ Insurance company as defined in Section 3(a)(19) of the Act.
|
d.
|
☐ Investment company registered under Section 8 of the Investment Company Act of 1940.
|
e.
|
☐ An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E).
|
f.
|
☐ An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F).
|
g.
|
☐ A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G).
|
h.
|
☐ A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act.
|
i.
|
☐ A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940.
|
j.
|
☐ Group, in accordance with § 240.13d-1(b)(1)(ii)(J).
|
Item 4. |
Ownership:
|
Item 4(a). |
Amount Beneficially Owned:
|
Item 4(b). |
Percent of Class:
|
Item 4(c). |
Number of shares as to which the person has:
|
i.
|
Sole power to vote or to direct the vote
|
ii.
|
Shared power to vote or to direct the vote
|
iii.
|
Sole power to dispose or to direct the disposition of
|
iv.
|
Shared power to dispose or to direct the disposition of
|
1 |
On May 2, 2019, the Issuer completed a 1-for-14 reverse stock split of the Issuer’s Common Stock. As a result, the Issuer issued new shares to the Reporting Person. The Reporting Person’s
percentage of voting power in the Issuer remained substantially the same.
|
Item 5. |
Ownership of Five Percent or Less of a Class:
|
Item 6. |
Ownership of More than Five Percent on Behalf of Another Person:
|
Item 7. |
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company:
|
Item 8. |
Identification and Classification of Members of the Group:
|
Item 9. |
Notice of Dissolution of Group:
|
Item 10. |
Certification:
|
|
|
THE ROYAL BANK OF SCOTLAND PLC
|
||||
Date: December 13, 2019
|
|
|
By:
|
/s/ Suzanne Davidson
|
||
|
|
Name:
|
|
Suzanne Davidson
|
||
|
|
Title:
|
|
Head of Share Aggregation & Reporting
|
|
|
NATWEST HOLDINGS LIMITED
|
||||
|
|
By:
|
/s/ Suzanne Davidson
|
|||
|
|
Name:
|
|
Suzanne Davidson
|
||
|
|
Title:
|
|
Head of Share Aggregation & Reporting
|
|
|
THE ROYAL BANK OF SCOTLAND GROUP PLC
|
||||
|
|
By:
|
/s/ Suzanne Davidson
|
|||
|
|
Name:
|
|
Suzanne Davidson
|
||
|
|
Title:
|
|
Head of Share Aggregation & Reporting
|