Blueprint
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
 
January 03, 2019
 
Barclays PLC and
Barclays Bank PLC
(Names of Registrants)
 
1 Churchill Place
London E14 5HP
England
(Address of Principal Executive Offices)
 
Indicate by check mark whether the registrant files or will file annual reports
under cover of Form 20-F or Form 40-F.
 
Form 20-F x Form 40-F
 
Indicate by check mark whether the registrant by furnishing the information
contained in this Form is also thereby furnishing the information to the
Commission pursuant to Rule 12g3-2(b) under the Securities Exchange Act of 1934.
 
Yes No x
 
If "Yes" is marked, indicate below the file number assigned to the registrant
in connection with Rule 12g3-2(b):
 
This Report is a joint Report on Form 6-K filed by Barclays PLC and Barclays
Bank PLC. All of the issued ordinary share capital of Barclays Bank PLC is
owned by Barclays PLC.
 
This Report comprises:
 
Information given to The London Stock Exchange and furnished pursuant to
General Instruction B to the General Instructions to Form 6-K.
 
 
EXHIBIT INDEX
 

 
  Exhibit No. 1
 
Total Voting Rights dated 03 December 2018
  Exhibit No. 2
 
Holding(s) in Company dated 07 December 2018
 
  Exhibit No. 3
 
Director/PDMR Shareholding dated 17 December 2018
 
  Exhibit No. 4
 
Consent order re Barclays Whistleblowing programme dated 18 December 2018
 
  Exhibit No. 5
 
Holding(s) in Company dated 20 December 2018
 
  Exhibit No. 6
 
Director/PDMR Shareholding dated 21 December 2018
 
  Exhibit No. 7
 
Total Voting Rights dated 02 January 2019
 
 
 

 
 

 
SIGNATURES
 
 
 
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
 
 
 
BARCLAYS PLC
 
 
(Registrant)
 
 
 
 
Date: January 03, 2019
 
 
 
By: /s/ Garth Wright
--------------------------------
 
 
Garth Wright
 
 
Assistant Secretary
 
 
 
 
 
 
BARCLAYS BANK PLC
 
 
(Registrant)
 
 
 
Date: January 03, 2019
 
 
By: /s/ Garth Wright
--------------------------------
 
 
Garth Wright
 
 
Assistant Secretary
 
 
 
 
Exhibit No. 1 
 
 
 
 
Barclays PLC - Total Voting Rights
 
In accordance with the Financial Conduct Authority's (FCA) Disclosure Guidance and Transparency Rule 5.6.1R, Barclays PLC notifies the market that as of 30 November 2018, Barclays PLC's issued share capital consists of 17,131,259,005 Ordinary shares with voting rights.
 
There are no Ordinary shares held in Treasury.
 
The above figure (17,131,259,005) may be used by shareholders (and others with notification obligations) as the denominator for the calculation by which they will determine if they are required to notify their interest in, or a change to their interest in, Barclays PLC under the FCA's Disclosure Guidance and Transparency Rules.   
 
- Ends -
 
 
For further information, please contact:
 
Investor Relations
Media Relations
Lisa Bartrip
Tom Hoskin
+44 (0) 20 7773 0708
+44 (0) 20 7116 6927
 
 
 
Exhibit No. 2 
 
 
 
TR-1: Standard form for notification of major holdings
 
NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer and to the FCA in Microsoft Word format if possible)i
 
1a. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attachedii:
Barclays PLC, GB0031348658
1b. Please indicate if the issuer is a non-UK issuer  (please mark with an "X" if appropriate)
Non-UK issuer
 
2. Reason for the notification (please mark the appropriate box or boxes with an "X")
An acquisition or disposal of voting rights
X
An acquisition or disposal of financial instruments
 
An event changing the breakdown of voting rights
 
Other (please specify)iii:
 
3. Details of person subject to the notification obligationiv
Name
Norges Bank
City and country of registered office (if applicable)
Oslo, Norway
4. Full name of shareholder(s) (if different from 3.)v
Name
 
City and country of registered office (if applicable)
 
5. Date on which the threshold was crossed or reachedvi:
04/12/2018
6. Date on which issuer notified (DD/MM/YYYY):
06/12/2018
7. Total positions of person(s) subject to the notification obligation
 
