20-F/A

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, DC 20549

FORM 20-F/A

(Amendment No. 1)

(Mark One)

 

REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934

OR

 

ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

For the fiscal year ended December 31, 2017

OR

 

TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

For the transition period from                      to                     

OR

 

SHELL COMPANY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

Date of event requiring this shell company report                     

 

Commission file numbers   Barclays PLC   1-09246
  Barclays Bank PLC   1-10257

BARCLAYS PLC

BARCLAYS BANK PLC

(Exact Names of Registrants as Specified in their Charter[s])

ENGLAND

(Jurisdiction of Incorporation or Organization)

1 CHURCHILL PLACE, LONDON E14 5HP, ENGLAND

(Address of Principal Executive Offices)

GARTH WRIGHT, +44 (0)20 7116 3170, GARTH.WRIGHT@BARCLAYS.COM

1 CHURCHILL PLACE, LONDON E14 5HP, ENGLAND

*(Name, Telephone, E-mail and/or Facsimile number and Address of Company Contact Person)

Securities registered or to be registered pursuant to Section 12(b) of the Act:

Barclays PLC

 

Title of Each Class   

Name of Each Exchange

On Which Registered

25p ordinary shares

   New York Stock Exchange*

American Depositary Shares, each representing four 25p ordinary shares

   New York Stock Exchange

4.375% Fixed Rate Subordinated Notes due 2024

   New York Stock Exchange

2.75% Fixed Rate Senior Notes due 2019

   New York Stock Exchange

2.00% Fixed Rate Senior Notes due 2018

   New York Stock Exchange

3.65% Fixed Rate Senior Notes due 2025

   New York Stock Exchange

2.875% Fixed Rate Senior Notes due 2020

   New York Stock Exchange

5.25% Fixed Rate Senior Notes due 2045

   New York Stock Exchange

3.25% Fixed Rate Senior Notes due 2021

   New York Stock Exchange

4.375% Fixed Rate Senior Notes due 2026

   New York Stock Exchange

5.20% Fixed Rate Subordinated Notes due 2026  

   New York Stock Exchange

3.20% Fixed Rate Senior Notes due 2021

   New York Stock Exchange

Floating Rate Senior Notes due 2021

   New York Stock Exchange

Floating Rate Senior Notes due 2023

   New York Stock Exchange

3.684% Fixed Rate Senior Notes due 2023

   New York Stock Exchange

4.337% Fixed Rate Senior Notes due 2028

   New York Stock Exchange

4.950% Fixed Rate Senior Notes due 2047

   New York Stock Exchange

4.836% Fixed Rate Subordinated Callable Notes due 2028

   New York Stock Exchange

3.250% Fixed Rate Senior Notes due 2033

   New York Stock Exchange

 

* Not for trading, but in connection with the registration of American Depository Shares, pursuant to the requirements to the Securities and Exchange Commission.

Barclays Bank PLC

 

Title of Each Class

  

