Report of Foreign Issuer (6-k)
02 September 2017 - 2:48AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 6-K
REPORT OF FOREIGN PRIVATE ISSUER
PURSUANT TO RULE 13A-16 OR 15D-16
UNDER THE SECURITIES EXCHANGE ACT OF 1934
September
01, 2017
Barclays PLC and
Barclays Bank PLC
(Names
of Registrants)
1 Churchill Place
London E14 5HP
England
(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 x 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
x
If
"Yes" is marked, indicate below the file number assigned to the
registrant
in
connection with Rule 12g3-2(b):
This
Report is a joint Report on Form 6-K filed by Barclays PLC and
Barclays
Bank
PLC. All of the issued ordinary share capital of Barclays Bank PLC
is
owned
by Barclays PLC.
This
Report comprises:
Information
given to The London Stock Exchange and furnished pursuant
to
General
Instruction B to the General Instructions to Form 6-K.
EXHIBIT
INDEX
Exhibit
No. 1
|
Total
Voting Rights dated 1 August 2017
|
Exhibit
No. 2
|
Director/PDMR
Shareholding dated 1 August 2017
|
Exhibit
No. 3
|
Holding(s)
in Company dated 14 August 2017
|
Exhibit
No. 4
|
Holding(s)
in Company dated 17 August 2017
|
__________________________________________________________________________________
SIGNATURES
Pursuant
to the requirements of the Securities Exchange Act of 1934, each of
the registrants has duly caused this report to be signed on its
behalf by the undersigned, thereunto duly authorized.
|
BARCLAYS
PLC
|
|
(Registrant)
|
Date:
September 01, 2017
|
By: /s/
Garth Wright
--------------------------------
|
|
Garth
Wright
|
|
Assistant
Secretary
|
|
BARCLAYS
BANK PLC
|
|
(Registrant)
|
Date:
September 01, 2017
|
By: /s/
Garth Wright
--------------------------------
|
|
Garth
Wright
|
|
Assistant
Secretary
|
Exhibit
No. 1
1
August 2017
Barclays PLC - Total Voting Rights
In
accordance with the Financial Conduct Authority's (FCA) Disclosure
Guidance and Transparency Rule 5.6.1R, Barclays PLC notifies the
market that as of 31 July 2017, Barclays PLC's issued share capital
consists of 17,035,227,684
Ordinary shares with voting
rights.
There
are no ordinary shares held in Treasury.
The
above figure (17,035,227,684) may be used by shareholders (and
others with notification obligations) as the denominator for the
calculation by which they will determine if they are required to
notify their interest in, or a change to their interest in,
Barclays PLC under the FCA's Disclosure Guidance and Transparency
Rules.
- Ends -
For
further information, please contact:
Investor
Relations
|
Media
Relations
|
Kathryn
McLeland
|
Tom
Hoskin
|
+44 (0)
20 7116 4943
|
+44
(0) 20 7116 4755
|
LEI
Code: 213800LBQA1Y9L22JB70
Exhibit
No. 2
1
August 2017
NOTIFICATION
OF TRANSACTIONS OF PERSONS DISCHARGING MANAGERIAL
RESPONSIBILITIES
The
attached individual notifications made on behalf of PDMRs under
article 19.1 of the Market Abuse Regulation ('MAR') relate to
transactions made on behalf of the Chairman and the non-executive
Directors in Barclays PLC shares.
This
announcement is made in accordance with Article 19.3 of
MAR.
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
a)
|
Name
|
Mike
Ashley
|
2
|
Reason for the notification
|
a)
|
Position/status
|
Non-executive
Director
|
b)
|
Initial notification /Amendment
|
Initial
notification
|
3
|
Details of the issuer, emission allowance market participant,
auction platform, auctioneer or auction monitor
|
a)
|
Name
|
Barclays
PLC
|
b)
|
LEI
|
213800LBQA1Y9L22JB70
|
4
|
Details of the transaction(s): section to be repeated for (i) each
type of instrument; (ii) each type of transaction; (iii) each date;
and (iv) each place where transactions have been
conducted
|
a)
|
Description of the financial instrument, type of
instrument
Identification
code
|
Ordinary
shares in Barclays PLC with a nominal value of 25p each
('Shares')
GB0031348658
|
b)
|
Nature of the transaction
|
Acquisition
of Shares for non-executive Directors. The purchase arises from the
policy of using part of the fee payable to each Director to
purchase shares in the Company, which, together with any reinvested
dividends, are retained for the Director until they leave the
Board.
