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
July 2009
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
|
FRN Variable Rate Fix dated 2 July 2009
|
Exhibit No. 2
|
FRN Variable Rate Fix dated 2 July 2009
|
Exhibit No. 3
|
Total Voting Rights
dated 3 July 2009
|
Exhibit No. 4
|
Holding(s) in Company dated 6 July 2009
|
Exhibit No. 5
|
Holding(s) in Company dated 6 July 2009
|
Exhibit No. 6
|
Holding(s) in Company dated 7 July 2009
|
Exhibit No. 7
|
Publication of Information Memorandum dated 8 July 2009
|
Exhibit No. 8
|
Holding(s) in Company dated 8 July 2009
|
Exhibit No. 9
|
Holding(s) in Company dated 8 July 2009
|
Exhibit No. 10
|
Upper Tier 2 Exchange Offer Update
dated 8 July 2009
|
Exhibit No. 11
|
FRN Variable Rate Fix dated 9 July 2009
|
Exhibit No. 12
|
Circular to shareholders dated
10 July 2009
|
Exhibit No. 13
|
Additional Listing
dated 10 July 2009
|
Exhibit No. 14
|
FRN Variable Rate Fix dated 13 July 2009
|
Exhibit No. 15
|
Blocklisting Interim Review 14
July 2009
|
Exhibit No. 16
|
Blocklisting Interim Review 14
July 2009
|
Exhibit No. 17
|
Blocklisting Interim Review 14
July 2009
|
Exhibit No. 18
|
Blocklisting Interim Review 14
July 2009
|
Exhibit No. 19
|
Blocklisting Interim Review 14
July 2009
|
Exhibit No. 20
|
Blocklisting Interim Review 14
July 2009
|
Exhibit No. 21
|
Blocklisting Interim Review 14
July 2009
|
Exhibit No. 22
|
Blocklisting Interim Review 14
July 2009
|
Exhibit No. 23
|
FRN Variable Rate Fix dated
16
July 2009
|
Exhibit No. 24
|
FRN Variable Rate Fix dated
17
July 2009
|
Exhibit No. 25
|
FRN Variable Rate Fix dated
17
July 2009
|
Exhibit No. 26
|
FRN Variable Rate Fix dated
17
July 2009
|
Exhibit No. 27
|
FRN Variable Rate Fix dated
17
July 2009
|
Exhibit No. 28
|
FRN Variable Rate Fix dated
17
July 2009
|
Exhibit No. 29
|
Absa Group Limited announces Directorate Change
dated
20 July 2009
|
Exhibit No. 30
|
Results of Upper Tier 2 Exchange Offer
dated
21 July 2009
|
Exhibit No. 31 | Full Early Redemption dated 23 July 2009 |
Exhibit No. 32
|
FRN Variable Rate Fix dated
29 July 2009
|
Exhibit No. 33
|
FRN Variable Rate Fix dated
30 July 2009
|
Exhibit No. 34
|
Total Voting Rights
dated
31 July 2009
|
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: August 3, 2009
By: /s/ Patrick Gonsalves
----------------------
Patrick Gonsalves
Deputy Secretary
BARCLAYS BANK PLC
(Registrant)
Date: August 3, 2009
By: /s/ Patrick Gonsalves
----------------------
Patrick Gonsalves
Joint Secretary
Exhibit No. 1
As Agent Bank, please be advised of the following rate determined on: 02-Jul-2009 | ||||||||
Issue |
¦ BARCLAYS BANK PLC Series 161
Issue of GBP 1,250,000,000 Floating Rate Notes Due 2010 under the GBP 30,000,000,000 Debt Issuance Programme |
|||||||
ISIN Number | ¦ XS0308497014 | |||||||
ISIN Reference | ¦ | |||||||
Issue Nomin GBP | ¦ 1,250,000,000.00 | |||||||
Period | ¦ 02-Jul-2009 to 02-Oct-2009 | Payment Date 02-Oct-2009 | ||||||
Number of Days | ¦ 92 | |||||||
Rate | ¦ 1.18150 | |||||||
Denomination GBP | ¦ 1,000.00 | ¦ | ¦ | |||||
Amount Payable per Denomination | ¦ 2.98 | ¦ | ¦ | |||||
Bank of New York | ||||||||
Rate Fix Desk | Telephone | ¦ 44 1202 689580 | ||||||
Corporate Trust Services | Facsimile | ¦ 44 1202 689601 |
Exhibit No. 2
As Agent Bank, please be advised of the following rate determined on: 02/07/09 | ||||||||
