Exhibit No. 1 |
Total Voting Rights dated 01 October 2013
|
Exhibit No. 2 |
Total Voting Rights dated 04 October 2013
|
Exhibit No. 3 |
Publication of Final Terms dated 04 October 2013
|
Exhibit No. 4 |
Director/PDMR Shareholding dated 07 October 2013
|
Exhibit No. 5 |
Holding(s) in Company dated 08 October 2013
|
Exhibit No. 6 |
Director/PDMR Shareholding dated 09 October 2013
|
Exhibit No. 7 |
Publication of Final Terms dated 09 October 2013
|
Exihbit No. 8 |
Publication of Final Terms dated 10 October 2013
|
Exhibit No. 9 |
Publication of Supplement dated 10 October 2013
|
Exhibit No. 10 |
Holding(s) in Company dated 22 October 2013
|
Exhibit No. 11 |
Holding(s) in Company dated 30 October 2013
|
Exhibit No. 12 | Publication of Supplement dated 30 October 2013 |
Exhibit No. 13 |
Holding(s) in Company dated 31 October 2013
|
Director/PDMR
|
Shares acquired pursuant to the Rights issue
|
David Booth
|
24,461
|
Tim Breedon
|
1,336
|
Fulvio Conti
|
16,166
|
Simon Fraser
|
23,349
|
Antony Jenkins
|
613,084
|
Reuben Jeffery III
|
33,162
|
Dambisa Moyo
|
5,563
|
Frits van Paasschen
|
500
|
Sir Michael Rake
|
12,111
|
Diane de Saint Victor
|
987
|
Sir John Sunderland
|
25,399
|
Sir David Walker
|
23,003
|
Peter Estlin
|
12,966
|
Mark Harding
|
11,301
|
Shaygan Kheradpir
|
44,826
|
Robert Le Blanc
|
132,325
|
Skip McGee*
|
351,494
|
Sir Hector Sants
|
60
|
Valerie Soranno Keating
|
35,518
|
Ashok Vaswani
|
9,996
|
|
1. The Company made adjustments to options over Shares granted under the Barclays Group SAYE Share Option Scheme (Sharesave), being an HM Revenue & Customs approved all-employee share plan, including options for the
following PDMRs: |
|
|
PDMR
|
Number of Shares under Option before adjustment
|
Number of Shares under Option following adjustment
|
Exercise price following adjustment (whole pence)
|
|
Peter Estlin
|
6,250
|
6,765
|
133
|
|
Ashok Vaswani
|
6,255
|
6,771
|
228
|
|
2. The Company made adjustments to conditional rights granted by it over Shares under the Barclays Group Share Value Plan (SVP), including awards for the following PDMRs:
|
PDMR
|
Number of Shares under Award before adjustment
|
Number of Shares under Award following adjustment
|
Tom King
|
750,162
|
812,087
|
Irene McDermott Brown
|
7,402
|
8,013
|
|
3. The Company made adjustments to options granted over Shares under the Barclays Incentive Share Option Plan (ISOP) in 2004 for the following PDMRs:
|
PDMR
|
Number of Shares under Option before adjustment
|
Number of Shares under Option following adjustment
|
Exercise price following adjustment (whole pence)
|
Mark Harding
|
82,144
|
88,924
|
431
|
Robert Le Blanc
|
184,823
|
200,079
|
431
|
|
4. The Company was notified that unvested matching Shares under the Barclays Global Sharepurchase Plan were adjusted by the Company for the following PDMRs:
|
|
|
PDMR
|
Number of unvested matching Shares under Award before adjustment
|
Number of unvested matching Shares under Award following adjustment
|
Skip McGee*
|
404
|
436
|
PDMR
|
Shares sold
|
Ashok Vaswani
|
48,734
|
Director
|
Beneficial Holding
|
Non-Beneficial Holding
|
David Booth
|
122,310
|
-
|
Tim Breedon
|
6,679
|
-
|
Fulvio Conti
|
80,834
|
-
|
Simon Fraser
|
116,744
|
-
|
Antony Jenkins
|
3,065,602
|
-
|
Reuben Jeffery III*
|
165,822
|
-
|
Dambisa Moyo
|
27,814
|
-
|
Frits van Paasschen**
|
2,500
|
-
|
Sir Michael Rake
|
60,556
|
-
|
Diane de Saint Victor
|
4,937
|
-
|
Sir John Sunderland
|
126,997
|
-
|
Sir David Walker
|
115,017
|
-
|
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARESi
|
|||||
1. Identity of the issuer or the underlying issuer
of existing shares to which voting rights are
attached: ii
|
Barclays plc
|
||||
2 Reason for the notification (please tick the appropriate box or boxes):
|
|||||
An acquisition or disposal of voting rights
|
|||||
An acquisition or disposal of qualifying financial instruments which may result in the acquisition of shares already issued to which voting rights are attached
|
|||||
An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments
|
|||||
An event changing the breakdown of voting rights
|
|||||
Other (please specify):
|
Increase in the issuer's total voting rights
|
X
|
|||
3. Full name of person(s) subject to the
notification obligation: iii
|
The Capital Group Companies, Inc.