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s)
|
£2.018
per Share
|
3,528
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2017-07-31
|
f)
|
Place of the transaction
|
London
Stock Exchange
|
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
a)
|
Name
|
Tim
Breedon
|
2
|
Reason for the notification
|
a)
|
Position/status
|
Non-executive
Director
|
b)
|
Initial notification /Amendment
|
Initial
notification
|
3
|
Details of the issuer, emission allowance market participant,
auction platform, auctioneer or auction monitor
|
a)
|
Name
|
Barclays
PLC
|
b)
|
LEI
|
213800LBQA1Y9L22JB70
|
4
|
Details of the transaction(s): section to be repeated for (i) each
type of instrument; (ii) each type of transaction; (iii) each date;
and (iv) each place where transactions have been
conducted
|
a)
|
Description of the financial instrument, type of
instrument
Identification
code
|
Ordinary
shares in Barclays PLC with a nominal value of 25p each
('Shares')
GB0031348658
|
b)
|
Nature of the transaction
|
Acquisition
of Shares for non-executive Directors. The purchase arises from the
policy of using part of the fee payable to each Director to
purchase shares in the Company, which, together with any reinvested
dividends, are retained for the Director until they leave the
Board.
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s)
|
£2.018
per Share
|
3,224
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2017-07-31
|
f)
|
Place of the transaction
|
London
Stock Exchange
|
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
a)
|
Name
|
Sir Ian
Cheshire
|
2
|
Reason for the notification
|
a)
|
Position/status
|
Non-executive
Director
|
b)
|
Initial notification /Amendment
|
Initial
notification
|
3
|
Details of the issuer, emission allowance market participant,
auction platform, auctioneer or auction monitor
|
a)
|
Name
|
Barclays
PLC
|
b)
|
LEI
|
213800LBQA1Y9L22JB70
|
4
|
Details of the transaction(s): section to be repeated for (i) each
type of instrument; (ii) each type of transaction; (iii) each date;
and (iv) each place where transactions have been
conducted
|
a)
|
Description of the financial instrument, type of
instrument
Identification
code
|
Ordinary
shares in Barclays PLC with a nominal value of 25p each
('Shares')
GB0031348658
|
b)
|
Nature of the transaction
|
Acquisition
of Shares for non-executive Directors. The purchase arises from the
policy of using part of the fee payable to each Director to
purchase shares in the Company, which, together with any reinvested
dividends, are retained for the Director until they leave the
Board.
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s)
|
£2.018
per Share
|
2,851
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2017-07-31
|
f)
|
Place of the transaction
|
London
Stock Exchange
|
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
a)
|
Name
|
Mary
Francis
|
2
|
Reason for the notification
|
a)
|
Position/status
|
Non-executive
Director
|
b)
|
Initial notification /Amendment
|
Initial
notification
|
3
|
Details of the issuer, emission allowance market participant,
auction platform, auctioneer or auction monitor
|
a)
|
Name
|
Barclays
PLC
|
b)
|
LEI
|
213800LBQA1Y9L22JB70
|
4
|
Details of the transaction(s): section to be repeated for (i) each
type of instrument; (ii) each type of transaction; (iii) each date;
and (iv) each place where transactions have been
conducted
|
a)
|
Description of the financial instrument, type of
instrument
Identification
code
|
Ordinary
shares in Barclays PLC with a nominal value of 25p each
('Shares')
GB0031348658
|
b)
|
Nature of the transaction
|
Acquisition
of Shares for non-executive Directors. The purchase arises from the
policy of using part of the fee payable to each Director to
purchase shares in the Company, which, together with any reinvested
dividends, are retained for the Director until they leave the
Board.
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s)
|
£2.018
per Share
|
3,413
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2017-07-31
|
f)
|
Place of the transaction
|
London
Stock Exchange
|
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
a)
|
Name
|
Crawford
Gillies
|
2
|
Reason for the notification
|
a)
|
Position/status
|
Non-executive
Director
|
b)
|
Initial notification /Amendment
|
Initial
notification
|
3
|
Details of the issuer, emission allowance market participant,
auction platform, auctioneer or auction monitor
|
a)
|
Name
|
Barclays
PLC
|
b)
|
LEI
|
213800LBQA1Y9L22JB70
|
4
|
Details of the transaction(s): section to be repeated for (i) each
type of instrument; (ii) each type of transaction; (iii) each date;
and (iv) each place where transactions have been
conducted
|
a)
|
Description of the financial instrument, type of
instrument
Identification
code
|
Ordinary
shares in Barclays PLC with a nominal value of 25p each
('Shares')
GB0031348658
|
b)
|
Nature of the transaction
|
Acquisition
of Shares for non-executive Directors. The purchase arises from the
policy of using part of the fee payable to each Director to
purchase shares in the Company, which, together with any reinvested
dividends, are retained for the Director until they leave the
Board.