% of voting rights attached to shares (total of 8. A)
% of voting rights through financial instruments(total of 8.B 1 + 8.B 2)
Total of both in % (8.A + 8.B)
Total number of voting rights of issuervii
Resulting situation on the date on which threshold was crossed or reached
2.99 %
0.00 %
2.99 %
17,131,259,005
Position of previous notification (if
applicable)
3.01 %
0.00 %
3.01 %
 
 
 
 
 
 
 
 
 
8. Notified details of the resulting situation on the date on which the threshold was crossed or reachedviii
A: Voting rights attached to shares
Class/type ofshares
ISIN code (if possible)
Number of voting rightsix
% of voting rights
Direct
(Art 9 of Directive 2004/109/EC) (DTR5.1)
Indirect
(Art 10 of Directive 2004/109/EC) (DTR5.2.1)
Direct
(Art 9 of Directive 2004/109/EC) (DTR5.1)
Indirect
(Art 10 of Directive 2004/109/EC) (DTR5.2.1)
GB0031348658
511,511,217
 
2.99 %
 
 
 
 
 
 
 
 
 
 
 
SUBTOTAL 8. A
511,511,217
2.99 %
 
B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC (DTR5.3.1.1 (a))
Type of financial instrument
Expirationdatex
Exercise/Conversion Periodxi
Number of voting rights that may be acquired if the instrument is
exercised/converted.
% of voting rights
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
SUBTOTAL 8. B 1
 
 
 
B 2: Financial Instruments with similar economic effect according to Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b))
Type of financial instrument
Expirationdatex
Exercise/Conversion Period xi
Physical or cash
settlementxii
Number of voting rights
% of voting rights
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
SUBTOTAL 8.B.2
 
 
 
 
 
 
 
 
 
 
 
 
 
 
9. Information in relation to the person subject to the notification obligation (please mark the
applicable box with an "X")
Person subject to the notification obligation is not controlled by any natural person or legal entity and does not control any other undertaking(s) holding directly or indirectly an interest in the (underlying) issuerxiii
X
Full chain of controlled undertakings through which the voting rights and/or thefinancial instruments are effectively held starting with the ultimate controlling natural person or legal entityxiv (please add additional rows as necessary)
 
Namexv
% of voting rights if it equals or is higher than the notifiable threshold
% of voting rights through financial instruments if it equals or is higher than the notifiable threshold
Total of both if it equals or is higher than the notifiable threshold
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
10. In case of proxy voting, please identify:
Name of the proxy holder
 
The number and % of voting rights held
 
The date until which the voting rights will be held
 
 
11. Additional informationxvi
 
 
 
 
 
 
 
Place of completion
Oslo, Norway
Date of completion
06/12/2018
 
 
 
Exhibit No. 3
 
 
 
17 December  2018
 
Notification and public disclosure of transactions by persons discharging managerial responsibilities and persons closely associated with them
 
 
Barclays PLC (the "Company") announces the following transactions by persons discharging managerial responsibility ("PDMRs") in ordinary shares of the Company with a nominal value of 25 pence each ("Shares") of which it was notified on 14 December 2018:
 
The trustee of the Barclays Group (PSP) Employees' Benefit Trust delivered Shares to the individuals below. The Shares delivered are in respect of :
 
1.     the quarterly payment of the Share element of the individual's fixed remuneration for the three month period to 31 December 2018. The Shares are subject to a holding period with restrictions lifting in equal tranches over five years (20% each year); and
 
2.     the release of Shares subject to an award made under Schedule 1 to the Barclays Group Share Value Plan.
 
