Exhibit
No. 3
Notification and public disclosure of transactions by persons
discharging managerial responsibilities and persons closely
associated with them
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
a)
|
Name
|
Sasha Wiggins
|
2
|
Reason for the notification
|
a)
|
Position/status
|
Group Head of Public Policy and Corporate
Responsibility
|
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 with a nominal value of 25 pence each
("Shares")
GB0031348658
|
b)
|
Nature of the transaction
|
The trustee of the Barclays Group Share Incentive Plan notified
Barclays PLC that it acquired and now holds Shares on behalf of the
individual described above. The Shares acquired include
an allocation of Shares as matching shares.
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s): Number
of Shares
received
|
£1.241 per share
|
240
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-08
|
f)
|
Place of the transaction
|
London Stock Exchange (XLON)
|
For further information please contact:
Investor Relations
|
Media Relations
|
Chris Manners
|
Tom Hoskin
|
+ 44 (0) 20 7773 2136
|
+44 (0)20 7116 4755
|
Exhibit
No. 4
Notification and public disclosure of transactions by persons
discharging managerial responsibilities and persons closely
associated with them
Barclays Long Term Incentive Plan ("LTIP")
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
a)
|
Name
|
Jes Staley
|
2
|
Reason for the notification
|
a)
|
Position/status
|
Group Chief Executive Officer
|
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 with a nominal value of 25 pence each
("Shares")
GB0031348658
|
b)
|
Nature of the transaction
|
On 14 April 2020, the Company announced that the vesting of the
first portion of the 2017 Barclays Long Term Incentive Plan
("LTIP") award granted to the Group Chief Executive would be
delayed from June 2020 to 8 March 2021, subject to the LTIP rules.
To give effect to this, the Company has now lapsed that portion of
the award that would have vested in June 2020 and granted an award
over the same number of Shares, that would but for the delay have
vested in June 2020. These Shares will now vest on 8 March 2021,
subject to the LTIP rules.
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s):
Number of Shares received
|
£1.9545
per Share
|
163,538
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
Not applicable
|
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
a)
|
Name
|
Tushar Morzaria
|
2
|
Reason for the notification
|
a)
|
Position/status
|
Group Finance 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 with a nominal value of 25 pence each
("Shares")
GB0031348658
|
b)
|
Nature of the transaction
|
On 14 April 2020, the Company announced that the vesting of the
first portion of the 2017 Barclays Long Term Incentive Plan
("LTIP") award granted to the Group Finance Director would be
delayed from June 2020 to 8 March 2021, subject to the LTIP rules.
To give effect to this, the Company has now lapsed that portion of
the award that would have vested in June 2020 and granted an award
over the same number of Shares, that would but for the delay have
vested in June 2020. These Shares will now vest on 8 March 2021,
subject to the LTIP rules.
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s):
Number of Shares received
|
£1.9545
per Share
|
104,221
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
Not applicable
|
Shares in respect of the quarterly payment of the Share element of
PDMRs' fixed remuneration
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
a)
|
Name
|
Jes Staley
|
2
|
Reason for the notification
|
a)
|
Position/status
|
Group Chief Executive Officer
|
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
|
4.1
|
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 with a nominal value of 25 pence each
("Shares")
GB0031348658
|
b)
|
Nature of the transaction
|
The Company announces that on 16 June 2020 the trustee of the
Barclays Group (PSP) Employees' Benefit Trust delivered 32,510
Shares to the Group Chief Executive in respect of the quarterly
payment of the Shares element of his fixed remuneration for the
three month period to 30 June 2020. The Shares are subject to
a holding period, with restrictions, such that they are released in
equal tranches over five years (20% each year). The number of
Shares delivered was derived after the settlement of tax and social
security, adjusted to reflect the Group Chief Executive's voluntary
contribution to the Barclays' Community Aid Package of
one-third of his Fixed Pay for a period of six months, such
contributions being made by way of reduction to the Shares element
of his Fixed Pay.
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s):
Number of Shares received
|
£1.2138
per Share
|
80,669
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
London Stock Exchange (XLON)
|
4.2
|
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
|
Shares
GB0031348658
|
b)
|
Nature of the transaction
|
Sale of Shares to cover income tax and social security liability
due on the delivery of Shares
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s):
|
£1.2138
per Share
|
48,159
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
London Stock Exchange (XLON)
|
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
a)
|
Name
|
Tushar Morzaria
|
2
|
Reason for the notification
|
a)
|
Position/status
|
Group Finance 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
|
4.1
|
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 with a nominal value of 25 pence each
("Shares")
GB0031348658
|
b)
|
Nature of the transaction
|
The Company announces that on 16 June 2020 the trustee of the
Barclays Group (PSP) Employees' Benefit Trust delivered 30,020
Shares to the Group Finance Director in respect of the quarterly
payment of the Shares element of his fixed remuneration for the
three month period to 30 June 2020. The Shares are subject to
a holding period, with restrictions, such that they are released in
equal tranches over five years (20% each year). The number of
Shares delivered was derived after the settlement of tax and social
security, adjusted to reflect the Group Finance Director's
voluntary contribution to the Barclays' Community Aid Package
of one-third of his Fixed Pay for a period of six months, such
contributions being made by way of reduction to the Shares element
of his Fixed Pay .