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s)
|
£2.018
per Share
|
3,486
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2017-07-31
|
f)
|
Place of the transaction
|
London
Stock Exchange
|
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
a)
|
Name
|
Sir
Gerry Grimstone
|
2
|
Reason for the notification
|
a)
|
Position/status
|
Deputy
Chairman and Senior Independent Director
|
b)
|
Initial notification /Amendment
|
Initial
notification
|
3
|
Details of the issuer, emission allowance market participant,
auction platform, auctioneer or auction monitor
|
a)
|
Name
|
Barclays
PLC
|
b)
|
LEI
|
213800LBQA1Y9L22JB70
|
4
|
Details of the transaction(s): section to be repeated for (i) each
type of instrument; (ii) each type of transaction; (iii) each date;
and (iv) each place where transactions have been
conducted
|
a)
|
Description of the financial instrument, type of
instrument
Identification
code
|
Ordinary
shares in Barclays PLC with a nominal value of 25p each
('Shares')
GB0031348658
|
b)
|
Nature of the transaction
|
Acquisition
of Shares for non-executive Directors. The purchase arises from the
policy of using part of the fee payable to each Director to
purchase shares in the Company, which, together with any reinvested
dividends, are retained for the Director until they leave the
Board.
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s)
|
£2.018
per Share
|
3,485
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2017-07-31
|
f)
|
Place of the transaction
|
London
Stock Exchange
|
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
a)
|
Name
|
Reuben
Jeffery
|
2
|
Reason for the notification
|
a)
|
Position/status
|
Non-executive
Director
|
b)
|
Initial notification /Amendment
|
Initial
notification
|
3
|
Details of the issuer, emission allowance market participant,
auction platform, auctioneer or auction monitor
|
a)
|
Name
|
Barclays
PLC
|
b)
|
LEI
|
213800LBQA1Y9L22JB70
|
4
|
Details of the transaction(s): section to be repeated for (i) each
type of instrument; (ii) each type of transaction; (iii) each date;
and (iv) each place where transactions have been
conducted
|
a)
|
Description of the financial instrument, type of
instrument
Identification
code
|
Ordinary
shares in Barclays PLC with a nominal value of 25p each
('Shares')
GB0031348658
|
b)
|
Nature of the transaction
|
Acquisition
of Shares for non-executive Directors. The purchase arises from the
policy of using part of the fee payable to each Director to
purchase shares in the Company, which, together with any reinvested
dividends, are retained for the Director until they leave the
Board.
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s)
|
£2.018
per Share
|
4,924
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2017-07-31
|
f)
|
Place of the transaction
|
London
Stock Exchange
|
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
a)
|
Name
|
John
McFarlane
|
2
|
Reason for the notification
|
a)
|
Position/status
|
Group
Chairman
|
b)
|
Initial notification /Amendment
|
Initial
notification
|
3
|
Details of the issuer, emission allowance market participant,
auction platform, auctioneer or auction monitor
|
a)
|
Name
|
Barclays
PLC
|
b)
|
LEI
|
213800LBQA1Y9L22JB70
|
4
|
Details of the transaction(s): section to be repeated for (i) each
type of instrument; (ii) each type of transaction; (iii) each date;
and (iv) each place where transactions have been
conducted
|
a)
|
Description of the financial instrument, type of
instrument
Identification
code
|
Ordinary
shares in Barclays PLC with a nominal value of 25p each
('Shares')
GB0031348658
|
b)
|
Nature of the transaction
|
Acquisition
of Shares for non-executive Directors. The purchase arises from the
policy of using part of the fee payable to each Director to
purchase shares in the Company, which, together with any reinvested
dividends, are retained for the Director until they leave the
Board.
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s)
|
£2.018
per Share
|
11,282
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2017-07-31
|
f)
|
Place of the transaction
|
London
Stock Exchange
|
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
a)
|
Name
|
Dambisa
Moyo
|
2
|
Reason for the notification
|
a)
|
Position/status
|
Non-executive
Director
|
b)
|
Initial notification /Amendment
|
Initial
notification
|
3
|
Details of the issuer, emission allowance market participant,
auction platform, auctioneer or auction monitor
|
a)
|
Name
|
Barclays
PLC
|
b)
|
LEI
|
213800LBQA1Y9L22JB70
|
4
|
Details of the transaction(s): section to be repeated for (i) each
type of instrument; (ii) each type of transaction; (iii) each date;
and (iv) each place where transactions have been
conducted
|
a)
|
Description of the financial instrument, type of
instrument
Identification
code
|
Ordinary
shares in Barclays PLC with a nominal value of 25p each
('Shares')
GB0031348658
|
b)
|
Nature of the transaction
|
Acquisition
of Shares for non-executive Directors. The purchase arises from the
policy of using part of the fee payable to each Director to
purchase shares in the Company, which, together with any reinvested
dividends, are retained for the Director until they leave the
Board.
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s)
|
£2.018
per Share
|
3,444
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2017-07-31
|
f)
|
Place of the transaction
|
London
Stock Exchange
|
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
a)
|
Name
|
Diane
Schueneman
|
2
|
Reason for the notification
|
a)
|
Position/status
|
Non-executive
Director
|
b)
|
Initial notification /Amendment
|
Initial
notification
|
3
|
Details of the issuer, emission allowance market participant,
auction platform, auctioneer or auction monitor
|
a)
|
Name
|
Barclays
PLC
|
b)
|
LEI
|
213800LBQA1Y9L22JB70
|
4
|
Details of the transaction(s): section to be repeated for (i) each
type of instrument; (ii) each type of transaction; (iii) each date;
and (iv) each place where transactions have been
conducted
|
a)
|
Description of the financial instrument, type of
instrument
Identification
code
|
Ordinary
shares in Barclays PLC with a nominal value of 25p each
('Shares')
GB0031348658
|
b)
|
Nature of the transaction
|
Acquisition
of Shares for non-executive Directors. The purchase arises from the
policy of using part of the fee payable to each Director to
purchase shares in the Company, which, together with any reinvested
dividends, are retained for the Director until they leave the
Board.