Name of Each Exchange

On Which Registered

Callable Floating Rate Notes 2035    New York Stock Exchange
2.650% Fixed Rate Senior Notes due 2021    New York Stock Exchange
Floating Rate Notes due 2021    New York Stock Exchange
Non-Cumulative Callable Dollar Preference Shares, Series 5    New York Stock Exchange*
American Depository Shares, Series 5, each representing one Non-Cumulative Callable Dollar Preference Share, Series 5    New York Stock Exchange
5.140% Lower Tier 2 Notes due October 2020    New York Stock Exchange
iPath® Bloomberg Commodity Index Total ReturnSM ETN    NYSE Arca
iPath® Bloomberg Agriculture Subindex Total ReturnSM ETN    NYSE Arca
iPath® Bloomberg Aluminum Subindex Total ReturnSM ETN    NYSE Arca
iPath® Bloomberg Cocoa Subindex Total ReturnSM ETN    NYSE Arca
iPath® Bloomberg Coffee Subindex Total ReturnSM ETN    NYSE Arca
iPath® Bloomberg Copper Subindex Total ReturnSM ETN    NYSE Arca
iPath® Bloomberg Cotton Subindex Total ReturnSM ETN    NYSE Arca
iPath® Bloomberg Energy Subindex Total ReturnSM ETN    NYSE Arca
iPath® Bloomberg Grains Subindex Total ReturnSM ETN    NYSE Arca
iPath® Bloomberg Industrial Metals Subindex Total ReturnSM ETN    NYSE Arca
iPath® Bloomberg Lead Subindex Total ReturnSM ETN    NYSE Arca
iPath® Bloomberg Livestock Subindex Total ReturnSM ETN    NYSE Arca
iPath® Bloomberg Natural Gas Subindex Total ReturnSM ETN    NYSE Arca
iPath® Bloomberg Nickel Subindex Total ReturnSM ETN    NYSE Arca
iPath® Bloomberg Platinum Subindex Total ReturnSM ETN    NYSE Arca
iPath® Bloomberg Precious Metals Subindex Total ReturnSM ETN    NYSE Arca
iPath® Bloomberg Softs Subindex Total ReturnSM ETN    NYSE Arca
iPath® Bloomberg Sugar Subindex Total ReturnSM ETN    NYSE Arca
iPath® Bloomberg Tin Subindex Total ReturnSM ETN    NYSE Arca
iPath® S&P GSCI® Total Return Index ETN    NYSE Arca
iPath® S&P GSCI® Crude Oil Total Return Index ETN    NYSE Arca
iPath® CBOE S&P 500 BuyWrite IndexSM ETN    NYSE Arca
iPath® MSCI India IndexSM ETN    NYSE Arca
iPath® EUR/USD Exchange Rate ETN    NYSE Arca
iPath® GBP/USD Exchange Rate ETN    NYSE Arca
iPath® JPY/USD Exchange Rate ETN    NYSE Arca
iPath® S&P 500 VIX Short-Term FuturesTM ETN    NYSE Arca
iPath® S&P 500 VIX Mid-Term FuturesTM ETN    NYSE Arca
iPath® Inverse S&P 500 VIX Short-Term FuturesTM ETN    NYSE Arca
iPath® Long Extended Russell 1000® TR Index ETN    NYSE Arca
iPath® Long Extended Russell 2000® TR Index ETN    NYSE Arca
iPath® Long Enhanced MSCI EAFE® TR Index ETN    NYSE Arca
iPath® Long Enhanced MSCI Emerging Markets Index ETN    NYSE Arca
iPath® Long Extended S&P 500® TR Index ETN    NYSE Arca
iPath® Global Carbon ETN    NYSE Arca
iPath® Optimized Currency Carry ETN    NYSE Arca
iPath® US Treasury Steepener ETN    NASDAQ
iPath® US Treasury Flattener ETN    NASDAQ
iPath® US Treasury 2-year Bull ETN    NASDAQ
iPath® US Treasury 2-year Bear ETN    NASDAQ
iPath® US Treasury 10-year Bull ETN    NASDAQ
iPath® US Treasury 10-year Bear ETN    NASDAQ
iPath® US Treasury Long Bond Bull ETN    NASDAQ
iPath® US Treasury Long Bond Bear ETN    NASDAQ