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s):
Number of Shares received
|
£1.2138
per Share
|
56,640
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
London Stock Exchange (XLON)
|
4.2
|
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
|
Shares
GB0031348658
|
b)
|
Nature of the transaction
|
Sale of Shares to cover income tax and social security liability
due on the delivery of Shares
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s)
|
£1.2138
per Share
|
26,620
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
London Stock Exchange (XLON)
|
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
a)
|
Name
|
Mark Ashton-Rigby
|
2
|
Reason for the notification
|
a)
|
Position/status
|
Group Chief Operating Officer
|
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
|
4.1
|
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 with a nominal value of 25 pence each
("Shares")
GB0031348658
|
b)
|
Nature of the transaction
|
The trustee of the Barclays Group (PSP) Employees' Benefit Trust
delivered Shares to the individual described above pursuant to a
trading plan entered into on 14 August 2019. The Shares delivered
are in respect of the quarterly payment of the Share element of the
individual's fixed remuneration for the three month period to 30
June 2020. The Shares are subject to a holding period with
restrictions lifting in equal tranches over five
years.
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s):
Number of Shares received
|
£1.2138
per Share
|
144,175
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
London Stock Exchange (XLON)
|
4.2
|
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
|
Shares
GB0031348658
|
b)
|
Nature of the transaction
|
Sale of Shares to cover income tax and social security liability
due on the delivery of Shares
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s)
|
£1.2138
per Share
|
67,762
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
London Stock Exchange (XLON)
|
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
a)
|
Name
|
Paul Compton
|
2
|
Reason for the notification
|
a)
|
Position/status
|
President of Barclays Bank PLC
|
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
|
4.1
|
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 with a nominal value of 25 pence each
("Shares")
GB0031348658
|
b)
|
Nature of the transaction
|
The trustee of the Barclays Group (PSP) Employees' Benefit Trust
delivered Shares to the individual described above pursuant to a
trading plan entered into on 20 March 2019. The Shares delivered
are in respect of the quarterly payment of the Share element of the
individual's fixed remuneration for the three month period to 30
June 2020. The Shares are subject to a holding period with
restrictions lifting in equal tranches over five years (20% each
year).
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s):
Number of Shares received
|
£1.2138
per Share
|
226,561
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
London Stock Exchange (XLON)
|
4.2
|
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
|
Shares
GB0031348658
|
b)
|
Nature of the transaction
|
Sale of Shares to cover income tax and social security liability
due on the delivery of Shares
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s)
|
£1.2138
per Share
|
122,501
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
London Stock Exchange (XLON)
|
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
a)
|
Name
|
Alistair Currie
|
2
|
Reason for the notification
|
a)
|
Position/status
|
Head of Corporate Banking
|
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
|
4.1
|
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 with a nominal value of 25 pence each
("Shares")
GB0031348658
|
b)
|
Nature of the transaction
|
The trustee of the Barclays Group (PSP) Employees' Benefit Trust
delivered Shares to the individual described above pursuant to a
trading plan entered into on 28 August 2019. The Shares delivered
are in respect of the quarterly payment of the Share element of the
individual's fixed remuneration for the three month period to 30
June 2020. The Shares are subject to a holding period with
restrictions lifting in equal tranches over five years (20% each
year).
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s):
Number of Shares received
|
£1.2138
per Share
|
74,662
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
London Stock Exchange (XLON)
|
4.2
|
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
|
Shares
GB0031348658
|
b)
|
Nature of the transaction
|
Sale of Shares to cover income tax and social security liability
due on the delivery of Shares
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s)
|
£1.2138
per Share
|
35,091
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
London Stock Exchange (XLON)
|
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
a)
|
Name
|
Stephen Dainton
|
2
|
Reason for the notification
|
a)
|
Position/status
|
Global Head of Markets
|
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
|
4.1
|
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 with a nominal value of 25 pence each
("Shares")
GB0031348658
|
b)
|
Nature of the transaction
|
The trustee of the Barclays Group (PSP) Employees' Benefit Trust
delivered Shares to the individual described above pursuant to a
trading plan entered into on 30 August 2019. The Shares delivered
are in respect of the quarterly payment of the Share element of the
individual's fixed remuneration for the three month period to 30
June 2020. The Shares are subject to a holding period with
restrictions lifting in equal tranches over five years (20% each
year).
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s):
Number of Shares received
|
£1.2138
per Share
|
280,626
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
London Stock Exchange (XLON)
|
4.2
|
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
|
Shares
GB0031348658
|
b)
|
Nature of the transaction
|
Sale of Shares to cover income tax and social security liability
due on the delivery of Shares.