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s)
|
£2.018
per Share
|
5,121
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2017-07-31
|
f)
|
Place of the transaction
|
London
Stock Exchange
|
For further information please contact:
Investor Relations
|
Media Relations
|
Kathryn McLeland
|
Tom Hoskin
|
+44 (0)20 7116 4943
|
+44 (0)20 7116 4755
|
Exhibit
No. 3
TR-1:
Standard form for notification of major holdings
NOTIFICATION OF MAJOR HOLDINGS
(to
be sent to the relevant issuer and to the FCA in Microsoft Word
format if possible)
i
|
|
1a. Identity of the issuer or the underlying issuer of existing
shares to which voting rights are attached
ii
:
|
Barclays
PLC
(LEI
Code: 213800LBQA1Y9L22JB70)
|
1b. Please indicate if the issuer is a non-UK issuer
(please mark with an "X"
if appropriate)
|
Non-UK issuer
|
|
2. Reason for the notification
(please mark the appropriate
box or boxes with an "X")
|
An
acquisition or disposal of voting rights
|
X
|
An
acquisition or disposal of financial instruments
|
|
An
event changing the breakdown of voting rights
|
|
Other
(please specify)
iii
:
|
|
3. Details of person subject to the notification
obligation
iv
|
Name
|
BlackRock,
Inc.
|
City
and country of registered office (if applicable)
|
Wilmington,
DE, USA
|
4. Full name of shareholder(s)
(if different from
3.)
v
|
Name
|
|
City
and country of registered office (if applicable)
|
|
5. Date on which the threshold was crossed or
reached
vi
:
|
10/08/2017
|
6.
Date on which issuer notified
(DD/MM/YYYY):
|
11/08/2017
|
7. Total positions of person(s) subject to the notification
obligation
|
|
% of
voting rights attached to shares (total of 8. A)
|
% of
voting rights through financial instruments(total of 8.B 1 + 8.B
2)
|
Total
of both in % (8.A + 8.B)
|
Total
number of voting rights of issuer
vii
|
Resulting
situation on the date on which threshold was crossed or
reached
|
4.30%
|
1.62%
|
5.92%
|
17,035,227,684
|
Position
of previous notification (if
applicable)
|
5.65%
|
0.00%
|
5.66%
|
|
8. Notified details of the resulting situation on the date on which
the threshold was crossed or reached
viii
|
A: Voting rights attached to shares
|
Class/type ofshares
ISIN
code (if possible)
|
Number of voting rights
ix
|
% of voting rights
|
Direct
(Art 9
of Directive 2004/109/EC) (DTR5.1)
|
Indirect
(Art 10
of Directive 2004/109/EC) (DTR5.2.1)
|
Direct
(Art 9
of Directive 2004/109/EC) (DTR5.1)
|
Indirect
(Art 10
of Directive 2004/109/EC) (DTR5.2.1)
|
GB0031348658
|
|
733,578,781
|
|
4.30%
|
|
|
|
|
|
|
|
|
|
|
SUBTOTAL 8. A
|
733,578,781
|
4.30%
|
|
B 1: Financial Instruments according to Art. 13(1)(a) of Directive
2004/109/EC (DTR5.3.1.1 (a))
|
Type of financial instrument
|
Expirationdate
x
|
Exercise/Conversion Period
xi
|
Number of voting rights that may be acquired if the instrument
is
exercised/converted.
|
% of voting rights
|
Securities
Lending
|
|
|
275,064,070
|
1.61%
|
|
|
|
|
|
|
|
|
|
|
|
|
SUBTOTAL 8. B 1
|
275,064,070
|
1.61%
|
|
B 2: Financial Instruments with similar economic effect according
to Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1
(b))
|
Type of financial instrument
|
Expirationdate
x
|
Exercise/Conversion Period
xi
|
Physical or cash
settlement
xii
|
Number of voting rights
|
% of voting rights
|
CFD
|
|
|
Cash
|
1,500,558
|
0.00%
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
SUBTOTAL 8.B.2
|
1,500,558
|
0.00%
|
9. Information in relation to the person subject to the
notification obligation
(please mark the
applicable
box with an "X")
|
Person
subject to the notification obligation is not controlled by any
natural person or legal entity and does not control any other
undertaking(s) holding directly or indirectly an interest in the
(underlying) issuer
xiii
|
|
Full
chain of controlled undertakings through which the voting rights
and/or thefinancial instruments are effectively held starting with
the ultimate controlling natural person or legal entity
xiv
(please add additional rows as
necessary)
|
X
|
Name
xv
|
% of voting rights if it equals or is higher than the notifiable
threshold
|
% of voting rights through financial instruments if it equals or is
higher than the notifiable threshold
|
Total of both if it equals or is higher than the notifiable
threshold
|
See
Attachment
|
|
|
|
|
10. In case of proxy voting, please identify:
|
Name of
the proxy holder
|
|
The
number and % of voting rights held
|
|
The
date until which the voting rights will be held
|
|
|
11. Additional information
xvi
|
BlackRock
Regulatory Threshold Reporting Team Jana
Blumenstein
020
7743 3650
|
Place of completion
|
12
Throgmorton Avenue, London, EC2N 2DL, U.K.