iPath® Pure Beta Broad Commodity ETN    NYSE Arca
iPath® Pure Beta S&P GSCI®-Weighted ETN    NYSE Arca
iPath® Pure Beta Cocoa ETN    NYSE Arca
iPath® Pure Beta Coffee ETN    NYSE Arca
iPath® Pure Beta Cotton ETN    NYSE Arca
iPath® Pure Beta Sugar ETN    NYSE Arca
iPath® Pure Beta Aluminum ETN    NYSE Arca
iPath® Pure Beta Copper ETN    NYSE Arca
iPath® Pure Beta Lead ETN    NYSE Arca
iPath® Pure Beta Nickel ETN    NYSE Arca
iPath® Pure Beta Crude Oil ETN    NYSE Arca
iPath® Seasonal Natural Gas ETN    NYSE Arca
iPath® Pure Beta Agriculture ETN    NYSE Arca
iPath® Pure Beta Grains ETN    NYSE Arca
iPath® Pure Beta Softs ETN    NYSE Arca
iPath® Pure Beta Industrial Metals ETN    NYSE Arca
iPath® Pure Beta Energy ETN    NYSE Arca
iPath® Pure Beta Livestock ETN    NYSE Arca
iPath® Pure Beta Precious Metals ETN    NYSE Arca
iPath® US Treasury 5-year Bull ETN    NASDAQ
iPath® US Treasury 5-year Bear ETN    NASDAQ
iPath® S&P 500 Dynamic VIX ETN    NYSE Arca
iPath® Inverse S&P 500 VIX Short-Term FuturesTM ETN (II)    NYSE Arca
iPath® GEMS IndexTM ETN    NYSE Arca
iPath® GEMS Asia 8 ETN    NYSE Arca
iPath® Asian and Gulf Currency Revaluation ETN    NYSE Arca
iPath® S&P MLP ETN    NYSE Arca
iPath® Series B S&P GCSI Crude Oil Return Index ETN    NYSE Arca
iPath® Series B Bloomberg Agriculture Subindex Total ReturnSM ETN    NYSE Arca
iPath® Series B Bloomberg Aluminum Subindex Total ReturnSM ETN    NYSE Arca
iPath® Series B Bloomberg Coffee Subindex Total ReturnSM ETN    NYSE Arca
iPath® Series B Bloomberg Copper Subindex Total ReturnSM ETN    NYSE Arca
iPath® Series B Bloomberg Cotton Subindex Total ReturnSM ETN    NYSE Arca
iPath® Series B Bloomberg Energy Subindex Total ReturnSM ETN    NYSE Arca
iPath® Series B Bloomberg Grains Subindex Total ReturnSM ETN    NYSE Arca
iPath® Series B Bloomberg Industrial Metals Subindex Total ReturnSM ETN    NYSE Arca
iPath® Series B Bloomberg Livestock Subindex Total ReturnSM ETN    NYSE Arca
iPath® Series B Bloomberg Nickel Subindex Total ReturnSM ETN    NYSE Arca
iPath® Series B Bloomberg Platinum Subindex Total ReturnSM ETN    NYSE Arca
iPath® Series B Bloomberg Precious Metals Subindex Total ReturnSM ETN    NYSE Arca
iPath® Series B Bloomberg Softs Subindex Total ReturnSM ETN    NYSE Arca
iPath® Series B Bloomberg Sugar Subindex Total ReturnSM ETN    NYSE Arca
iPath® Series B Bloomberg Tin Subindex Total ReturnSM ETN    NYSE Arca
iPath® Series B Bloomberg Natural Gas Subindex Total ReturnSM ETN    NYSE Arca
iPath® Series B S&P 500 VIX Short-Term FuturesTM ETNs    CBOE BZX Exchange
iPath® Series B S&P 500 VIX Mid-Term FuturesTM ETNs    CBOE BZX Exchange
Barclays ETN+ S&P 500® VEQTOR™ ETN    NYSE Arca
Barclays ETN+ Shiller CAPETM ETNs    NYSE Arca
Barclays ETN+ Select MLP ETN    NYSE Arca
Barclays ETN+ FI Enhanced Europe 50 ETN    NYSE Arca
Barclays ETN+ FI Enhanced Global High Yield ETN    NYSE Arca
Barclays ETN+ FI Enhanced Europe 50 ETN Series B    NYSE Arca
Barclays Women in Leadership ETN    NYSE Arca
Barclays Return on Disability ETN    NYSE Arca
Barclays Inverse US Treasury Composite ETN    NASDAQ