|
||||
4. Full name of shareholder(s)
(if different from 3.):iv
|
See Schedule A
|
||||
5. Date of the transaction and date on
which the threshold is crossed or
reached: v
|
4 October 2013
|
||||
6. Date on which issuer notified:
|
7 October 2013
|
||||
7. Threshold(s) that is/are crossed or
reached: vi, vii
|
Below 6%
|
8. Notified details:
|
||||||||||||||||
A: Voting rights attached to shares viii, ix
|
||||||||||||||||
Class/type of
shares
if possible using
the ISIN CODE
|
Situation previous
to the triggering
transaction
|
Resulting situation after the triggering transaction
|
||||||||||||||
Number
of
Shares
|
Number
of
Voting
Rights
|
Number
of shares
|
Number of voting
rights
|
% of voting rights x
|
||||||||||||
Direct
|
Direct xi
|
Indirect xii
|
Direct
|
Indirect
|
||||||||||||
Ordinary Shares (GB0031348658)
|
795,497,208
|
795,497,208
|
795,498,292
|
4.942%
|
||||||||||||
ADRs (US06738E2046)
|
88,339
|
353,356
|
353,112
|
0.002%
|
||||||||||||
B: Qualifying Financial Instruments
|
||||||||||||||||
Resulting situation after the triggering transaction
|
||||||||||||||||
Type of financial
instrument
|
Expiration
date xiii
|
Exercise/
Conversion Period xiv
|
Number of voting
rights that may be
acquired if the
instrument is
exercised/ converted.
|
% of voting
rights
|
||||||||||||
C: Financial Instruments with similar economic effect to Qualifying Financial Instruments xv, xvi
|
||||||||||||||||
Resulting situation after the triggering transaction
|
||||||||||||||||
Type of financial
instrument
|
Exercise price
|
Expiration date xvii
|
Exercise/
Conversion period xviii
|
Number of voting rights instrument refers to
|
% of voting rights xix, xx
|
|||||||||||
Nominal
|
Delta
|
|||||||||||||||
Total (A+B+C)
|
||||||||||||||||
Number of voting rights
|
Percentage of voting rights
|
|||||||||||||||
795,851,404
|
4.944%
|
9. Chain of controlled undertakings through which the voting rights and/or the
financial instruments are effectively held, if applicable: xxi
|
||
See Schedule A
|
||
Proxy Voting:
|
||
10. Name of the proxy holder:
|
||
11. Number of voting rights proxy holder will cease
to hold:
|
||
12. Date on which proxy holder will cease to hold
voting rights:
|
||
13. Additional information:
|
||
14. Contact name:
|
||
15. Contact telephone number:
|
Note: Annex should only be submitted to the FCA not the issuer
|
|
Annex: Notification of major interests in share
|
|
A: Identity of the persons or legal entity subject to the notification obligation
|
|
Full name
(including legal form of legal entities)
|
The Capital Group Companies, Inc.
