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 | ||||