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s)
|
£1.2138
per Share
|
131,894
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
London Stock Exchange (XLON)
|
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
a)
|
Name
|
Matthew Hammerstein
|
2
|
Reason for the notification
|
a)
|
Position/status
|
CEO, Barclays Bank UK PLC
|
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
|
4.1
|
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 with a nominal value of 25 pence each
("Shares")
GB0031348658
|
b)
|
Nature of the transaction
|
The trustee of the Barclays Group (PSP) Employees' Benefit Trust
delivered Shares to the individual described above pursuant to a
trading plan entered into on 28 August 2019. The Shares delivered
are in respect of the quarterly payment of the Share element of the
individual's fixed remuneration for the three month period to 30
June 2020. The Shares are subject to a holding period with
restrictions lifting in equal tranches over five years (20% each
year).
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s):
Number of Shares received
|
£1.2138
per Share
|
41,192
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
London Stock Exchange (XLON)
|
4.2
|
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
|
Shares
GB0031348658
|
b)
|
Nature of the transaction
|
Sale of Shares to cover income tax and social security liability
due on the delivery of Shares.
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s)
|
£1.2138
per Share
|
19,360
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
London Stock Exchange (XLON)
|
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
a)
|
Name
|
Bob Hoyt
|
2
|
Reason for the notification
|
a)
|
Position/status
|
Group General Counsel
|
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
|
4.1
|
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 with a nominal value of 25 pence each
("Shares")
GB0031348658
|
b)
|
Nature of the transaction
|
The trustee of the Barclays Group (PSP) Employees' Benefit Trust
delivered Shares to the individual described above pursuant to a
trading plan entered into on 6 March 2019. The Shares delivered are
in respect of the quarterly payment of the Share element of the
individual's fixed remuneration for the three month period to 30
June 2020. The Shares are subject to a holding period with
restrictions lifting in equal tranches over five years (20% each
year).
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s):
Number of Shares received
|
£1.2138
per Share
|
195,666
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
London Stock Exchange (XLON)
|
4.2
|
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
|
Shares
GB0031348658
|
b)
|
Nature of the transaction
|
Sale of Shares to cover income tax and social security liability
due on the delivery of Shares.
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s)
|
£1.2138 per
Share
|
91,963
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
London Stock Exchange (XLON)
|
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
a)
|
Name
|
Joseph McGrath
|
2
|
Reason for the notification
|
a)
|
Position/status
|
Global Head of Banking
|
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
|
4.1
|
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 with a nominal value of 25 pence each
("Shares")
GB0031348658
|
b)
|
Nature of the transaction
|
The trustee of the Barclays Group (PSP) Employees' Benefit Trust
delivered Shares to the individual described above pursuant to a
trading plan entered into on 28 August 2019. The Shares delivered
are in respect of the quarterly payment of the Share element of the
individual's fixed remuneration for the three month period to 30
June 2020. The Shares are subject to a holding period with
restrictions lifting in equal tranches over five years (20% each
year).
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s):
Number of Shares received
|
£1.2138
per Share
|
295,224
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
London Stock Exchange (XLON)
|
4.2
|
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
|
Shares
GB0031348658
|
b)
|
Nature of the transaction
|
Sale of Shares to cover income tax and social security liability
due on the delivery of Shares.
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s)
|
£1.2138
per Share
|
144,571
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
London Stock Exchange (XLON)
|
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
a)
|
Name
|
Laura Padovani
|
2
|
Reason for the notification
|
a)
|
Position/status
|
Group Chief Compliance Officer
|
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
|
4.1
|
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 with a nominal value of 25 pence each
("Shares")
GB0031348658
|
b)
|
Nature of the transaction
|
The trustee of the Barclays Group (PSP) Employees' Benefit Trust
delivered Shares to the individual described above pursuant to a
trading plan entered into on 21 March 2019. The Shares delivered
are in respect of the quarterly payment of the Share element of the
individual's fixed remuneration for the three month period to 30
June 2020. The Shares are subject to a holding period with
restrictions lifting in equal tranches over five years (20% each
year).
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s):
Number of Shares received
|
£1.2138
per Share
|
92,684
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
London Stock Exchange (XLON)
|
4.2
|
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
|
Shares
GB0031348658
|
b)
|
Nature of the transaction
|
Sale of Shares to cover income tax and social security liability
due on the delivery of Shares.
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s)
|
£1.2138
per Share
|
43,561
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
London Stock Exchange (XLON)
|
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
a)
|
Name
|
Tristram Roberts
|
2
|
Reason for the notification
|
a)
|
Position/status
|
Group HR 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
|
4.1
|
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 with a nominal value of 25 pence each
("Shares")
GB0031348658
|
b)
|
Nature of the transaction
|
The trustee of the Barclays Group (PSP) Employees' Benefit Trust
delivered Shares to the individual described above pursuant to a
trading plan entered into on 6 March 2019. The Shares delivered are
in respect of the quarterly payment of the Share element of the
individual's fixed remuneration for the three month period to 30
June 2020. The Shares are subject to a holding period with
restrictions lifting in equal tranches over five years (20% each
year).