|
Contact address
(registered office for legal entities)
|
333 South Hope Street, 55th Floor
Los Angeles, California 90071
|
Phone number & email
|
(213) 615-0469 &
GRGroup@capgroup.com
|
Other useful information
(at least legal representative for legal persons)
|
|
B: Identity of the notifier, if applicable
|
|
Full name
|
Vivien Tan
|
Contact address
|
333 South Hope Street, 55th Floor
Los Angeles, California 90071
|
Phone number & email
|
(213) 615-0469 &
GRGroup@capgroup.com
|
Other useful information
(e.g. functional relationship with the person or legal entity subject to the notification obligation)
|
Fax: (213) 615-4056
|
C: Additional information
|
|
For notes on how to complete form TR-1 please see the FCA website.
|
|
1) GSSP Base Prospectus 1;
|
|
2) iPath®S&P GSCI® Base Prospectus;
|
|
3) iPath® DJ-UBS Base Prospectus;
|
|
4) GSSP Base Prospectus 5;
|
|
5) GSSP Base Prospectus 2;
|
|
6) GSSP Base Prospectus 7;
|
|
7) GSSP Base Prospectus 3;
|
|
8) iPath® S&P 500 VIX Base Prospectus;
|
|
9) iPath® VSTOXX® Mid-Term Base Prospectus; and
|
|
10) iPath® VSTOXX® .
|
For filings with the FCA include the annex
|
|||||
For filings with issuer exclude the annex
|
|||||
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARESi
|
|||||
1. Identity of the issuer or the underlying issuer
of existing shares to which voting rights are
attached: ii
|
Barclays plc
|
||||
2 Reason for the notification (please tick the appropriate box or boxes):
|
|||||
An acquisition or disposal of voting rights
|
X
|
||||
An acquisition or disposal of qualifying financial instruments which may result in the acquisition of shares already issued to which voting rights are attached
|
|||||
An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments
|
|||||
An event changing the breakdown of voting rights
|
|||||
Other (please specify):
|
|||||
3. Full name of person(s) subject to the
notification obligation: iii
|
The Capital Group Companies, Inc.
|
||||
4. Full name of shareholder(s)
(if different from 3.):iv
|
See Schedule A
|
||||
5. Date of the transaction and date on
which the threshold is crossed or
reached: v
|
18 October 2013
|
||||
6. Date on which issuer notified:
|
21 October 2013
|
||||
7. Threshold(s) that is/are crossed or
reached: vi, vii
|
Above 5%
|
8. Notified details:
|
||||||||||||||||
A: Voting rights attached to shares viii, ix
|
||||||||||||||||
Class/type of
shares
if possible using
the ISIN CODE
|
Situation previous
to the triggering
transaction
|
Resulting situation after the triggering transaction
|
||||||||||||||
Number
of
Shares
|
Number
of
Voting
Rights
|
Number
of shares
|
Number of voting
rights
|
% of voting rights x
|
||||||||||||
Direct
|
Direct xi
|
Indirect xii
|
Direct
|
Indirect
|
||||||||||||
Ordinary Shares (GB0031348658)
|
804,193,777
|
804,193,777
|
804,496,577
|
4.9983%
|
||||||||||||
ADRs (US06738E2046)
|
90,422
|
361,688
|
363,436
|
0.0023%
|
||||||||||||
B: Qualifying Financial Instruments
|
||||||||||||||||
Resulting situation after the triggering transaction
|
||||||||||||||||
Type of financial
instrument
|
Expiration
date xiii
|
Exercise/
Conversion Period xiv
|
Number of voting
rights that may be
acquired if the
instrument is
exercised/ converted.