Issue | ¦ Barclays Bank Plc Series 172 - USD 2,000,000,000 FRN due 5 December 2011 | |||||||
ISIN Number | ¦ XS0403958571 | |||||||
ISIN Reference | ¦ 40395857 | |||||||
Issue Nomin USD | ¦ 2,000,000,000 | |||||||
Period | ¦ 06/07/09 to 05/08/09 | Payment Date 05/08/09 | ||||||
Number of Days | ¦ 30 | |||||||
Rate | ¦ 1.35438 | |||||||
Denomination USD | ¦ 50,000 | ¦ 2,000,000,000 | ¦ | |||||
Amount Payable per Denomination | ¦ 56.43 | ¦ 2,257,300.00 | ¦ | |||||
Bank of New York | ||||||||
Rate Fix Desk | Telephone | ¦ 44 1202 689580 | ||||||
Corporate Trust Services | Facsimile | ¦ 44 1202 689601 |
Exhibit No. 3
Exhibit No. 4
|
|
||||
|
|
||||
|
|||||
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES
i
|
|||||
|
|
||||
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
|
No
|
||||
An acquisition or disposal of qualifying financial instruments which may result in the acquisition of shares already issued to which voting rights are attached
|
No
|
||||
An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments
|
No
|
||||
An event changing the breakdown of voting rights
|
No
|
||||
Other (please specify):
|
A change in the total voting rights notified by Barclays plc on 3 July, 2009
|
Yes
|
|||
3. Full name of person(s) subject to the
notification obligation:
iii
|
His Excellency Sheikh Hamad Bin Jassim Bin Jabor Al Thani
|
||||
4. Full name of shareholder(s)
(if different from 3.):
iv
|
Challenger Universal Limited
|
||||
5. Date of the transaction and date on
which the threshold is crossed or reached:
v
|
3 July 2009
|
||||
6. Date on which issuer notified:
|
6 July 2009
|
||||
7. Threshold(s) that is/are crossed or
reached:
vi, vii
|
3%
|
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 of 25 pence each
|
117,979,379
|
117,979,379
|
313,704,737
|
313,704,737
|
N/A
|
2.84%
|
N/A
|
||||||||||
|
|||||||||||||||||
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
|
|||||||||||||
N/A
|
N/A
|
N/A
|
N/A
|
N/A
|
|||||||||||||
|
|||||||||||||||||
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
|
||||||||||||
N/A
|
N/A
|
N/A
|
N/A
|
N/A
|
N/A
|
N/A
|
|||||||||||
|
|||||||||||||||||
Total (A+B+C)
|
|||||||||||||||||
Number of voting rights
|
Percentage of voting rights
|
||||||||||||||||
313,704,737
|
2.84%
|
9. Chain of controlled undertakings through which the voting rights and/or the
financial instruments are effectively held, if applicable:
xxi
|
|
Challenger Universal Limited is ultimately beneficially owned by His Excellency Sheikh Hamad Bin Jassim Bin Jabor Al Thani and his family.
|
|
|
|
Proxy Voting:
|
|
10. Name of the proxy holder:
|
N/A
|
11. Number of voting rights proxy holder will cease to hold:
|
N/A
|
12. Date on which proxy holder will cease to hold voting rights:
|
N/A
|
|
|
13. Additional information: |
On 30 June 2009 the MCNs held by Challenger Universal Limited (
"CUL"
) in Barclays Bank PLC converted into ordinary shares in Barclays PLC, and such ordinary shares were issued by Barclays PLC and credited to CUL on 3 July 2009. As a result: (a) the aggregate percentage of voting rights in Barclays PLC referenced by CUL's MCNs fell on 3 July 2009 from 2.33% to NIL; and (b) the aggregate percentage of voting rights in Barclays PLC referenced
by CUL's ordinary shares in Barclays PLC, increased on 3 July 2009 from 1.41% to 2.84%.