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s):
Number of Shares received
|
£1.2138
per Share
|
149,324
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
London Stock Exchange (XLON)
|
4.2
|
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
|
Shares
GB0031348658
|
b)
|
Nature of the transaction
|
Sale of Shares to cover income tax and social security liability
due on the delivery of Shares.
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s)
|
£1.2138
per Share
|
70,182
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
London Stock Exchange (XLON)
|
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
a)
|
Name
|
Ashok Vaswani
|
2
|
Reason for the notification
|
a)
|
Position/status
|
CEO, Consumer Banking & Payments
|
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
|
4.1
|
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 with a nominal value of 25 pence each
("Shares")
GB0031348658
|
b)
|
Nature of the transaction
|
The trustee of the Barclays Group (PSP) Employees' Benefit Trust
delivered Shares to the individual described above pursuant to a
trading plan entered into on 20 March 2019. The Shares delivered
are in respect of the quarterly payment of the Share element of the
individual's fixed remuneration for the three month period to 30
June 2020. The Shares are subject to a holding period with
restrictions lifting in equal tranches over five years (20% each
year).
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s):
Number of Shares received
|
£1.2138
per Share
|
169,920
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
London Stock Exchange (XLON)
|
4.2
|
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
|
Shares
GB0031348658
|
b)
|
Nature of the transaction
|
Sale of Shares to cover income tax and social security liability
due on the delivery of Shares.
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s)
|
£1.2138
per Share
|
79,862
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
London Stock Exchange (XLON)
|
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
a)
|
Name
|
C.S.
Venkatakrishnan
|
2
|
Reason for the notification
|
a)
|
Position/status
|
Chief Risk Officer
|
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
|
4.1
|
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 with a nominal value of 25 pence each
("Shares")
GB0031348658
|
b)
|
Nature of the transaction
|
The trustee of the Barclays Group (PSP) Employees' Benefit Trust
delivered Shares to the individual described above pursuant to a
trading plan entered into on 6 March 2019. The Shares delivered are
in respect of the quarterly payment of the Share element of the
individual's fixed remuneration for the three month period to 30
June 2020. The Shares are subject to a holding period with
restrictions lifting in equal tranches over five years (20% each
year).
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s):
Number of Shares received
|
£1.2138
per Share
|
221,412
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
London Stock Exchange (XLON)
|
4.1
|
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
|
Shares
GB0031348658
|
b)
|
Nature of the transaction
|
Sale of Shares to cover income tax and social security liability
due on the delivery of Shares.
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s)
|
£1.2138
per Share
|
112,964
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
London Stock Exchange (XLON)
|
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
a)
|
Name
|
Sasha Wiggins
|
2
|
Reason for the notification
|
a)
|
Position/status
|
Group Head of Public Policy and Corporate
Responsibility
|
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
|
4.1
|
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 with a nominal value of 25 pence each
("Shares")
GB0031348658
|
b)
|
Nature of the transaction
|
The trustee of the Barclays Group (PSP) Employees' Benefit Trust
delivered Shares to the individual described above pursuant to a
trading plan entered into on 6 June 2020. The Shares delivered are
in respect of the quarterly payment of the Share element of the
individual's fixed remuneration for the three month period to 30
June 2020. The Shares are subject to a holding period with
restrictions lifting in equal tranches over five
years.
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s):
Number of Shares received
|
£1.2138
per Share
|
23,538
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
London Stock Exchange (XLON)
|
4.2
|
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
|
Shares
GB0031348658
|
b)
|
Nature of the transaction
|
Sale of Shares to cover income tax and social security liability
due on the delivery of Shares
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s)
|
£1.2138
per Share
|
11,062
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not applicable
|
e)
|
Date of the transaction
|
2020-06-16
|
f)
|
Place of the transaction
|
London Stock Exchange (XLON)
|
For further information please contact:
Investor
Relations
|
Media
Relations
|
Chris
Manners
|
Tom Hoskin
|
+ 44 (0) 20 7773 2136
|
+44 (0)20 7116 4755
|
Exhibit
No. 5
THIS ANNOUNCEMENT RELATES TO THE DISCLOSURE OF INFORMATION THAT
QUALIFIED AS INSIDE INFORMATION WITHIN THE MEANING OF ARTICLE 7(1)
OF THE MARKET ABUSE REGULATION (EU) 596/2014.
NOT FOR DISTRIBUTION IN OR INTO OR TO ANY PERSON LOCATED OR
RESIDENT IN THE UNITED STATES, ITS TERRITORIES AND POSSESSIONS
(INCLUDING PUERTO RICO, THE U.S. VIRGIN ISLANDS, GUAM, AMERICAN
SAMOA, WAKE ISLAND AND THE NORTHERN MARIANA ISLANDS, ANY STATE OF
THE UNITED STATES AND THE DISTRICT OF COLUMBIA) OR TO ANY U.S.