|
Date of completion
|
11
August, 2017
|
Section 9 Attachment
Name
xv
|
% of voting rights if it equals or is higher than the notifiable
threshold
|
% of voting rights through financial instruments if it equals or is
higher than the notifiable threshold
|
Total of both if it equals or is higher than the notifiable
threshold
|
BlackRock,
Inc.
|
|
|
|
BlackRock
Holdco 2, Inc.
|
|
|
|
BlackRock
Financial Management, Inc.
|
|
|
|
BlackRock
Holdco 4, LLC
|
|
|
|
BlackRock
Holdco 6, LLC
|
|
|
|
BlackRock
Delaware Holdings Inc.
|
|
|
|
BlackRock
Fund Advisors
|
|
|
|
BlackRock
Institutional Trust Company, National Association
|
|
|
|
|
|
|
|
BlackRock,
Inc.
|
|
|
|
BlackRock
Holdco 2, Inc.
|
|
|
|
BlackRock
Financial Management, Inc.
|
|
|
|
BlackRock
Holdco 4, LLC
|
|
|
|
BlackRock
Holdco 6, LLC
|
|
|
|
BlackRock
Delaware Holdings Inc.
|
|
|
|
BlackRock
Fund Advisors
|
|
|
|
|
|
|
|
BlackRock,
Inc.
|
|
|
|
BlackRock
Holdco 2, Inc.
|
|
|
|
BlackRock
Financial Management, Inc.
|
|
|
|
BlackRock
International Holdings, Inc.
|
|
|
|
BR
Jersey International Holdings L.P.
|
|
|
|
BlackRock
Group Limited
|
|
|
|
BlackRock
Investment Management (UK) Limited
|
|
|
|
|
|
|
|
BlackRock,
Inc.
|
|
|
|
BlackRock
Holdco 2, Inc.
|
|
|
|
BlackRock
Financial Management, Inc.
|
|
|
|
BlackRock
International Holdings, Inc.
|
|
|
|
BR
Jersey International Holdings L.P.
|
|
|
|
BlackRock
(Singapore) Holdco Pte. Ltd.
|
|
|
|
BlackRock
(Singapore) Limited
|
|
|
|
|
|
|
|
BlackRock,
Inc.
|
|
|
|
BlackRock
Holdco 2, Inc.
|
|
|
|
BlackRock
Financial Management, Inc.
|
|
|
|
BlackRock
International Holdings, Inc.
|
|
|
|
BR
Jersey International Holdings L.P.
|
|
|
|
BlackRock
Group Limited
|
|
|
|
BlackRock
Advisors (UK) Limited
|
|
|
|
|
|
|
|
BlackRock,
Inc.
|
|
|
|
BlackRock
Holdco 2, Inc.
|
|
|
|
BlackRock
Financial Management, Inc.
|
|
|
|
BlackRock
International Holdings, Inc.
|
|
|
|
BR
Jersey International Holdings L.P.
|
|
|
|
BlackRock
(Singapore) Holdco Pte. Ltd.
|
|
|
|
BlackRock
Asia-Pac Holdco, LLC
|
|
|
|
BlackRock
HK Holdco Limited
|
|
|
|
BlackRock
Cayco Limited
|
|
|
|
BlackRock
Trident Holding Company Limited
|
|
|
|
BlackRock
Japan Holdings GK
|
|
|
|
BlackRock
Japan Co., Ltd.
|
|
|
|
|
|
|
|
BlackRock,
Inc.
|
|
|
|
BlackRock
Holdco 2, Inc.
|
|
|
|
BlackRock
Financial Management, Inc.
|
|
|
|
BlackRock
International Holdings, Inc.
|
|
|
|
BR
Jersey International Holdings L.P.
|
|
|
|
BlackRock
Holdco 3, LLC
|
|
|
|
BlackRock
Canada Holdings LP
|
|
|
|
BlackRock
Canada Holdings ULC
|
|
|
|
BlackRock
Asset Management Canada Limited
|
|
|
|
|
|
|
|
BlackRock,
Inc.
|
|
|
|
BlackRock
Holdco 2, Inc.
|
|
|
|
BlackRock
Financial Management, Inc.