|
% of voting
rights
|
||||||||||||
C: Financial Instruments with similar economic effect to Qualifying Financial Instruments xv, xvi
|
||||||||||||||||
Resulting situation after the triggering transaction
|
||||||||||||||||
Type of financial
instrument
|
Exercise price
|
Expiration date xvii
|
Exercise/
Conversion period xviii
|
Number of voting rights instrument refers to
|
% of voting rights xix, xx
|
|||||||||||
Nominal
|
Delta
|
|||||||||||||||
Total (A+B+C)
|
||||||||||||||||
Number of voting rights
|
Percentage of voting rights
|
|||||||||||||||
804,860,013
|
5.0005%
|
9. Chain of controlled undertakings through which the voting rights and/or the
financial instruments are effectively held, if applicable: xxi
|
||
See Schedule A
|
||
Proxy Voting:
|
||
10. Name of the proxy holder:
|
||
11. Number of voting rights proxy holder will cease
to hold:
|
||
12. Date on which proxy holder will cease to hold
voting rights:
|
||
13. Additional information:
|
||
14. Contact name:
|
||
15. Contact telephone number:
|
Note: Annex should only be submitted to the FCA not the issuer
|
|
Annex: Notification of major interests in share
|
|
A: Identity of the persons or legal entity subject to the notification obligation
|
|
Full name
(including legal form of legal entities)
|
The Capital Group Companies, Inc.
|
Contact address
(registered office for legal entities)
|
333 South Hope Street, 55th Floor
Los Angeles, California 90071
|
Phone number & email
|
(213) 615-0469 &
GRGroup@capgroup.com
|
Other useful information
(at least legal representative for legal persons)
|
|
B: Identity of the notifier, if applicable
|
|
Full name
|
Vivien Tan
|
Contact address
|
333 South Hope Street, 55th Floor
Los Angeles, California 90071
|
Phone number & email
|
(213) 615-0469 &
GRGroup@capgroup.com
|
Other useful information
(e.g. functional relationship with the person or legal entity subject to the notification obligation)
|
Fax: (213) 615-4056
|
C: Additional information
|
|
Number of Percent of
Shares Outstanding
The Capital Group Companies, Inc. ("CG") holdings 804,860,013 5.001%
Holdings by CG Management Companies and Funds:
• Capital Guardian Trust Company 89,968,409 0.559%
• Capital International Limited 1,911,350 0.012%
• Capital International SÁrl 3,226,675 0.020%
• Capital International, Inc. 1,549,155 0.010%
• Capital Research and Management Company 708,204,424 4.400%
|
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARESi
|
||||
1. Identity of the issuer or the underlying issuer
of existing shares to which voting rights are
attached: ii
|
Barclays plc
|
|||
2 Reason for the notification (please tick the appropriate box or boxes):
|
||||
An acquisition or disposal of voting rights
|
X
|
|||
An acquisition or disposal of qualifying financial instruments which may result in the acquisition of shares already issued to which voting rights are attached
|
||||
An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments
|
||||
An event changing the breakdown of voting rights
|
||||
Other (please specify):
|
||||
3. Full name of person(s) subject to the
notification obligation: iii
|
The Capital Group Companies, Inc.
|
|||
4. Full name of shareholder(s)
(if different from 3.):iv
|
See Schedule A
|
|||
5. Date of the transaction and date on
which the threshold is crossed or
reached: v
|
28 October 2013
|
|||
6. Date on which issuer notified:
|
29 October 2013
|
|||
7. Threshold(s) that is/are crossed or
reached: vi, vii
|
Below 5%
|
8. Notified details:
|
||||||||||||||||
A: Voting rights attached to shares viii, ix
|
||||||||||||||||
Class/type of
shares
if possible using
the ISIN CODE
|
Situation previous
to the triggering
transaction
|
Resulting situation after the triggering transaction
|
||||||||||||||
Number
of
Shares
|
Number
of
Voting
Rights
|
Number
of shares
|
Number of voting
rights
|
% of voting rights x
|
||||||||||||
Direct
|
Direct xi
|
Indirect xii
|
Direct
|
Indirect
|
||||||||||||
Ordinary Shares (GB0031348658)
|
804,686,477
|
804,686,477
|
803,960,102
|
4.995%
|
||||||||||||
ADRs (US06738E2046)
|
91,537
|
366,148
|
367,240
|
0.002%
|
||||||||||||
B: Qualifying Financial Instruments
|
||||||||||||||||
Resulting situation after the triggering transaction
|
||||||||||||||||
Type of financial
instrument
|
Expiration
date xiii
|
Exercise/
Conversion Period xiv
|
Number of voting
rights that may be
acquired if the
instrument is
exercised/ converted.