|
14. Contact name:
|
Mr. Fakirahmed Gulam M Kaldane
Al Wajiba Palace
Dukhan Road
PO Box 4044
Doha
Qatar
|
15. Contact telephone number:
|
Tel: +974.481.7000
|
Exhibit No. 5
|
|
||||
|
|
||||
|
|||||
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES
i
|
|||||
|
|
||||
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
|
Yes
|
||||
An acquisition or disposal of qualifying financial instruments which may result in the acquisition of shares already issued to which voting rights are attached
|
No
|
||||
An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments
|
No
|
||||
An event changing the breakdown of voting rights
|
No
|
||||
Other (please specify):
|
A change in the total voting rights notified by Barclays plc on 3 July 2009
|
Yes
|
|||
3. Full name of person(s) subject to the
notification obligation:
iii
|
Qatar
Investment Authority
|
||||
4. Full name of shareholder(s)
(if different from 3.):
iv
|
Qatar
Holding LLC
|
||||
5. Date of the transaction and date on
which the threshold is crossed or reached:
v
|
3 July 2009
|
||||
6. Date on which issuer notified:
|
3 July 2009
|
||||
7. Threshold(s) that is/are crossed or
reached:
vi, vii
|
18%
|
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 of 25 pence each
|
487,755,622
|
487,755,622
|
813,964,552
|
813,964,552
|
N/A
|
7.38%
|
N/A
|
||||||||||
|
|||||||||||||||||
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
|
|||||||||||||
N/A
|
N/A
|
N/A
|
N/A
|
N/A
|
|||||||||||||
|
|||||||||||||||||
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
|
||||||||||||
Warrants
|
197.775p
|
31 October 2013
|
27 November 2008 - 31 October 2013
|
758,437,618
|
Nominal
|
Delta
|
|||||||||||
6.88%
|
N/A
|
||||||||||||||||
|
|||||||||||||||||
Total (A+B+C)
|
|||||||||||||||||
Number of voting rights
|
Percentage of voting rights
|
||||||||||||||||
1,572,402,170
|
14.26%
|
9. Chain of controlled undertakings through which the voting rights and/or the
financial instruments are effectively held, if applicable:
xxi
|
|
Qatar Holding LLC is a wholly owned subsidiary of Qatar Investment Authority ("
QIA
")
|
|
|
|
Proxy Voting:
|
|
10. Name of the proxy holder:
|
N/A
|
11. Number of voting rights proxy holder will cease to hold:
|
N/A
|
12. Date on which proxy holder will cease to hold voting rights:
|
N/A
|
|
|
13. Additional information: |
On 30 June 2009 the MCNs held by Qatar Holding LLC (
"QHL"
) in Barclays Bank PLC converted into ordinary shares in Barclays PLC, and such ordinary shares were issued by Barclays PLC and credited to QHL on 3 July 2009. As a result: (a) the aggregate percentage of voting rights in Barclays PLC referenced by QHL's MCNs fell on 3 July 2009 from 3.89% to NIL; and (b) the aggregate percentage of voting rights in
Barclays PLC referenced by QHL's ordinary shares in Barclays PLC, increased on 3 July 2009 from 5.81% to 7.38%.
As required under the DTRs, this notification has been prepared using the total voting rights figure of 11,027,630,910 as set out in the public announcement made by Barclays PLC dated 3 July 2009. Consequently the quoted percentages of voting rights detailed in this notice have been calculated without the further Barclays PLC ordinary shares to be issued
when all the Warrants issued by Barclays PLC of the kind referred to in this notification are exercised. This results in percentage figures which are artificially high. On a fully diluted basis assuming that all Warrants are exercised the resulting percentage interest would be 12.53%.
|
14. Contact name:
|
Mr. Ahmad Al-Sayed
Qatar
Holding LLC
Qatar
Financial Centre, 8
th
Floor,
Q-Tel
Tower
,
West
Bay
,
Doha
,
Qatar
|
15. Contact telephone number:
|
Tel: +974.499.5900
|
Exhibit No. 6
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES
|
||
|
|
|
1. Identity of the issuer or the underlying issuer
of existing shares to which voting rights are
attached:
|
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
|
Yes
|
|
Other (please specify):
|
|
|
3. Full name of person(s) subject to the
notification obligation: |
Legal & General Group Plc (Group)
Legal & General Investment Management Limited (LGIM)
Legal & General Group Plc (L&G)
|
|
4. Full name of shareholder(s)
(if different from 3.):
|
Legal & General Assurance (Pensions Management) Limited (PMC)
|
|
5. Date of the transaction and date on
which the threshold is crossed or reached: |
03 July 2009
|
|
6. Date on which issuer notified:
|
06 July 2009
|
|
7. Threshold(s) that is/are crossed or
reached: |
Below 5% (Group)
Below 5% (LGIM)
From 5% - 4% (L&G)
|
8. Notified details:
|
|||||||||||||
A: Voting rights attached to shares