 

* Not for trading, but in connection with the registration of American Depository Shares, pursuant to the requirements to the Securities and Exchange Commission.

Securities registered or to be registered pursuant to Section 12(g) of the Act: None

Securities for which there is a reporting obligation pursuant to Section 15(d) of the Act: None

Indicate the number of outstanding shares of each of the issuers’ classes of capital or common stock as of the close of the period covered by the annual report.

 

Barclays PLC    25p ordinary shares      16,804,603,949  
Barclays Bank PLC    £1 ordinary shares      2,342,558,515  
   £1 preference shares      1,000  
   100 preference shares      31,856  
   $0.25 preference shares      106,000,000  
   $100 preference shares      58,133  

Indicate by check mark if each registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act.

Yes   No

If this report is an annual or transition report, indicate by check mark if the registrants are not required to file reports pursuant to Section 13 or 15(d) of the Securities Exchange Act 1934.

Yes   No

Note—Checking the box above will not relieve any registrant required to file reports pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 from their obligations under those Sections.

Indicate by check mark whether the registrants: (1) have filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) have been subject to such filing requirements for the past 90 days.

Yes   No

Indicate by check mark whether the registrants have submitted electronically and posted on their corporate Web sites, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§ 232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).

Yes   No

Indicate by check mark whether each registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or an emerging growth company. See definition of “large accelerated filer,” “accelerated filer,” and “emerging growth company” in Rule 12b-2 of the Exchange Act. (Check one):

Barclays PLC

 

Large Accelerated Filer    Accelerated Filer     Non-Accelerated Filer     Emerging growth company

Barclays Bank PLC

 

Large Accelerated Filer    Accelerated Filer     Non-Accelerated Filer     Emerging growth company

If an emerging growth company that prepares its financial statements in accordance with U.S. GAAP, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards* provided pursuant to Section 13(a) of the Exchange Act.

 

The term “new or revised financial accounting standard” refers to any update issued by the Financial Accounting Standards Board to its Accounting Standards Codification after April 5, 2012.

*Indicate by check mark which basis of accounting the registrant has used to prepare the financial statements included in this filing:

U.S. GAAP

International Financial Reporting Standards as issued by the International Accounting Standards Board 

Other

*If “Other” has been checked in response to the previous question, indicate by check mark which financial statement item the registrant has elected to follow:

Item 17

Item 18

If this is an annual report, indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).

Yes   No

(APPLICABLE ONLY TO ISSUERS INVOLVED IN BANKRUPTCY PROCEEDINGS DURING THE PAST FIVE YEARS.)

Indicate by check mark whether the registrant has filed all documents and reports required to be filed by Section 12, 13 or 15(d) of the Securities Exchange Act of 1934 subsequent to the distribution of securities under a plan confirmed by a court.

Yes   No


EXPLANATORY NOTE

This Amendment No. 1 to the Annual Report on Form 20-F for the fiscal year ended December 31, 2017, originally filed with the Securities and Exchange Commission on February 22, 2018 (the “2017 Form 20-F”), is being filed solely for the purposes of adding Exhibit 101 to Item 19 “Exhibits” and furnishing the Interactive Data File disclosure as Exhibit 101 in accordance with Rule 405 of Regulation S-T. Exhibit 101 was not previously filed.

Other than as expressly set forth above, this Amendment No. 1 to the 2017 Form 20-F does not, and does not purport to, amend, update or restate the information in any other item of the 2017 Form 20-F, or reflect any events that have occurred after the 2017 Form 20-F was originally filed.


EXHIBIT INDEX

 

Exhibit

  

Description

101.INS    XBRL Instance Document
101.SCH    XBRL Taxonomy Extension Schema
101.CAL    XBRL Taxonomy Extension Schema Calculation Linkbase
101.DEF    XBRL Taxonomy Extension Schema Definition Linkbase
101.LAB    XBRL Taxonomy Extension Schema Label Linkbase
101.PRE    XBRL Taxonomy Extension Schema Presentation Linkbase


Signatures

The registrant hereby certifies that it meets all of the requirements for filing this Amendment No. 1 to Form 20-F and that it has duly caused and authorised the undersigned to sign this this Amendment No. 1 to Form 20-F on its behalf.

 

Date March 19, 2018  

Barclays PLC

(Registrant)

 

  By  

/s/ Tushar Morzaria

    Tushar Morzaria, Group Finance Director

The registrant hereby certifies that it meets all of the requirements for filing this Amendment No. 1 to Form 20-F and that it has duly caused and authorised the undersigned to sign this this Amendment No. 1 to Form 20-F on its behalf.

 

Date March 19, 2018  

Barclays Bank PLC

(Registrant)

 

  By  

/s/ Tushar Morzaria

    Tushar Morzaria, Group Finance Director