PERSON (AS DEFINED IN REGULATION S OF THE UNITED STATES SECURITIES
ACT OF 1933, AS AMENDED) OR IN OR INTO ANY OTHER JURISDICTION WHERE
IT IS UNLAWFUL TO RELEASE, PUBLISH OR DISTRIBUTE THIS
DOCUMENT.
25 June 2020
BARCLAYS PLC
ANNOUNCES AN INVITATION TO PURCHASE NOTES FOR CASH
Barclays PLC (the "Issuer") has today launched an invitation to the holders
of the EUR 1,500,000,000 1.875 per cent. Notes due March 2021 (ISIN
XS1385051112) (the "Notes") to tender their outstanding Notes for purchase
by the Issuer for cash up to a maximum aggregate principal amount
of €500,000,000 in aggregate principal amount of Notes (the
"Maximum
Acceptance Amount") (the
"Offer"), subject to applicable offer and distribution
restrictions.
The Offer is being made on the terms and subject to the conditions
set out in a tender offer memorandum dated 25 June 2020 (the
"Tender
Offer Memorandum") and is
subject to the offer and distribution restrictions set out below
and more fully described in the Tender Offer
Memorandum.
Copies of the Tender Offer Memorandum are (subject to offer and
distribution restrictions) available from the Tender Agent as set
out below. Capitalised terms used and not otherwise defined in this
announcement have the meanings given in the Tender Offer
Memorandum.
The Offer
Description of Notes
|
ISIN / Common Code
|
Aggregate Principal Amount Outstanding
|
Purchase
Yield1
|
Maximum Acceptance Amount
|
EUR 1,500,000,000 1.875 per cent. Notes due March 2021
|
XS1385051112 / 138505111
|
€1,500,000,000
|
0.00 per cent.
|
Subject as set out in the Tender Offer Memorandum,
€500,000,000 in aggregate principal amount of
Notes
|
On the terms and subject to the conditions contained in the Tender
Offer Memorandum, the Issuer invites Noteholders (subject to the
Offer and Distribution Restrictions contained herein and more fully
described in the Tender Offer Memorandum) to tender their Notes for
repurchase by the Issuer at the Purchase Price together with
Accrued Interest.
The Issuer reserves the right, in its sole and absolute discretion,
not to accept any Tender Instructions, not to purchase Notes or to
extend, re-open, withdraw or terminate the Offer and to amend or
waive any of the terms and conditions of the Offer in any manner
(including, but not limited to, purchasing more than the Maximum
Acceptance Amount), subject to applicable laws and
regulations.
Tenders of Notes for purchase must be made to the Issuer in
accordance with the procedures set out in the Tender Offer
Memorandum. The Issuer intends to
announce, inter
alia, its decision whether to
accept valid tenders of Notes for purchase pursuant to the Offers
in an announcement expected to be made on 2 July
2020.
Notes repurchased by the Issuer pursuant to the Offer will be
cancelled and will not be re-issued or re-sold. Notes which have
not been validly submitted and accepted for purchase pursuant to
the Offer will remain outstanding.
1 For information purposes
only - the
price payable by the Issuer for the Notes validly tendered in the
Offer and accepted for purchase by the Issuer will be determined in
the manner described in "Purchase
Price and Accrued Interest Payment" below and assuming the
Settlement Date is 6 July 2020, the Purchase Price will be 101.336
per cent. Should the Settlement Date be postponed, the Purchase
Price will be recalculated and will be announced, for information
purposes only, as provided in "Announcements"
below.
Rationale for the Offer
The Offer is made as part of the Issuer's ongoing management of its
liabilities, in this particular instance as the Notes have ceased
to qualify as eligible liabilities items under the CRD Regulation
as they have a residual maturity of less than 12 months. The Issuer
intends to continue issuing senior unsecured and subordinated
liabilities in all major currency markets. The Offer is not
conditional upon any future capital markets issuance.
"CRD
Regulation" means Regulation
(EU) No. 575/2013 on prudential requirements for credit
institutions and investment firms of the European Parliament and of
the Council of 26 June 2013, as amended or replaced from time to
time (including as amended by Regulation (EU) 2019/876 of the
European Parliament and of the Council of 20 May 2019, to the
extent then in application) or similar laws in the United
Kingdom.
Purchase Price and Accrued Interest Payment
In respect of any Notes validly tendered and accepted by the Issuer
for purchase pursuant to the Offer, the price payable by the Issuer
per €1,000 in principal amount of the Notes (the
"Purchase
Price"), will be determined by
reference to a fixed purchase yield of 0.00 per cent. (the
"Purchase
Yield"). The Purchase Price in
respect of the Notes is intended to reflect a yield to maturity of
the Notes on the Settlement Date based on the Purchase Yield,
determined in accordance with market convention. Specifically, the
Purchase Price will equal (i) the value of all remaining payments
of principal and interest on the Notes up to and including the
Maturity Date, discounted to the Settlement Date at a discount rate
equal to the Purchase Yield, minus (ii) the Accrued
Interest.