|
|||||||||||||
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
|
|||||||||
Direct
|
Indirect
|
Direct
|
Indirect
|
||||||||||
ORD
GBP 0.25
|
476,346,938
(LGIM)
|
476,346,938
(LGIM)
|
Below 5%
(LGIM)
|
||||||||||
435,747,361
(L&G)
|
435,747,361
(L&G)
|
459,096,745
(L&G)
|
459,096,745
(L&G)
|
|
4.16
|
|
|||||||
|
|||||||||||||
B: Qualifying Financial Instruments
|
|||||||||||||
Resulting situation after the triggering transaction
|
|||||||||||||
Type of financial
instrument
|
Expiration
date
|
Exercise/
Conversion Period
|
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
|
|||||||||||||
Resulting situation after the triggering transaction
|
|||||||||||||
Type of financial
instrument
|
Exercise price
|
Expiration date
|
Exercise/
Conversion period
|
Number of voting rights instrument refers to
|
% of voting rights
|
||||||||
|
|
|
|
|
Nominal
|
Delta
|
|||||||
|
|
||||||||||||
|
|||||||||||||
Total (A+B+C)
|
|||||||||||||
Number of voting rights
|
Percentage of voting rights
|
||||||||||||
Below 5%
(LGIM)
|
|||||||||||||
459,096,745
(L&G)
|
4.16
(L&G)
|
||||||||||||
9. Chain of controlled undertakings through which the voting rights and/or the
financial instruments are effectively held, if applicable:
|
|||||||||||||
|
|||||||||||||
Legal & General Group Plc (Direct and Indirect) (Group) (
Below 5
% = Total Position)
|
|
||||||||||||
Legal & General Investment Management (Holdings) Limited (LGIMH) (Direct and Indirect) (
Below 5
% = Total Position)
|
|
||||||||||||
Legal & General Investment Management Limited (Indirect) (LGIM) (
Below 5
% = Total Position)
|
|
||||||||||||
Legal & General Group Plc (Direct) (L&G) (
459,096,745 - 4.16
% = LGAS, LGPL & PMC)
|
|||||||||||||
Legal & General Investment Management (Holdings) Limited (Direct) (LGIMHD) (
387,254,678 - 3.51
% = PMC)
|
Legal & General Insurance Holdings Limited (Direct) (LGIH)
|
||||||||||||
Legal & General Assurance (Pensions Management) Limited (PMC) (
387,254,678 - 3.51
% = PMC)
|
Legal & General Assurance Society Limited (LGAS & LGPL)
|
||||||||||||
|
Legal & General Pensions Limited (Direct) (LGPL)
|
||||||||||||
|
|||||||||||||
Proxy Voting:
|
|||||||||||||
10. Name of the proxy holder:
|
N/A
|
||||||||||||
11. Number of voting rights proxy holder will cease
to hold:
|
N/A
|
||||||||||||
12. Date on which proxy holder will cease to hold
voting rights:
|
N/A
|
||||||||||||
|
|||||||||||||
13. Additional information:
|
Notification using the total voting rights figure of 11,027,630,910
|
||||||||||||
14. Contact name:
|
Helen Lewis (LGIM)
|
||||||||||||
15. Contact telephone number:
|
020 3124 3851
|
Exhibit No. 7
Exhibit No. 8
|
|
||||
|
|
||||
|
|||||
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES
i
|
|||||
|
|
||||
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):
|
Regulatory announcement by issuer of an increased total in its issued ordinary shares with voting rights
|
x
|
|||
3. Full name of person(s) subject to the
notification obligation:
iii
|
International Petroleum Investment Company ("IPIC")
Kadin Holdings Ltd. ("Kadin")
PCP
Gulf
Invest 3 Limited ("PCP3")
|
||||
4. Full name of shareholder(s)
(if different from 3.):
iv
|
PCP
Gulf
Invest 3 Limited ("PCP3")
|
||||
5. Date of the transaction and date on
which the threshold is crossed or reached:
v
|
3 July 2009
|
||||
6. Date on which issuer notified:
|
7 July 2009
|
||||
7. Threshold(s) that is/are crossed or
reached:
vi, vii
|
9%, 8%, 7%
|
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
|
||||||||||||
|
|
|
|
|
|
|
|
|||||||||
|
||||||||||||||||
|
||||||||||||||||
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
|
|||||||||||
Warrants
|
197.775p
|
31 October 2013
|
27 November 2008 - 31 October 2013
|
758,437,618
|
Nominal
|
Delta
|
||||||||||
6.88%
|
Not required
|
|||||||||||||||
|
||||||||||||||||
Total (A+B+C)
|
||||||||||||||||
Number of voting rights
|
Percentage of voting rights
|
|||||||||||||||
758,437,618
|
6.88%
|
9. Chain of controlled undertakings through which the voting rights and/or the
financial instruments are effectively held, if applicable:
xxi
|
|
The warrants are legally owned by PCP3. PCP3 is, in turn, wholly owned by Kadin, which is, in turn, wholly owned by IPIC.
|
|
|
|
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:
|
On 3 July 2009, Barclays PLC released a regulatory announcement that its total issued ordinary shares with
voting rights was 11,027,630,910.
As a direct result, the aggregate percentage of voting rights in Barclays PLC referenced by the warrants held by IPIC, Kadin and PCP3 is required to be recalculated from 9.04% to 6.88%.