|
|
|
|
BlackRock
International Holdings, Inc.
|
|
|
|
BR
Jersey International Holdings L.P.
|
|
|
|
BlackRock
Group Limited
|
|
|
|
BlackRock
Investment Management (UK) Limited
|
|
|
|
BlackRock
Asset Management Deutschland AG
|
|
|
|
|
|
|
|
BlackRock,
Inc.
|
|
|
|
BlackRock
Holdco 2, Inc.
|
|
|
|
BlackRock
Financial Management, Inc.
|
|
|
|
BlackRock
International Holdings, Inc.
|
|
|
|
BR
Jersey International Holdings L.P.
|
|
|
|
BlackRock
Group Limited
|
|
|
|
BlackRock
International Limited
|
|
|
|
|
|
|
|
BlackRock,
Inc.
|
|
|
|
Trident
Merger, LLC
|
|
|
|
BlackRock
Investment Management, LLC
|
|
|
|
|
|
|
|
BlackRock,
Inc.
|
|
|
|
BlackRock
Holdco 2, Inc.
|
|
|
|
BlackRock
Financial Management, Inc.
|
|
|
|
BlackRock
Capital Holdings, Inc.
|
|
|
|
BlackRock
Advisors, LLC
|
|
|
|
|
|
|
|
BlackRock,
Inc.
|
|
|
|
BlackRock
Holdco 2, Inc.
|
|
|
|
BlackRock
Financial Management, Inc.
|
|
|
|
|
|
|
|
BlackRock,
Inc.
|
|
|
|
BlackRock
Holdco 2, Inc.
|
|
|
|
BlackRock
Financial Management, Inc.
|
|
|
|
BlackRock
International Holdings, Inc.
|
|
|
|
BR
Jersey International Holdings L.P.
|
|
|
|
BlackRock
Australia Holdco Pty. Ltd.
|
|
|
|
BlackRock
Investment Management (Australia) Limited
|
|
|
|
|
|
|
|
BlackRock,
Inc.
|
|
|
|
BlackRock
Holdco 2, Inc.
|
|
|
|
BlackRock
Financial Management, Inc.
|
|
|
|
BlackRock
International Holdings, Inc.
|
|
|
|
BR
Jersey International Holdings L.P.
|
|
|
|
BlackRock
Group Limited
|
|
|
|
BlackRock
(Netherlands) B.V.
|
|
|
|
|
|
|
|
BlackRock,
Inc.
|
|
|
|
BlackRock
Holdco 2, Inc.
|
|
|
|
BlackRock
Financial Management, Inc.
|
|
|
|
BlackRock
International Holdings, Inc.
|
|
|
|
BR
Jersey International Holdings L.P.
|
|
|
|
BlackRock
(Singapore) Holdco Pte. Ltd.
|
|
|
|
BlackRock
Asia-Pac Holdco, LLC
|
|
|
|
BlackRock
HK Holdco Limited
|
|
|
|
BlackRock
Asset Management North Asia Limited
|
|
|
|
|
|
|
|
Exhibit
No. 4
TR-1: Standard form for notification of major holdings
NOTIFICATION OF MAJOR HOLDINGS
(to
be sent to the relevant issuer and to the FCA in Microsoft Word
format if possible)
i
|
|
1a. Identity of the issuer or the underlying issuer of existing
shares to which voting rights are attached
ii
:
|
Barclays
PLC
(LEI
Code: 213800LBQA1Y9L22JB70)
|
1b. Please indicate if the issuer is a non-UK issuer
(please mark with an "X"
if appropriate)
|
Non-UK issuer
|
|
2. Reason for the notification
(please mark the appropriate
box or boxes with an "X")
|
An
acquisition or disposal of voting rights
|
X
|
An
acquisition or disposal of financial instruments
|
|
An
event changing the breakdown of voting rights
|
|
Other
(please specify)
iii
:
|
|
3. Details of person subject to the notification
obligation
iv
|
Name
|
BlackRock,
Inc.
|
City
and country of registered office (if applicable)
|
Wilmington,
DE, USA
|
4. Full name of shareholder(s)
(if different from
3.)
v
|
Name
|
|
City
and country of registered office (if applicable)
|
|
5. Date on which the threshold was crossed or
reached
vi
:
|
14/08/2017
|
6.