In respect of any Notes accepted for purchase, the Issuer will also
pay accrued and unpaid on such Notes from, and including, 23 March
2020 to, but excluding, the Settlement Date.
Maximum Acceptance Amount
If the Issuer decides, in its sole and absolute discretion, to
accept valid tenders of Notes pursuant to the Offer, it will accept
for purchase the Notes up to the Maximum Acceptance Amount. The
Issuer reserves the right, in its sole and absolute discretion, to
purchase more Notes than the Maximum Acceptance Amount, subject to
applicable law.
In the event that Tender Instructions are received in respect of an
aggregate principal amount of Notes which is greater than the
Maximum Acceptance Amount, such Tender Instructions will be
accepted (subject to the terms and conditions set out in the Tender
Offer Memorandum) on a pro rata basis.
Acceptance of Tender Instructions and pro-ration
Notes validly submitted for tender may be accepted subject to
pro-ration (if any). In the event that the aggregate principal
amount of Notes represented by the Tender Instructions received is
greater than the Maximum Acceptance Amount, such Tender
Instructions will be accepted (subject to the conditions set out in
the Tender Offer Memorandum) on a pro rata basis.
Such pro rata allocations will be calculated in relation
to the Notes by multiplying the aggregate principal amount of the
Notes represented by each Tender Instruction subject to pro-ration
by a factor derived from (i) the Maximum Acceptance Amount divided
by (ii) the aggregate principal amount of the Notes validly
tendered in the Offer (subject to adjustment to allow for the
aggregate principal amount of Notes accepted for purchase,
following the rounding of Tender Instructions as set out below, to
equal the Maximum Acceptance Amount). Each tender of Notes reduced
in this manner will be rounded down to the nearest €1,000 in
aggregate principal amount, provided that no Notes tendered
pursuant to any Offer will be accepted for purchase in this manner
where the acceptance of prorated Notes would result in a Noteholder
(i) transferring Notes to the Issuer in an aggregate principal
amount which is less than €100,000, or (ii) continuing to
hold a residual amount of Notes in an aggregate principal amount
which is less than €100,000.
Expected Timetable of Events
This is an indicative timetable showing one possible outcome for
the timing of the Offer based on the dates in the Tender Offer
Memorandum. This timetable is subject to change and dates and
times may be extended or amended by the Issuer in accordance with
the terms of the Offer as described in the Tender Offer
Memorandum. Accordingly, the actual timetable may differ
significantly from the timetable below.
Date
|
Action
|
25 June 2020
|
Commencement of the Offer
|
|
Offer announced. Tender Offer Memorandum available from the Dealer
Manager and the Tender Agent.
|
1 July 2020
4:00 p.m. London time
|
Expiration Deadline
Deadline for receipt by the Tender Agent of all Tender Instructions
in order for Noteholders to be able to participate in the
Offer.
|
2 July 2020
|
Announcement of Results of the Offer
The Issuer will announce its decision of whether to accept valid
tenders of Notes for purchase pursuant to any or all of the Offer
(including, if applicable, the Settlement Date), the Purchase
Price, the pro-ration factor (if any) and the results of the Offer
in accordance with the methods set out below.
|
6 July 2020
|
Settlement Date
Expected Settlement Date. Payment of Purchase Price and
Accrued Interest Payment in respect of the Offer.
|
Unless stated otherwise, announcements in connection with the Offer
will be made (i) by publication through RNS and/or (ii) by the
delivery of notices to the Clearing Systems for communication to
Direct Participants. Such announcements may also be (i) made on the
relevant Reuters International Insider Screen or (ii) made by the
issue of a press release to a Notifying News Service. Copies
of all announcements, notices and press releases can also be
obtained from the Tender Agent, the contact details for whom are
set out below. Significant delays may be experienced where
notices are delivered to the Clearing Systems and Noteholders are
urged to contact the Tender Agent for the relevant announcements
during the course of the Offer. In addition, Noteholders may
contact the Dealer Manager for information using the contact
details set out below.
Noteholders are advised to check with
any bank, securities broker or other intermediary through which
they hold Notes when such intermediary would require to receive
instructions from a Noteholder in order for that Noteholder to be
able to participate in, or (in the limited circumstances in which
revocation is permitted) revoke their instruction to participate
in, the Offer before the deadlines specified above. The
deadlines set by any such intermediary and each Clearing System for
the submission of Tender Instructions will be earlier than the
relevant deadlines specified above. See "Procedures for Participating
in the Offer" in the Tender
Offer Memorandum
For Further Information:
A complete description of the terms and conditions of the Offer is
set out in the Tender Offer Memorandum. Further details about the
transaction can be obtained from:
The Dealer Manager
Barclays Bank PLC
5 The North Colonnade
Canary Wharf
London E14 4BB
United Kingdom
Telephone: +44 (0) 20 3134 8515
Email: eu.lm@barclays.com
Attention: Liability Management Group
The Tender Agent
Lucid Issuer Services Limited
Tankerton Works
12 Argyle Walk
London WC1H 8HA
United Kingdom
Telephone: +44 (0) 20 7704 0880
Email: barclays@lucid-is.com
Attention: David Shilson
A copy of the Tender Offer Memorandum is available to eligible
persons upon request from the Tender Agent.