The previous percentage of 9.04% is as stated in the regulatory announcement of IPIC and Kadin that was filed on 8 June 2009, and which was based on a total issued Barclays PLC ordinary share capital of 8,391,578,567 as announced by Barclays PLC on 29 May 2009.
|
14. Contact name:
|
Fryderyk J. Holc
|
15. Contact telephone number:
|
+971.(2).417.6690
|
Exhibit No. 9
|
|
||||
|
|
||||
|
|||||
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES
i
|
|||||
|
|
||||
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):
|
Regulatory announcement by issuer of an increased total in its issued ordinary shares with voting rights
|
x
|
|||
3. Full name of person(s) subject to the
notification obligation:
iii
|
His Excellency Khadem Abdulla Khadem Butti Al Qubaisi ("HE Khadem Al Qubaisi")
KAQ Holdings Limited ("KAQ")
|
||||
4. Full name of shareholder(s)
(if different from 3.):
iv
|
KAQ Holdings Limited ("KAQ")
|
||||
5. Date of the transaction and date on
which the threshold is crossed or reached:
v
|
3 July 2009
|
||||
6. Date on which issuer notified:
|
7 July 2009
|
||||
7. Threshold(s) that is/are crossed or
reached:
vi, vii
|
9%, 8%, 7%
|
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
|
||||||||||||
|
|
|
|
|
|
|
|
|||||||||
|
||||||||||||||||
|
||||||||||||||||
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
|
|||||||||||
Option
|
Subject to prior conditions
|
No expiration date
|
No exercise period
|
758,437,618
|
Nominal
|
Delta
|
||||||||||
6.88%
|
Not required
|
|||||||||||||||
|
||||||||||||||||
Total (A+B+C)
|
||||||||||||||||
Number of voting rights
|
Percentage of voting rights
|
|||||||||||||||
758,437,618
|
6.88%
|
9. Chain of controlled undertakings through which the voting rights and/or the
financial instruments are effectively held, if applicable:
xxi
|
|
The option has been granted to KAQ, which is wholly owned by HE Khadem Al Qubaisi.
The option is to acquire, at any time, the entire share capital (and not a portion only) of Kadin Holdings Ltd. ("Kadin"). Kadin wholly owns PCP Gulf Invest 3 Limited, which, in turn, owns warrants exercisable into 758,437,618 ordinary shares in Barclays PLC at an exercise price of 197.775p. The expiration date of the warrants is 31 October 2013.
|
|
|
|
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: |
On 3 July 2009, Barclays PLC released a regulatory announcement that its total issued ordinary shares with voting rights was 11,027,630,910.
As a direct result, the aggregate percentage of voting rights in Barclays PLC referenced by the option granted to KAQ and HE Khadem Al Qubaisi is required to be recalculated from 9.04% to 6.88%.
The previous percentage of 9.04% is as stated in the regulatory announcement of KAQ and HE Khadem Al Qubaisi that was filed on 8 June 2009, and which was based on a total issued Barclays PLC ordinary share capital of 8,391,578,567 as announced by Barclays PLC on 29 May 2009.
|
14. Contact name:
|
Fryderyk J. Holc
|
15. Contact telephone number:
|
+971.(2).417.6690
|
Exhibit No. 10
Exhibit No. 11
As Agent Bank, please be advised of the following rate determined on: 09/07/09 | ||||||||
Issue | ¦ Barclays Bank Plc Series 180 - USD 250,000,000 FRN due 13 Jan 2012 | |||||||
ISIN Number | ¦ XS0408595352 | |||||||
ISIN Reference | ¦ 40859535 | |||||||
Issue Nomin USD | ¦ 250,000,000 | |||||||
Period | ¦ 13/07/09 to 13/10/09 | Payment Date 13/10/09 | ||||||
Number of Days | ¦ 92 | |||||||
Rate | ¦ 1.04 | |||||||
Denomination USD | ¦ 100,000 | ¦ | ¦ | |||||
Amount Payable per Denomination | ¦ 265.78 | ¦ | ¦ | |||||
Bank of New York | ||||||||
Rate Fix Desk | Telephone | ¦ 44 1202 689580 | ||||||
Corporate Trust Services | Facsimile | ¦ 44 1202 689601 |
Exhibit No. 12
1.
|
Circular to Shareholders relating to the proposed disposal of the Barclays Global Investors business, including a Notice of General Meeting
|
2.
|
Your Questions Answered Leaflet
|
3.