Date on which issuer notified
(DD/MM/YYYY):
|
15/08/2017
|
7. Total positions of person(s) subject to the notification
obligation
|
|
% of
voting rights attached to shares (total of 8. A)
|
% of
voting rights through financial instruments(total of 8.B 1 + 8.B
2)
|
Total
of both in % (8.A + 8.B)
|
Total
number of voting rights of issuer
vii
|
Resulting
situation on the date on which threshold was crossed or
reached
|
5.91%
|
0.01%
|
5.92%
|
17,035,227,684
|
Position
of previous notification (if
applicable)
|
4.30%
|
1.62%
|
5.92%
|
|
8. Notified details of the resulting situation on the date on which
the threshold was crossed or reached
viii
|
A: Voting rights attached to shares
|
Class/type ofshares
ISIN
code (if possible)
|
Number of voting rights
ix
|
% of voting rights
|
Direct
(Art 9
of Directive 2004/109/EC) (DTR5.1)
|
Indirect
(Art 10
of Directive 2004/109/EC) (DTR5.2.1)
|
Direct
(Art 9
of Directive 2004/109/EC) (DTR5.1)
|
Indirect
(Art 10
of Directive 2004/109/EC) (DTR5.2.1)
|
GB0031348658
|
|
1,008,045,057
|
|
5.91%
|
|
|
|
|
|
|
|
|
|
|
SUBTOTAL 8. A
|
1,008,045,057
|
5.91%
|
|
B 1: Financial Instruments according to Art. 13(1)(a) of Directive
2004/109/EC (DTR5.3.1.1 (a))
|
Type of financial instrument
|
Expirationdate
x
|
Exercise/Conversion Period
xi
|
Number of voting rights that may be acquired if the instrument
is
exercised/converted.
|
% of voting rights
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
SUBTOTAL 8. B 1
|
|
|
|
B 2: Financial Instruments with similar economic effect according
to Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1
(b))
|
Type of financial instrument
|
Expirationdate
x
|
Exercise/Conversion Period
xi
|
Physical or cash
settlement
xii
|
Number of voting rights
|
% of voting rights
|
CFD
|
|
|
Cash
|
2,009,814
|
0.01%
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
SUBTOTAL 8.B.2
|
2,009,814
|
0.01%
|
9. Information in relation to the person subject to the
notification obligation
(please mark the
applicable
box with an "X")
|
Person
subject to the notification obligation is not controlled by any
natural person or legal entity and does not control any other
undertaking(s) holding directly or indirectly an interest in the
(underlying) issuer
xiii
|
|
Full
chain of controlled undertakings through which the voting rights
and/or thefinancial instruments are effectively held starting with
the ultimate controlling natural person or legal entity
xiv
(please add additional rows as
necessary)
|
X
|
Name
xv
|
% of voting rights if it equals or is higher than the notifiable
threshold
|
% of voting rights through financial instruments if it equals or is
higher than the notifiable threshold
|
Total of both if it equals or is higher than the notifiable
threshold
|
See
Attachment
|
|
|
|
|
10. In case of proxy voting, please identify:
|
Name of
the proxy holder
|
|
The
number and % of voting rights held
|
|
The
date until which the voting rights will be held
|
|
|
11. Additional information
xvi
|
BlackRock
Regulatory Threshold Reporting Team Jana
Blumenstein
020
7743 3650
|
Place of completion
|
12
Throgmorton Avenue, London, EC2N 2DL, U.K.
|
Date of completion
|
15
August, 2017
|
Section 9 Attachment
Name
xv
|
% of voting rights if it equals or is higher than the notifiable
threshold
|
% of voting rights through financial instruments if it equals or is
higher than the notifiable threshold
|
Total of both if it equals or is higher than the notifiable
threshold
|
BlackRock,
Inc.
|
|
|
|
BlackRock
Holdco 2, Inc.
|
|
|
|
BlackRock
Financial Management, Inc.
|
|
|
|
BlackRock
International Holdings, Inc.
|
|
|
|
BR
Jersey International Holdings L.P.
|
|
|
|
BlackRock
Holdco 3, LLC
|
|
|
|
BlackRock
Canada Holdings LP
|
|
|
|
BlackRock
Canada Holdings ULC
|
|
|
|
BlackRock
Asset Management Canada Limited
|
|
|
|
|
|
|
|
BlackRock,
Inc.
|
|
|
|
BlackRock
Holdco 2, Inc.
|
|
|
|
BlackRock
Financial Management, Inc.
|
|
|
|
BlackRock
Holdco 4, LLC
|
|
|
|
BlackRock
Holdco 6, LLC
|
|
|
|
BlackRock
Delaware Holdings Inc.
|
|
|
|
BlackRock
Fund Advisors
|
|
|
|
BlackRock
Institutional Trust Company, National Association
|
|
|
|
|
|
|
|
BlackRock,
Inc.
|
|
|
|
Trident
Merger, LLC
|
|
|
|
BlackRock
Investment Management, LLC
|
|
|
|
|
|
|
|
BlackRock,
Inc.
|
|
|
|
BlackRock
Holdco 2, Inc.
|
|
|
|
BlackRock
Financial Management, Inc.
|
|
|
|
BlackRock
Holdco 4, LLC
|
|
|
|
BlackRock
Holdco 6, LLC
|
|
|
|
BlackRock
Delaware Holdings Inc.
|
|
|
|
BlackRock
Fund Advisors
|
|
|
|
|
|
|
|
BlackRock,
Inc.
|
|
|
|
BlackRock
Holdco 2, Inc.
|
|
|
|
BlackRock
Financial Management, Inc.