This announcement is released by Barclays PLC and contains
information that qualified as inside information for the purposes
of Article 7 of the Market Abuse Regulation (EU) 596/2014
("MAR"), encompassing information relating to the Offer
described above. For the purposes of MAR and Article 2 of
Commission Implementing Regulation (EU) 2016/1055, this
announcement is made by Miray Muminoglu on behalf of Barclays
PLC.
DISCLAIMER
This announcement must be read in conjunction with the Tender Offer
Memorandum. No offer or invitation to acquire or exchange any
securities is being made pursuant to this announcement. This
announcement and the Tender Offer Memorandum contain important
information, which must be read carefully before any decision is
made with respect to the Offer. If any Noteholder is in any doubt
as to the action it should take, it is recommended to seek its own
legal, tax, accounting and financial advice, including as to any
tax consequences, from its stockbroker, bank manager, solicitor,
accountant or other independent financial adviser. Any individual
or company whose Notes are held on its behalf by a broker, dealer,
bank, custodian, trust company or other nominee or intermediary
must contact such entity if it wishes to participate in the Offer.
None of the Issuer, the Dealer Manager or the Tender Agent, or any
person who controls, or is a director, officer, employee or agent
of such persons or any affiliate of such persons, makes any
recommendation as to whether Noteholders should participate in the
Offer.
Offer and Distribution Restrictions
None of this announcement, the Tender Offer Memorandum or any other
materials relating to the Offer constitutes an invitation to
participate in the Offer in any jurisdiction in which, or to any
person to or from whom, it is unlawful to make such invitation or
for there to be such participation under applicable securities
laws. The distribution of the Tender Offer Memorandum in certain
jurisdictions may be restricted by law. Persons into whose
possession the Tender Offer Memorandum comes are required by each
of the Issuer, the Dealer Manager and the Tender Agent to inform
themselves about and to observe any such restrictions.
General
Neither this announcement, the Tender Offer Memorandum nor the
electronic transmission thereof constitutes an offer to buy or the
solicitation of an offer to sell Notes (and tenders of Notes for
purchase pursuant to the Offer will not be accepted from
Noteholders) in any circumstances in which such offer or
solicitation is unlawful. In those jurisdictions where the
securities, blue sky or other laws require the Offer to be made by
a licensed broker or dealer and the Dealer Manager or any of its
affiliates is such a licensed broker or dealer in any such
jurisdiction, the Offer shall be deemed to be made by the Dealer
Manager or such affiliate, as the case may be, on behalf of the
Issuer in such jurisdiction.
Each Noteholder participating in the Offer will be deemed to give
certain representations in respect of the jurisdictions referred to
above and generally as set out in "Procedures for Participating
in the Offer" in the Tender
Offer Memorandum. Any tender of Notes for purchase pursuant to the
Offer from a Noteholder that is unable to make these
representations will not be accepted.
Each of the Issuer, the Dealer Manager and the Tender Agent
reserves the right, in its sole and absolute discretion, to
investigate, in relation to any tender of Notes for purchase
pursuant to the Offer, whether any such representation given by a
Noteholder is correct and, if such investigation is undertaken and
as a result the Issuer determines (for any reason) that such
representation is not correct, such tender or submission may be
rejected.
United States
The Offer is not being made and will not be made, directly or
indirectly, in or into, or by use of the mails of, or by any means
or instrumentality of interstate or foreign commerce of, or of any
facilities of a national securities exchange of, the United States
or to any U.S. Person (as defined in Regulation S of the United
States Securities Act of 1933, as amended (each a
"U.S.
Person")). This includes,
but is not limited to, facsimile transmission, electronic mail,
telex, telephone, the internet and other forms of electronic
communication. Accordingly, copies of this announcement, the
Tender Offer Memorandum and any other documents or materials
relating to the Offer are not being, and must not be, directly or
indirectly, mailed or otherwise transmitted, distributed or
forwarded (including, without limitation, by custodians, nominees
or trustees) in or into the United States or to a U.S. Person and
the Notes cannot be tendered in the Offer by any such use, means,
instrumentality or facility or from or within or by persons located
or resident in the United States or by any U.S. Person. Any
purported tender of Notes in the Offer resulting directly or
indirectly from a violation of these restrictions will be invalid
and any purported tender of Notes made by a person located in the
United States or to a U.S. Person, by any person acting for the
account or benefit of a U.S. Person, or by any agent, fiduciary or
other intermediary acting on a non-discretionary basis for a
principal giving instructions from within the United States or for
a U.S. Person will be invalid and will not be
accepted.