|
Proxy form for the General Meeting
|
Exhibit No. 13
Exhibit No. 14
As Agent Bank, please be advised of the following rate determined on: 13/07/09 | ||||||||
Issue | ¦ Barclays Bank PLC - Series 178 - GBP 2,000,000,000 FRN due 13 Jan 2012 | |||||||
ISIN Number | ¦ XS0408286994 | |||||||
ISIN Reference | ¦ 40828699 | |||||||
Issue Nomin GBP | ¦ 2,000,000,000 | |||||||
Period | ¦ 13/07/09 to 13/10/09 | Payment Date 13/10/09 | ||||||
Number of Days | ¦ 92 | |||||||
Rate | ¦ 1.27125 | |||||||
Denomination GBP | ¦ 100,000 | ¦ 2,000,000,000 | ¦ | |||||
Amount Payable per Denomination | ¦ 320.42 | ¦ 6,408,493.15 | ¦ | |||||
Bank of New York | ||||||||
Rate Fix Desk | Telephone | ¦ 44 1202 689580 | ||||||
Corporate Trust Services | Facsimile | ¦ 44 1202 689601 |
Exhibit No. 15
Name of
applicant
:
|
BARCLAYS PLC
|
|||
Name of scheme:
|
Barclays Bank PLC £4,050,000,000 9.75 per cent. Mandatorily Convertible Notes due 30 September 2009 convertible into fully paid ordinary shares of Barclays PLC, Issue Price 100 per cent.
|
|||
Period of return:
|
From:
|
01.01.09
|
To:
|
30.06.09
|
Balance of unallotted securities under scheme(s) from previous return:
|
2,642,259,714
ordinary shares of £0.25 each
|
|||
Plus:
The amount by which the block scheme(s) has been increased since the date of the last return (if any increase has been applied for):
|
0
|
|||
Less:
Number of
securities
issued/allotted under scheme(s) during period (see LR3.5.7G):
|
1,330,051,659
|
|||
Equals:
Balance under scheme(s) not yet issued/allotted at end of period:
|
1,312,208,055
|
Name of contact:
|
Natalie Weedon
|
Telephone number of contact:
|
0207 116
29
09
|
Exhibit No. 16
Name of
applicant
:
|
BARCLAYS PLC
|
|||
Name of scheme:
|
Barclays Group Share Incentive Plan
|
|||
Period of return:
|
From:
|
01.01.09
|
To:
|
30.06.09
|
Balance of unallotted securities under scheme(s) from previous return:
|
13,649,340
ordinary shares of £0.25 each
|
|||
Plus:
The amount by which the block scheme(s) has been increased since the date of the last return (if any increase has been applied for):
|
0
|
|||
Less:
Number of
securities
issued/allotted under scheme(s) during period (see LR3.5.7G):
|
13,53
6
,
433
|
|||
Equals:
Balance under scheme(s) not yet issued/allotted at end of period:
|
11
2
,
907
|
Name of contact:
|
Natalie Weedon
|
Telephone number of contact:
|
0207 116
29
09
|
Exhibit No. 17
Name of
applicant
:
|
BARCLAYS PLC
|
|||
Name of scheme:
|
Woolwich
Executive
Share Option
Plan (ESOP)
|
|||
Period of return:
|
From:
|
01.01.09
|
To:
|
30.06.09
|
Balance of unallotted securities under scheme(s) from previous return:
|
298,300
ordinary shares of £0.25 each
|
|||
Plus:
The amount by which the block scheme(s) has been increased since the date of the last return (if any increase has been applied for):
|
0
|
|||
Less:
Number of
securities
issued/allotted under scheme(s) during period (see LR3.5.7G):
|
0
|
|||
Equals:
Balance under scheme(s) not yet issued/allotted at end of period:
|
298,300
|
Name of contact:
|
Natalie Weedon
|
Telephone number of contact:
|
0207 116
29
09
|
Exhibit No. 18
Name of
applicant
:
|
BARCLAYS PLC
|
|||
Name of scheme:
|
Renewed 1981 & 1991 SAYE Share Option Scheme
|
|||
Period of return:
|
From:
|
01.01.09
|
To:
|
30.06.09
|
Balance of unallotted securities under scheme(s) from previous return:
|
19,590,146
ordinary shares of £0.25 each
|
|||
Plus:
The amount by which the block scheme(s) has been increased since the date of the last return (if any increase has been applied for):
|
0
|
|||
Less:
Number of
securities
issued/allotted under scheme(s) during period (see LR3.5.7G):
|
2,254
|
|||
Equals:
