As filed with the U.S. Securities and Exchange Commission on July 16, 2008
Registration No. 333-
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
____________________
FORM F-6
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
For Depositary Shares Evidenced by American Depositary Receipts
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UNITED UTILITIES GROUP PLC
(Exact name of issuer of deposited securities as specified in its charter)
N/A
(Translation of issuer's name into English)
England
(Jurisdiction of incorporation or organization of issuer)
JPMORGAN CHASE BANK, N.A.
(Exact name of depositary as specified in its charter)
4 New York Plaza, New York, NY 10004
Telephone (212) 623-0636
(Address, including zip code, and telephone number, including area code, of depositary's principal executive offices)
____________________
United Utilities US Holding GP
1105 N Market Street-Suite 1150
Wilmington, DE 19801
Telephone: (302) 654-5652
(Address, including zip code, and telephone number, including area code, of agent for service)
Copy to:
Scott A. Ziegler, Esq. | Ashar Qureshi |
Ziegler, Ziegler & Associates LLP 570 Lexington Avenue, 44th Floor New York, New York 10022 (212) 319-7600 | Cleary Gottlieb Steen & Hamilton City Place House 55 Basinghall Street London EC2V 5EH |
It is proposed that this filing become effective under Rule 466
If a separate registration statement has been filed to register the deposited shares, check the following box. o
CALCULATION OF REGISTRATION FEE |
Title of each class of Securities to be registered | Amount to be registered | Proposed maximum aggregate price per unit (1) | Proposed maximum aggregate offering price (2) | Amount of registration fee |
American Depositary Shares evidenced by American Depositary Receipts, each American Depositary Share representing two ordinary shares of United Utilities Group PLC | 100,000,000 American Depositary Shares | $0.05 | $5,000,000 | $196.50 |
(1) | Each unit represents one American Depositary Share. |
(2) | Estimated solely for the purpose of calculating the registration fee. Pursuant to Rule 457(k), such estimate is computed on the basis of the maximum aggregate fees or charges to be imposed in connection with the issuance of American Depositary Receipts evidencing American Depositary Shares. |
The Registrant hereby amends this Registration Statement on such date or dates as may be necessary to delay its effective date until the Registrant shall file a further amendment which specifically states that this Registration Statement shall thereafter become effective in accordance with Section 8(a) of the Securities Act of 1933 or until the Registration Statement shall become effective on such date as the Commission, acting pursuant to said Section 8(a), may determine.
PART I
INFORMATION REQUIRED IN PROSPECTUS
The Prospectus consists of the proposed form of American Depositary Receipt ("ADR" or "American Depositary Receipt") included as Exhibit A to the Deposit Agreement filed as Exhibit (a) to this Registration Statement, which is incorporated herein by reference.
CROSS REFERENCE SHEET
Item 1. DESCRIPTION OF SECURITIES TO BE REGISTERED
Item Number and Caption | | Location in Form of American Depositary Receipt Filed Herewith as Prospectus |
| | | | |
(1) | Name and address of Depositary | | Introductory paragraph |
(2) | Title of American Depositary Receipts and identity of deposited securities | | Face of American Depositary Receipt, top centre |
| Terms of Deposit: | | |
| (i) | Amount of deposited securities represented by one unit of American Depositary Shares | | Face of American Depositary Receipt, upper right corner |
| (ii) | Procedure for voting, if any, the deposited securities | | Paragraphs 15 and 16 |
| (iii) | Collection and distribution of dividends | | Paragraphs 12, 13 and 15 |
| (iv) | Transmission of notices, reports and proxy soliciting material | | Paragraphs 11, 15 and 16 |
| (v) | Sale or exercise of rights | | Paragraph 14 |
| (vi) | Deposit or sale of securities resulting from dividends, splits or plans of reorganization | | Paragraphs 12 and 17 |
| (vii) | Amendment, extension or termination of the Deposit Agreement | | Paragraphs 20 and 21 |
| (viii) | Rights of holders of receipts to inspect the transfer books of the Depositary and the list of Holders of receipts | | Paragraph 11 |
| (ix) | Restrictions upon the right to deposit or withdraw the underlying securities | | Paragraphs 2, 3, 4, 5, 6 and 8 |
| (x) | Limitation upon the liability of the Depositary | | Paragraphs 14 and 18 |
(3) | Fees and Charges | | Paragraph 7 |
Item 2. AVAILABLE INFORMATION
Item Number and Caption | | Location in Form of American Depositary Receipt Filed Herewith as Prospectus |
| | | |
(b) | Statement that United Utilities Group PLC publishes on its web site (www.unitedutilities.com) on an ongoing basis, or otherwise furnishes the United States Securities and Exchange Commission (the "Commission") with, certain public reports and documents required by foreign law or otherwise under Rule 12g3-2(b) under the Securities Exchange Act of 1934, as amended. To the extent furnished to the Commission, such reports and documents may be inspected and copied at the public reference facilities maintained by the Commission located at the date of the Deposit Agreement at 100 F Street, NE, Washington, DC 20549. | | Paragraph (11) |