The number of Shares received by PDMRs and the transaction price of those Shares are as follows:
 
 
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
 
The trustee of the Barclays Group (PSP) Employees' Benefit Trust delivered Shares to the individual described above. 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 31 December 2018. The Shares are subject to a holding period with restrictions lifting in equal tranches over five years (20% each year).   After the settlement of tax and social security, the individual described above received 79,445 Shares.
 
c)
 
Price(s) and volume(s)
 
 
Price(s)
 
Volume(s): Number of Shares received
£1.56516
 
187,680
 
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
Not applicable
 
 
 
 
 
e)
 
Date of the transaction
 
2018-12-14
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
 
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. 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 31 December 2018. The Shares are subject to a holding period with restrictions lifting in equal tranches over five years (20% each year). After the settlement of tax and social security, the individual described above received 69,841 Shares.
 
c)
 
Price(s) and volume(s)
 
 
Price(s)
 
Volume(s): Number of Shares received
£1.56516
 
131,775
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
Not applicable
 
 
 
 
 
e)
 
Date of the transaction
 
2018-12-14
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
 
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
 
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. 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 31 December 2018. The Shares are subject to a holding period with restrictions lifting in equal tranches over five years (20% each year). After the settlement of tax and social security, the individual described above received 77,888 Shares.
 
c)
 
Price(s) and volume(s)
 
 
Price(s)
 
Volume(s): Number of Shares received
£1.56516
 
175,700
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
Not applicable
 
 
 
 
 
e)
 
Date of the transaction
 
2018-12-14
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
 
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. 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 31 December 2018. The Shares are subject to a holding period with restrictions lifting in equal tranches over five years (20% each year). After the settlement of tax and social security, the individual described above received 80,423 Shares.
 
c)
 
Price(s) and volume(s)
 
 
Price(s)
 
Volume(s): Number of Shares received
£1.56516
 
 
151,741
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
Not applicable
 
 
 
 
 
e)
 
Date of the transaction
 
2018-12-14
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
 
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. 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 31 December 2018. The Shares are subject to a holding period with restrictions lifting in equal tranches over five years (20% each year). After the settlement of tax and social security, the individual described above received 25,397 Shares.
 
c)
 
Price(s) and volume(s)
 
 
Price(s)
 
Volume(s): Number of Shares received
£1.56516
 
 
47,918
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
Not applicable
 
 
 
 
 
e)
 
Date of the transaction
 
2018-12-14
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
 
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. 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 31 December 2018. The Shares are subject to a holding period with restrictions lifting in equal tranches over five years (20% each year). After the settlement of tax and social security, the individual described above received 48,677 Shares.
 
c)
 
Price(s) and volume(s)
 
 
Price(s)
 
Volume(s): Number of Shares received
£1.56516
 
91,843
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
Not applicable
 
 
 
 
 
e)
 
Date of the transaction
 
2018-12-14
f)
 
Place of the transaction
 
London Stock Exchange (XLON)
 
 
 
1
 
Details of the person discharging managerial responsibilities / person closely associated
 
a)
 
Name
 
Tim Throsby
2
 
Reason for the notification
 
a)
 
Position/status
 
President, Barclays Bank PLC and CEO, Barclays International
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 (PSP) Employees' Benefit Trust delivered Shares to the individual described above. 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 31 December 2018. The Shares are subject to a holding period with restrictions lifting in equal tranches over five years (20% each year). After the settlement of tax and social security, the individual described above received 165,079 Shares.
 
c)
 
Price(s) and volume(s)
 
 
Price(s)
 
Volume(s): Number of Shares received
£1.56516
 
311,469
 
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
Not applicable
 
 
 
 
 
e)
 
Date of the transaction
 
2018-12-14
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, 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
 
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. 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 31 December 2018. The Shares are subject to a holding period with restrictions lifting in equal tranches over five years (20% each year). After the settlement of tax and social security, the individual described above received 59,259 Shares.
 
c)
 
Price(s) and volume(s)
 
 
Price(s)
 
Volume(s): Number of Shares received
£1.56516
 
111,809
 
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
 
Not applicable
 
 
 
 
 
e)
 
Date of the transaction
 
 
2018-12-14
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
 
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. 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 31 December 2018. The Shares are subject to a holding period with restrictions lifting in equal tranches over five years (20% each year). After the settlement of tax and social security, the individual described above received 74,323 Shares.
 
c)
 
Price(s) and volume(s)
 
 
Price(s)
 
Volume(s): Number of Shares received
£1.56516
 
 
151,741
 
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
 
Not applicable
 
 
 
 
 
e)
 
Date of the transaction
 
 
2018-12-14
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
 
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
 
GB0031348658
 
b)
 