Balance under scheme(s) not yet issued/allotted at end of period:
|
19,587,892
|
Name of contact:
|
Natalie Weedon
|
Telephone number of contact:
|
0207 116
29
09
|
Exhibit No. 19
Name of
applicant
:
|
BARCLAYS PLC
|
|||
Name of scheme:
|
Warrants to subscribe for ordinary shares
|
|||
Period of return:
|
From:
|
01.01.09
|
To:
|
30.06.09
|
Balance of unallotted securities under scheme(s) from previous return:
|
1,516,875,236
ordinary shares of £0.25 each
|
|||
Plus:
The amount by which the block scheme(s) has been increased since the date of the last return (if any increase has been applied for):
|
0
|
|||
Less:
Number of
securities
issued/allotted under scheme(s) during period (see LR3.5.7G):
|
0
|
|||
Equals:
Balance under scheme(s) not yet issued/allotted at end of period:
|
1,516,875,236
|
Name of contact:
|
Natalie Weedon
|
Telephone number of contact:
|
0207 116
29
09
|
Exhibit No. 20
Name of
applicant
:
|
BARCLAYS PLC
|
|||
Name of scheme:
|
Woolwich SAYE Share Option Scheme
|
|||
Period of return:
|
From:
|
01.01.09
|
To:
|
30.06.09
|
Balance of unallotted securities under scheme(s) from previous return:
|
808,581
ordinary shares of £0.25 each
|
|||
Plus:
The amount by which the block scheme(s) has been increased since the date of the last return (if any increase has been applied for):
|
0
|
|||
Less:
Number of
securities
issued/allotted under scheme(s) during period (see LR3.5.7G):
|
0
|
|||
Equals:
Balance under scheme(s) not yet issued/allotted at end of period:
|
808,581
|
Name of contact:
|
Natalie Weedon
|
Telephone number of contact:
|
0207 116
29
09
|
Exhibit No. 21
Name of
applicant
:
|
BARCLAYS PLC
|
|||
Name of scheme:
|
Renewed 1986
Executive
Share Option Scheme
|
|||
Period of return:
|
From:
|
01.01.09
|
To:
|
30.06.09
|
Balance of unallotted securities under scheme(s) from previous return:
|
980,192
ordinary shares of £0.25 each
|
|||
Plus:
The amount by which the block scheme(s) has been increased since the date of the last return (if any increase has been applied for):
|
0
|
|||
Less:
Number of
securities
issued/allotted under scheme(s) during period (see LR3.5.7G):
|
0
|
|||
Equals:
Balance under scheme(s) not yet issued/allotted at end of period:
|
980,192
|
Name of contact:
|
Natalie Weedon
|
Telephone number of contact:
|
0207 116
29
09
|
Exhibit No. 22
Name of
applicant
:
|
BARCLAYS PLC
|
|||
Name of scheme:
|
Barclays Incentive Share Option Plan
|
|||
Period of return:
|
From:
|
01.01.09
|
To:
|
30.06.09
|
Balance of unallotted securities under scheme(s) from previous return:
|
3,481,622
ordinary shares of £0.25 each
|
|||
Plus:
The amount by which the block scheme(s) has been increased since the date of the last return (if any increase has been applied for):
|
0
|
|||
Less:
Number of
securities
issued/allotted under scheme(s) during period (see LR3.5.7G):
|
0
|
|||
Equals:
Balance under scheme(s) not yet issued/allotted at end of period:
|
3,481,622
|
Name of contact:
|
Natalie Weedon
|
Telephone number of contact:
|
0207 116
29
09
|
Exhibit No. 23
As Agent Bank, please be advised of the following rate determined on: 16/07/09 | ||||||||
Issue | ¦ Barclays Bank Plc Series 175 - USD 2,000,000,000 FRN due 19 December 2011 | |||||||
ISIN Number | ¦ XS0406399427 | |||||||
ISIN Reference | ¦ 40639942 | |||||||
Issue Nomin USD | ¦ 2,000,000,000 | |||||||
Period | ¦ 20/07/09 to 19/08/09 | Payment Date 19/08/09 | ||||||
Number of Days | ¦ 30 | |||||||
Rate | ¦ 1.23875 | |||||||
Denomination USD | ¦ 100,000 | ¦ 2,000,000,000 | ¦ | |||||
Amount Payable per Denomination | ¦ 103.23 | ¦ 2,064,583.33 | ¦ | |||||
Bank of New York | ||||||||
Rate Fix Desk | Telephone | ¦ 44 1202 689580 | ||||||
