For filings with the FCA include the annex |
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For filings with issuer exclude the annex |
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TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARESi |
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1. Identity of the issuer or the underlying issuer |
Barclays plc |
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2 Reason for the notification (please tick the appropriate box or boxes): |
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An acquisition or disposal of voting rights |
X |
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An acquisition or disposal of qualifying financial instruments which may result in the acquisition of shares already issued to which voting rights are attached |
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An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments |
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An event changing the breakdown of voting rights |
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Other (please specify): |
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3. Full name of person(s) subject to the |
The Capital Group Companies, Inc. |
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4. Full name of shareholder(s) |
See Schedule A |
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5. Date of the transaction and date on |
28 November 2013 |
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6. Date on which issuer notified: |
29 November 2013 |
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7. Threshold(s) that is/are crossed or |
Above 5% |
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8. Notified details: |
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A: Voting rights attached to shares viii, ix |
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Class/type of
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Situation previous |
Resulting situation after the triggering transaction |
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Number |
Number |
Number |
Number of voting |
% of voting rights x |
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Direct |
Direct xi |
Indirect xii |
Direct |
Indirect |
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Ordinary (ISIN: GB0031348658) |
799,167,880 |
799,167,880 |
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807,727,880 |
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5.0180% |
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ADRs (ISIN: US06738E2046) |
361,579 |
1,446,316 |
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1,446,316 |
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0.0090% |
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B: Qualifying Financial Instruments |
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Resulting situation after the triggering transaction |
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Type of financial |
Expiration |
Exercise/ |
Number of voting |
% of voting |
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C: Financial Instruments with similar economic effect to Qualifying Financial Instruments xv, xvi |
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Resulting situation after the triggering transaction |
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Type of financial |
Exercise price |
Expiration date xvii |
Exercise/ |
Number of voting rights instrument refers to
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% of voting rights xix, xx
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Nominal |
Delta |
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Total (A+B+C) |
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Number of voting rights |
Percentage of voting rights |
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809,174,196 |
5.0270% |
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9. Chain of controlled undertakings through which the voting rights and/or the |
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See Schedule A |
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Proxy Voting: |
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10. Name of the proxy holder: |
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11. Number of voting rights proxy holder will cease |
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12. Date on which proxy holder will cease to hold |
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14. Contact name: |
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15. Contact telephone number: |
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Note: Annex should only be submitted to the FCA not the issuer |
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Annex: Notification of major interests in share |
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A: Identity of the persons or legal entity subject to the notification obligation |
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Full name (including legal form of legal entities)
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The Capital Group Companies, Inc. |
Contact address (registered office for legal entities)
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333 South Hope Street, 55th Floor Los Angeles, California 90071 |
Phone number & email
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(213) 615-0469 & GRGroup@capgroup.com |
Other useful information (at least legal representative for legal persons)
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B: Identity of the notifier, if applicable |
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Full name
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Christopher Aquino |
Contact address
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333 South Hope Street, 55th Floor Los Angeles, California 90071 |
Phone number & email
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(213) 615-0469 & GRGroup@capgroup.com |
Other useful information (e.g. functional relationship with the person or legal entity subject to the notification obligation) |
Fax: (213) 615-4056 |
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C: Additional information |
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For notes on how to complete form TR-1 please see the FCA website. |
Schedule A
As of 28 November 2013
Barclays plc
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Number of Shares
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Percent of Outstanding |
The Capital Group Companies, Inc. ("CG") holdings
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809,174,196 |
5.027% |
Holdings by CG Management Companies and Funds: |
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· Capital Guardian Trust Company
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85,720,492 |
0.533% |
· Capital International Limited
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1,932,850 |
0.012% |
· Capital International SÁrl
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3,207,275 |
0.020% |
· Capital International, Inc
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1,549,155 |
0.010% |
· Capital Research and Management Company |
716,764,424 |
4.453% |
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