|
% of voting
rights
|
||||||||||||
C: Financial Instruments with similar economic effect to Qualifying Financial Instruments xv, xvi
|
||||||||||||||||
Resulting situation after the triggering transaction
|
||||||||||||||||
Type of financial
instrument
|
Exercise price
|
Expiration date xvii
|
Exercise/
Conversion period xviii
|
Number of voting rights instrument refers to
|
% of voting rights xix, xx
|
|||||||||||
Nominal
|
Delta
|
|||||||||||||||
Total (A+B+C)
|
||||||||||||||||
Number of voting rights
|
Percentage of voting rights
|
|||||||||||||||
804,327,342
|
4.997%
|
|||||||||||||||
9. Chain of controlled undertakings through which the voting rights and/or the
financial instruments are effectively held, if applicable: xxi
|
||
See Schedule A
|
||
Proxy Voting:
|
||
10. Name of the proxy holder:
|
||
11. Number of voting rights proxy holder will cease
to hold:
|
||
12. Date on which proxy holder will cease to hold
voting rights:
|
||
13. Additional information:
|
||
14. Contact name:
|
||
15. Contact telephone number:
|
||
Note: Annex should only be submitted to the FCA not the issuer
|
|
Annex: Notification of major interests in share
|
|
A: Identity of the persons or legal entity subject to the notification obligation
|
|
Full name
(including legal form of legal entities)
|
The Capital Group Companies, Inc.
|
Contact address
(registered office for legal entities)
|
333 South Hope Street, 55th Floor
Los Angeles, California 90071
|
Phone number & email
|
(213) 615-0469 &
GRGroup@capgroup.com
|
Other useful information
(at least legal representative for legal persons)
|
|
B: Identity of the notifier, if applicable
|
|
Full name
|
Vivien Tan
|
Contact address
|
333 South Hope Street, 55th Floor
Los Angeles, California 90071
|
Phone number & email
|
(213) 615-0469 &
GRGroup@capgroup.com
|
Other useful information
(e.g. functional relationship with the person or legal entity subject to the notification obligation)
|
Fax: (213) 615-4056
|
C: Additional information
|
|
For notes on how to complete form TR-1 please see the FCA website.
|
Schedule A
|
Number of shares
|
Percentage of Outstanding
|
The Capital Group Companies, Inc. ("CG") holdings 804,327,342 4.997%
|
Holdings by CG Management Companies and Funds:
|
• Capital Guardian Trust Company 89,445,438 0.556%
|
• Capital International Limited 1,927,950 0.012%
|
• Capital International SÁrl 3,200,375 0.020%
|
• Capital International, Inc. 1,549,155 0.010%
|
• Capital Research and Management Company 708,204,424 4.400%
|
|
1) RSSP Basisprospekt A;
|
|
2) RSSP Basisprospekt B;
|
|
3) RSSP Basisprospekt C;
|
|
4) RSSP Basisprospekt D;
|
|
5) RSSP Basisprospekt E;
|
For filings with the FCA include the annex
|
|||||
For filings with issuer exclude the annex
|
|||||
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARESi
|
|||||
1. Identity of the issuer or the underlying issuer
of existing shares to which voting rights are
attached:
ii
|
Barclays plc
|
||||
2 Reason for the notification
(please tick the appropriate box or boxes):
|
|||||
An acquisition or disposal of voting rights
|
X
|
||||
An acquisition or disposal of qualifying financial instruments which may result in the acquisition of shares already issued to which voting rights are attached
|
|||||
An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments
|
|||||
An event changing the breakdown of voting rights
|
|||||
Other (please specify):
|
|||||
3. Full name of person(s) subject to the
notification obligation:
iii
|
The Capital Group Companies, Inc.