Corporate Trust Services | Facsimile | ¦ 44 1202 689601 |
Exhibit No. 24
Re: | BARCLAYS BANK PLC. |
GBP 1000000000 | |
MATURING: 16-Jun-2011 | |
ISIN: XS0372547975 | |
PLEASE BE ADVISED THAT THE INTEREST RATE FOR THE PERIOD | |
16-Jul-2009 TO 17-Aug-2009 HAS BEEN FIXED AT 1.041500 PCT | |
DAY BASIS: ACTUAL/365(FIX) | |
INTEREST PAYABLE VALUE 17-Aug-2009 WILL AMOUNT TO: | |
GBP 45.65 PER GBP 50000 DENOMINATION |
Exhibit No. 25
Re: | BARCLAYS BANK PLC. |
GBP 1000000000 | |
MATURING: 16-Dec-2011 | |
ISIN: XS0372548197 | |
PLEASE BE ADVISED THAT THE INTEREST RATE FOR THE PERIOD | |
16-Jul-2009 TO 17-Aug-2009 HAS BEEN FIXED AT 1.091500 PCT | |
DAY BASIS: ACTUAL/365(FIX) | |
INTEREST PAYABLE VALUE 17-Aug-2009 WILL AMOUNT TO: | |
GBP 47.85 PER GBP 50000 DENOMINATION |
Exhibit No. 26
Re: | BARCLAYS BANK PLC. |
GBP 2000000000 | |
MATURING: 16-May-2018 | |
ISIN: XS0398795574 | |
PLEASE BE ADVISED THAT THE INTEREST RATE FOR THE PERIOD | |
16-Jul-2009 TO 17-Aug-2009 HAS BEEN FIXED AT 1.141500 PCT | |
DAY BASIS: ACTUAL/365(FIX) | |
INTEREST PAYABLE VALUE 17-Aug-2009 WILL AMOUNT TO: | |
GBP 50.04 PER GBP 50000 DENOMINATION |
Exhibit No. 27
Re: | BARCLAYS BANK PLC. |
GBP 1600000000 | |
MATURING: 16-Nov-2018 | |
ISIN: XS0398796895 | |
PLEASE BE ADVISED THAT THE INTEREST RATE FOR THE PERIOD | |
16-Jul-2009 TO 17-Aug-2009 HAS BEEN FIXED AT 1.141500 PCT | |
DAY BASIS: ACTUAL/365(FIX) | |
INTEREST PAYABLE VALUE 17-Aug-2009 WILL AMOUNT TO: | |
GBP 50.04 PER GBP 50000 DENOMINATION |
Exhibit No. 28
Re: | BARCLAYS BANK PLC. |
GBP 1000000000 | |
MATURING: 16-May-2019 | |
ISIN: XS0398797604 | |
PLEASE BE ADVISED THAT THE INTEREST RATE FOR THE PERIOD | |
16-Jul-2009 TO 17-Aug-2009 HAS BEEN FIXED AT 1.141500 PCT | |
DAY BASIS: ACTUAL/365(FIX) | |
INTEREST PAYABLE VALUE 17-Aug-2009 WILL AMOUNT TO: | |
GBP 50.04 PER GBP 50000 DENOMINATION |
Exhibit No. 29
Exhibit No. 31
Please be advised the following issue has been repurchased for USD 4,200,000 on 22 Jul 2009 and will be called due to early reedemption on 22 Jul 2009
Barclays - Series 11792 - XS0341730447 - Maturity Date 22 Jan 2011 - O/S Nominal USD 5,000,000
The outstanding balance will therefore be zero
Please amend your records accordingly.
Exhibit No. 32
As Agent Bank, please be advised of the following rate determined on: 29-Jul-2009 | ||||||||
Issue |
¦ BARCLAYS BANK PLC
GBP 200,000,000 Undated Floating Rate Primary Capital Notes Series 3 |
|||||||
ISIN Number | ¦ XS0015014615 | |||||||
ISIN Reference | ¦ | |||||||
Issue Nomin GBP | ¦ 200,000,000.00 | |||||||
Period | ¦ 31-Jul-2009 to 30-Oct-2009 | Payment Date 30-Oct-2009 | ||||||
Number of Days | ¦ 91 | |||||||
Rate | ¦ 1.575 | |||||||
Denomination GBP | ¦ 250,000.00 | ¦ | ¦ | |||||
Amount Payable per Denomination | ¦ 981.68 | ¦ | ¦ | |||||
Bank of New York | ||||||||
Rate Fix Desk | Telephone | ¦ 44 1202 689580 | ||||||
Corporate Trust Services | Facsimile | ¦ 44 1202 689601 |
Exhibit No. 33
As Agent Bank, please be advised of the following rate determined on: 30/07/09 | ||||||||
Issue | ¦ Barclays Bank PLC - Series 183 - GBP 333,000,000 FRN due 30 Jan 2012 | |||||||
ISIN Number | ¦ XS0411706897 | |||||||
ISIN Reference | ¦ 41170689 | |||||||
Issue Nomin GBP | ¦ 333,000,000 | |||||||
Period | ¦ 30/07/09 to 30/10/09 | Payment Date 30/10/09 | ||||||
Number of Days | ¦ 92 | |||||||
Rate | ¦ 1.27 | |||||||
Denomination GBP | ¦ 50,000 | ¦ 333,000,000 | ¦ | |||||
Amount Payable per Denomination | ¦ 160.05 | ¦ 1,065,964.93 | ¦ | |||||
Bank of New York | ||||||||
Rate Fix Desk | Telephone | ¦ 44 1202 689580 | ||||||
Corporate Trust Services | Facsimile | ¦ 44 1202 689601 |
Exhibit No. 34