Nature of the transaction
 
The trustee of the Barclays Group (PSP) Employee Benefit Trust delivered Shares to the individual set out above to satisfy the release of Shares subject to an award made under Schedule 1 to the Barclays Group Share Value Plan. After the settlement of tax and social security, the individual described above received 77,520 Shares.
 
c)
 
Price(s) and volume(s)
 
 
Price(s)
 
Volume(s): Number of Shares received
£1.56516
 
 
158,267
 
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
 
Not applicable
 
 
 
 
 
e)
 
Date of the transaction
 
 
2018-12-14
f)
 
Place of the transaction
 
 
London Stock Exchange (XLON)
 
 
 
For further information please contact:
 
Investor Relations
Media Relations
Lisa Bartrip
Tom Hoskin
+44 (0)20 7773 0708
+44 (0)20 7116 4755
 
 
 
Exhibit No. 4 
 
 
 18 December 2018
 
Barclays PLC
 
 Barclays Bank PLC
 
 New York State Department of Financial Services publishes final consent order following an investigation into matters involving Barclays' whistleblowing programme
 
On 11 May 2018 Barclays PLC announced that the FCA and PRA had concluded their regulatory processes in relation to the investigation of certain matters involving Barclays' whistleblowing programme. As indicated in that announcement, discussions with authorities in the US were ongoing.  
 
Barclays Bank PLC and Barclays Bank PLC, New York Branch ("Barclays") have reached a settlement with the New York State Department of Financial Services ("NYDFS") in respect of its investigation into the same matters. The NYDFS has published a Consent Order describing its factual findings and is imposing a civil monetary penalty of US$15 million on Barclays for failings in Barclays' whistleblowing programme.
 
Barclays has further agreed to undertake additional reporting and remediation undertakings in respect of its whistleblowing programme.
 
All regulatory investigations relating to these events are now concluded.
 
-ENDS-
 
For further information, please contact:
 
Investor Relations
 
Media Relations
 
Lisa Bartrip
 
Tom Hoskin
 
+44 (0) 20 77730708
 
+44 (0) 20 7116 4755
 
About Barclays
 
Barclays is a transatlantic consumer and wholesale bank, offering products and services across personal, corporate and investment banking, credit cards and wealth management, with a strong presence in our two home markets of the UK and the US.
 
With over 325 years of history and expertise in banking, Barclays operates in over 40 countries and employs approximately 80,000 people. Barclays moves, lends, invests and protects money for customers and clients worldwide.
 
For further information about Barclays, please visit our website home.barclays
 
 
 
Exhibit No. 5 
 
 
 
TR-1: Standard form for notification of major holdings
 
NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer and to the FCA in Microsoft Word format if possible)i
 
1a. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attachedii:
Barclays PLC, GB0031348658
1b. Please indicate if the issuer is a non-UK issuer  (please mark with an "X" if appropriate)
Non-UK issuer
 
2. Reason for the notification (please mark the appropriate box or boxes with an "X")
An acquisition or disposal of voting rights
X
An acquisition or disposal of financial instruments
 
An event changing the breakdown of voting rights
 
Other (please specify)iii:
 
3. Details of person subject to the notification obligationiv
Name
Norges Bank
City and country of registered office (if applicable)
Oslo, Norway
4. Full name of shareholder(s) (if different from 3.)v
Name
 
City and country of registered office (if applicable)
 
5. Date on which the threshold was crossed or reachedvi:
19/12/2018
6. Date on which issuer notified (DD/MM/YYYY):
20/12/2018
7. Total positions of person(s) subject to the notification obligation
 
% of voting rights attached to shares (total of 8. A)
% of voting rights through financial instruments(total of 8.B 1 + 8.B 2)
Total of both in % (8.A + 8.B)
Total number of voting rights of issuervii
Resulting situation on the date on which threshold was crossed or reached
3.001%
0.00%
3.001%
17,131,259,005
Position of previous notification (if
applicable)
2.99%
0.00%
2.99%
 
 
 
 
 
 
 
 
 