|
|
|
|
BlackRock
International Holdings, Inc.
|
|
|
|
BR
Jersey International Holdings L.P.
|
|
|
|
BlackRock
(Singapore) Holdco Pte. Ltd.
|
|
|
|
BlackRock
Asia-Pac Holdco, LLC
|
|
|
|
BlackRock
HK Holdco Limited
|
|
|
|
BlackRock
Cayco Limited
|
|
|
|
BlackRock
Trident Holding Company Limited
|
|
|
|
BlackRock
Japan Holdings GK
|
|
|
|
BlackRock
Japan Co., Ltd.
|
|
|
|
|
|
|
|
BlackRock,
Inc.
|
|
|
|
BlackRock
Holdco 2, Inc.
|
|
|
|
BlackRock
Financial Management, Inc.
|
|
|
|
BlackRock
International Holdings, Inc.
|
|
|
|
BR
Jersey International Holdings L.P.
|
|
|
|
BlackRock
Group Limited
|
|
|
|
BlackRock
Advisors (UK) Limited
|
|
|
|
|
|
|
|
BlackRock,
Inc.
|
|
|
|
BlackRock
Holdco 2, Inc.
|
|
|
|
BlackRock
Financial Management, Inc.
|
|
|
|
BlackRock
International Holdings, Inc.
|
|
|
|
BR
Jersey International Holdings L.P.
|
|
|
|
BlackRock
Group Limited
|
|
|
|
BlackRock
Investment Management (UK) Limited
|
|
|
|
|
|
|
|
BlackRock,
Inc.
|
|
|
|
BlackRock
Holdco 2, Inc.
|
|
|
|
BlackRock
Financial Management, Inc.
|
|
|
|
|
|
|
|
BlackRock,
Inc.
|
|
|
|
BlackRock
Holdco 2, Inc.
|
|
|
|
BlackRock
Financial Management, Inc.
|
|
|
|
BlackRock
International Holdings, Inc.
|
|
|
|
BR
Jersey International Holdings L.P.
|
|
|
|
BlackRock
(Singapore) Holdco Pte. Ltd.
|
|
|
|
BlackRock
Asia-Pac Holdco, LLC
|
|
|
|
BlackRock
HK Holdco Limited
|
|
|
|
BlackRock
Asset Management North Asia Limited
|
|
|
|
|
|
|
|
BlackRock,
Inc.
|
|
|
|
BlackRock
Holdco 2, Inc.
|
|
|
|
BlackRock
Financial Management, Inc.
|
|
|
|
BlackRock
International Holdings, Inc.
|
|
|
|
BR
Jersey International Holdings L.P.
|
|
|
|
BlackRock
Australia Holdco Pty. Ltd.
|
|
|
|
BlackRock
Investment Management (Australia) Limited
|
|
|
|
|
|
|
|
BlackRock,
Inc.
|
|
|
|
BlackRock
Holdco 2, Inc.
|
|
|
|
BlackRock
Financial Management, Inc.
|
|
|
|
BlackRock
International Holdings, Inc.
|
|
|
|
BR
Jersey International Holdings L.P.
|
|
|
|
BlackRock
Group Limited
|
|
|
|
BlackRock
(Netherlands) B.V.
|
|
|
|
|
|
|
|
BlackRock,
Inc.
|
|
|
|
BlackRock
Holdco 2, Inc.
|
|
|
|
BlackRock
Financial Management, Inc.
|
|
|
|
BlackRock
Capital Holdings, Inc.
|
|
|
|
BlackRock
Advisors, LLC
|
|
|
|
|
|
|
|
BlackRock,
Inc.
|
|
|
|
BlackRock
Holdco 2, Inc.
|
|
|
|
BlackRock
Financial Management, Inc.
|
|
|
|
BlackRock
International Holdings, Inc.
|
|
|
|
BR
Jersey International Holdings L.P.
|
|
|
|
BlackRock
Group Limited
|
|
|
|
BlackRock
International Limited
|
|
|
|
|
|
|
|
BlackRock,
Inc.
|
|
|
|
BlackRock
Holdco 2, Inc.
|
|
|
|
BlackRock
Financial Management, Inc.
|
|
|
|
BlackRock
International Holdings, Inc.
|
|
|
|
BR
Jersey International Holdings L.P.
|
|
|
|
BlackRock
(Singapore) Holdco Pte. Ltd.
|
|
|
|
BlackRock
(Singapore) Limited
|
|
|
|
|
|
|
|
BlackRock,
Inc.
|
|
|
|
BlackRock
Holdco 2, Inc.
|
|
|
|
BlackRock
Financial Management, Inc.
|
|
|
|
BlackRock
International Holdings, Inc.
|
|
|
|
BR
Jersey International Holdings L.P.
|
|
|
|
BlackRock
Group Limited
|
|
|
|
BlackRock
Investment Management (UK) Limited
|
|
|
|
BlackRock
Asset Management Deutschland AG
|
|
|
|
|
|
|
|
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