PART II
INFORMATION NOT REQUIRED IN PROSPECTUS
Item 3. EXHIBITS
| (a) | Form of Deposit Agreement. Form of Deposit Agreement dated as of July , 2008 among United Utilities Group PLC, JPMorgan Chase Bank, N.A., as depositary (the "Depositary"), and all holders from time to time of ADRs issued thereunder (the "Deposit Agreement"), including the Form of American Depositary Receipt, is filed herewith as Exhibit (a). |
| (b) | Any other agreement to which the Depositary is a party relating to the issuance of the American Depositary Shares registered hereunder or the custody of the deposited securities represented thereby. Not Applicable. |
| (c) | Every material contract relating to the deposited securities between the Depositary and the issuer of the deposited securities in effect at any time within the last three years. Not Applicable. |
| (d) | Opinion of Ziegler, Ziegler & Associates LLP, counsel to the Depositary, as to the legality of the securities being registered. Filed herewith as Exhibit (d). |
| (e) | Certification under Rule 466. Not applicable. |
Item 4. UNDERTAKINGS
| (a) | The Depositary hereby undertakes to make available at the principal office of the Depositary in the United States, for inspection by holders of the American Depositary Receipts, any reports and communications received from the issuer of the deposited securities which are both (1) received by the Depositary as the holder of the deposited securities, and (2) made generally available to the holders of the underlying securities by the issuer. |
| (b) | If the amounts of fees charged are not disclosed in the prospectus, the Depositary undertakes to prepare a separate document stating the amount of any fee charged and describing the service for which it is charged and to deliver promptly a copy of such fee schedule without charge to anyone upon request. The Depositary undertakes to notify each registered holder of an American Depositary Receipt thirty days before any change in the fee schedule. |
SIGNATURE
Pursuant to the requirements of the Securities Act of 1933, as amended, JPMorgan Chase Bank, N.A. on behalf of the legal entity created by the Deposit Agreement, certifies that it has reasonable grounds to believe that all the requirements for filing on Form F-6 are met and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in The City of New York, State of New York, on July 16, 2008.
| Legal entity created by the form of Deposit Agreement for the issuance of ADRs evidencing American Depositary Shares |
| | |
| By: | JPMORGAN CHASE BANK, N.A., as Depositary |
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| | |
| | |
| By: | /s/Melinda L. VanLuit |
| Name: | Melinda L. VanLuit |
| Title: | Vice President |
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, United Utilities PLC certifies that it has reasonable grounds to believe that all the requirements for filing on Form F-6 are met and has duly caused this Registration Statement on Form F-6 to be signed on its behalf by the undersigned, thereunto duly authorized, on July 16, 2008.
KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Tom Keevil and each of the persons named below, his or her true and lawful attorneys-in-fact and agents, each with full power of substitution and resubstitution, for him or her and in his or her name, place and stead, in any and all capacities, to sign any or all amendments (including post-effective amendments) to this Registration Statement and any and all related registration statements pursuant to Rule 462(b) of the Securities Act, and to file the same, with all exhibits thereto, and other documents in connection therewith, with the Securities and Exchange Commission, hereby ratifying and confirming all that said attorneys-in-fact and agents, or any of them, or their substitute or substitutes, may lawfully do or cause to be done by virtue hereof.
Under the requirements of the Securities Act, this Registration Statement has been signed by the following persons in the capacities indicated.
SIGNATURES
Signature | Title | Date |
By: /s/Sir Richard Evans Sir Richard Evans | Chairman | July 16, 2008 |
By: /s/Philip Green Philip Green | Chief Executive Officer (principal executive officer) | July 16, 2008 |
By: /s/Tim Weller Tim Weller | Finance Director (principal financial and accounting officer) | July 16, 2008 |
By: /s/Charlie Cornish Charlie Cornish | Director | July 16, 2008 |
By: /s/Dr. John McAdam Dr. John McAdam | Director | June 9, 2008 |
By: /s/Dr. Catherine Bell Dr. Catherine Bell | Director | July 16, 2008 |
By:____________________ Norman Broadhurst | Director | , 2008 |
By:____________________ Paul Heiden | Director | , 2008 |
By: /s/David Jones CBE David Jones CBE | Director | June 9, 2008 |
By: /s/Andrew Pinder CBE Andrew Pinder CBE | Director | June 6, 2008 |
By: /s/Nick Salmon Nick Salmon | Director | July 16, 2008 |
By: /s/Kevin Boylan Name: Kevin Boylan Title: Vice President | Authorized Representative in the United States | June 20, 2008 |
INDEX TO EXHIBITS
Exhibit Number | |
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(a) | Form of Deposit Agreement. |
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(d) | Opinion of Ziegler, Ziegler & Associates LLP, counsel to the Depositary, as to the legality of the securities to be registered. |