8. Notified details of the resulting situation on the date on which the threshold was crossed or reachedviii
A: Voting rights attached to shares
Class/type ofshares
ISIN code (if possible)
Number of voting rightsix
% of voting rights
Direct
(Art 9 of Directive 2004/109/EC) (DTR5.1)
Indirect
(Art 10 of Directive 2004/109/EC) (DTR5.2.1)
Direct
(Art 9 of Directive 2004/109/EC) (DTR5.1)
Indirect
(Art 10 of Directive 2004/109/EC) (DTR5.2.1)
GB0031348658
514,068,594
 
3.001%
 
 
 
 
 
 
 
 
 
 
 
SUBTOTAL 8. A
514,068,594
3.001%
 
B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC (DTR5.3.1.1 (a))
Type of financial instrument
Expirationdatex
Exercise/Conversion Periodxi
Number of voting rights that may be acquired if the instrument is
exercised/converted.
% of voting rights
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
SUBTOTAL 8. B 1
 
 
 
B 2: Financial Instruments with similar economic effect according to Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b))
Type of financial instrument
Expirationdatex
Exercise/Conversion Period xi
Physical or cash
settlementxii
Number of voting rights
% of voting rights
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
SUBTOTAL 8.B.2
 
 
 
 
 
 
 
 
 
 
 
 
 
9. Information in relation to the person subject to the notification obligation (please mark the
applicable box with an "X")
Person subject to the notification obligation is not controlled by any natural person or legal entity and does not control any other undertaking(s) holding directly or indirectly an interest in the (underlying) issuerxiii
X
Full chain of controlled undertakings through which the voting rights and/or thefinancial instruments are effectively held starting with the ultimate controlling natural person or legal entityxiv (please add additional rows as necessary)
 
Namexv
% of voting rights if it equals or is higher than the notifiable threshold
% of voting rights through financial instruments if it equals or is higher than the notifiable threshold
Total of both if it equals or is higher than the notifiable threshold
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
10. In case of proxy voting, please identify:
Name of the proxy holder
 
The number and % of voting rights held
 
The date until which the voting rights will be held
 
 
11. Additional informationxvi
 
 
 
 
 
 
 
Place of completion
Oslo, Norway
Date of completion
20/12/2018 
 
 
 
Exhibit No. 6
 
 
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
 
 
Janet Ashley
2
 
Reason for the notification
 
a)
 
Position/status
 
 
Person Closely Associated to Mike Ashley, Non-executive Director
b)
 
Initial notification /Amendment
 
 
Initial notification
3
 
Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
 
a)
 
Name
 
 
Barclays PLC
b)
 
LEI
 
 
213800LBQA1Y9L22JB70
4
 
Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted
 
 
a)
 
Description of the financial instrument, type of instrument
 
Identification code
 
 
Ordinary shares in Barclays PLC with a nominal value of 25 pence each ("Shares")
 
GB0031348658
 
 
b)
 
Nature of the transaction
 
 
Purchase of shares
c)
 
Price(s) and volume(s)
 
 
Price(s)
 
Volume(s): Number of Shares received
£1.47536
33,890
 
d)
 
Aggregated information
 
 
- Aggregated volume
 
 
- Price
 
 
N/A
 
 
 
 
e)
 
Date of the transaction
 
 
2018-12-21
f)
 
Place of the transaction
 
 
London Stock Exchange (XLON)
 
 
For further information please contact:
 
Investor Relations
Media Relations
Lisa Bartrip
Tom Hoskin
+44 (0)20 7773 0708
+44 (0)20 7116 4755
 
 
 
Exhibit No. 7 
 
 
 
2 January 2019
 
Barclays PLC - Total Voting Rights
 
In accordance with the Financial Conduct Authority's (FCA) Disclosure Guidance and Transparency Rule 5.6.1R, Barclays PLC notifies the market that as of 31 December 2018, Barclays PLC's issued share capital consists of 17,132,806,284 Ordinary shares with voting rights.
 
There are no Ordinary shares held in Treasury.
 
The above figure (17,132,806,284) may be used by shareholders (and others with notification obligations) as the denominator for the calculation by which they will determine if they are required to notify their interest in, or a change to their interest in, Barclays PLC under the FCA's Disclosure Guidance and Transparency Rules.   
 
- Ends -
 
 
For further information, please contact:
 
Investor Relations
Media Relations
Lisa Bartrip
Tom Hoskin
+44 (0) 20 7773 0708
+44 (0) 20 7116 6927