Each Noteholder participating in the Offer will represent that it
is not a U.S. Person located in the United States and is not
participating in the Offer from the United States, or it is acting
on a non-discretionary basis for a principal located outside the
United States that is not giving an order to participate in the
Offer from the United States and who is not a U.S. Person. For the
purposes of this and the above paragraph, "United
States" means the United States
of America, its territories and possessions (including Puerto Rico,
the U.S. Virgin Islands, Guam, American Samoa, Wake Island and the
Northern Mariana Islands), any state of the United States of
America and the District of Columbia.
United Kingdom
The communication of this announcement, the Tender Offer Memorandum
and any other documents or materials relating to the Offer is not
being made, and such documents and/or materials have not been
approved, by an authorised person for the purposes of section 21 of
the Financial Services and Markets Act 2000, as amended.
Accordingly, such documents and/or materials are not being
distributed to, and must not be passed on to, the general public in
the United Kingdom. The communication of such documents and/or
materials as a financial promotion is only being made to those
persons in the United Kingdom falling within the definition of
investment professionals (as defined in Article 19(5) of the
Financial Services and Markets Act 2000 (Financial Promotion) Order
2005, as amended (the "Financial Promotion
Order")) or persons who are
within Article 43(2) of the Financial Promotion Order or any other
persons to whom it may otherwise lawfully be made under the
Financial Promotion Order.
France
The Offers are not being made, directly or indirectly, in the
Republic of France ("France") other than to qualified investors
(investisseurs
qualifiés) as defined in
Article L.411-2 1° of the French Code monétaire et
financier. Neither this
announcement, the Tender Offer Memorandum nor any other documents
or materials relating to the Offers have been or shall be
distributed in France other than to qualified investors
(investisseurs
qualifiés) and only
qualified investors (investisseurs
qualifiés) are eligible to
participate in the Offers. This announcement, the Tender
Offer Memorandum and any other document or material relating to the
Offers have not been and will not be submitted for clearance to nor
approved by the Autorité des marchés
financiers.
Italy
None of the Offer, this announcement, the Tender Offer Memorandum
or any other documents or materials relating to the Offer have been
or will be submitted to the clearance procedure of
the Commissione Nazionale per le
Società e la Borsa ("CONSOB").
The Offer is being carried out in the Republic of Italy as an
exempted offer pursuant to article 101-bis, paragraph 3-bis of the
Legislative Decree No. 58 of 24 February 1998, as amended (the
"Financial
Services Act") and article
35-bis, paragraph 4 of CONSOB Regulation No. 11971 of 14 May 1999,
as amended (the "Issuers
Regulation").
Noteholders, or beneficial owners of the Notes, can tender some or
all of their Notes pursuant to the Offer through authorised persons
(such as investment firms, banks or financial intermediaries
permitted to conduct such activities in Italy in accordance with
the Financial Services Act, CONSOB Regulation No. 20307 of 15
February 2018, as amended from time to time, and Legislative Decree
No. 385 of 1 September 1993, as amended) and in compliance with
applicable laws and regulations or with requirements imposed by
CONSOB or any other Italian authority.
Each intermediary must comply with the applicable laws and
regulations concerning information duties vis-à-vis its
clients in connection with the Notes or the
Offer.
Exhibit
No. 6
25 June 2020
Barclays PLC
Barclays US LLC receives non-objection to its capital plan in 2020
CCAR
Barclays notes the Board of Governors of the Federal Reserve's
("FRB") publication of the 2020 Dodd-Frank Act Stress Test
("DFAST") and Comprehensive Capital Analysis and Review ("CCAR")
results for Barclays US LLC (Barclays' US Intermediate Holding
Company, the "IHC"), on 25 June 2020.
The FRB did not object to Barclays US LLC's capital plan, and under
both the FRB's and Barclays' company-run assessment of the
supervisory severely adverse scenario, the IHC's projected capital
ratios remained above regulatory minimum required levels across all
nine quarters of the test.
Barclays US LLC today published its own assessment of the
supervisory severely adverse scenario, which can be found on the
Barclays website at: https://home.barclays/investor-relations/investor-news/fed-filings/
Ends
For further information please contact:
Investor
Relations
|
Media
Relations
|
Chris Manners
|
Tom Hoskin
|
+44 (0) 20 7773 2136
|
+44 (0) 20 7116 6927
Laura Vallis
+1 212 526 3514
|
About Barclays
Barclays is a British universal bank. We are diversified by
business, by different types of customer
and client, and geography. Our businesses include consumer banking
and payments operations
around the world, as well as a top-tier, full service, global
corporate and investment bank, all of
which are supported by our service company which provides
technology, operations and functional
services across the Group.
For further information about Barclays, please visit our
website home.barclays