|
||||
4. Full name of shareholder(s)
(if different from 3.):iv
|
See Schedule A
|
||||
5. Date of the transaction and date on
which the threshold is crossed or
reached:
v
|
29 October 2013
|
||||
6. Date on which issuer notified:
|
30 October 2013
|
||||
7. Threshold(s) that is/are crossed or
reached:
vi, vii
|
Above 5%
|
||||
8. Notified details:
|
|||||||||||||||||
A: Voting rights attached to shares
viii, ix
|
|||||||||||||||||
Class/type of
shares
if possible using
the ISIN CODE
|
Situation previous
to the triggering
transaction
|
Resulting situation after the triggering transaction
|
|||||||||||||||
Number
of
Shares
|
Number
of
Voting
Rights
|
Number
of shares
|
Number of voting
rights
|
% of voting rights x
|
|||||||||||||
Direct
|
Direct
xi
|
Indirect
xii
|
Direct
|
Indirect
|
|||||||||||||
Ordinary Shares (ISIN: GB0031348658)
|
803,960,102
|
803,960,102
|
804,819,902
|
5.0003%
|
|||||||||||||
ADRs
(ISIN: US06738E2046)
|
91,810
|
367,240
|
369,712
|
0.0023%
|
|||||||||||||
B: Qualifying Financial Instruments
|
|||||||||||||||||
Resulting situation after the triggering transaction
|
|||||||||||||||||
Type of financial
instrument
|
Expiration
date
xiii
|
Exercise/
Conversion Period
xiv
|
Number of voting
rights that may be
acquired if the
instrument is
exercised/ converted.
|
% of voting
rights
|
|||||||||||||
C: Financial Instruments with similar economic effect to Qualifying Financial Instruments
xv, xvi
|
|||||||||||||||||
Resulting situation after the triggering transaction
|
|||||||||||||||||
Type of financial
instrument
|
Exercise price
|
Expiration date
xvii
|
Exercise/
Conversion period
xviii
|
Number of voting rights instrument refers to
|
% of voting rights
xix, xx
|
||||||||||||
Nominal
|
Delta
|
||||||||||||||||
Total (A+B+C)
|
|||||||||||||||||
Number of voting rights
|
Percentage of voting rights
|
||||||||||||||||
805,189,614
|
5.0026%
|
||||||||||||||||
9. Chain of controlled undertakings through which the voting rights and/or the
financial instruments are effectively held, if applicable:
xxi
|
||
See Schedule A
|
||
Proxy Voting:
|
||
10. Name of the proxy holder:
|
||
11. Number of voting rights proxy holder will cease
to hold:
|
||
12. Date on which proxy holder will cease to hold
voting rights:
|
||
13. Additional information:
|
||
14. Contact name:
|
||
15. Contact telephone number:
|
||
Note: Annex should only be submitted to the FCA not the issuer
|
|
Annex: Notification of major interests in share
|
|
A: Identity of the persons or legal entity subject to the notification obligation
|
|
Full name
(including legal form of legal entities)
|
The Capital Group Companies, Inc.
|
Contact address
(registered office for legal entities)
|
333 South Hope Street, 55th Floor
Los Angeles, California 90071
|
Phone number & email
|
(213) 615-0469 &
GRGroup@capgroup.com
|
Other useful information
(at least legal representative for legal persons)
|
|
B: Identity of the notifier, if applicable
|
|
Full name
|
Christopher Aquino
|
Contact address
|
333 South Hope Street, 55th Floor
Los Angeles, California 90071
|
Phone number & email
|
(213) 615-0469 &
GRGroup@capgroup.com
|
Other useful information
(e.g. functional relationship with the person or legal entity subject to the notification obligation)
|
Fax: (213) 615-4056
|
C: Additional information
|
|
As of 29 October 2013
|
Schedule A
|
Barclays plc
|
Number of shares
|
Percentage of Outstanding
|
The Capital Group Companies, Inc. ("CG") holdings 805,189,614 5.003%
|
|
Holdings by CG Management Companies and Funds:
|
• Capital Guardian Trust Company 90,307,710 0.561%
|
• Capital International Limited 1,927,950 0.012%
|
• Capital International SÁrl 3,200,375 0.020%
|
• Capital International, Inc. 1,549,155 0.010%
|
• Capital Research and Management Company 708,204,424 4.400%
|