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Barclays PLC — Audit Report / Information 2018
Feb 21, 2019
5250_rns_2019-02-21_35e4b96a-abad-4471-ad8f-44eaa484a1d6.pdf
Audit Report / Information
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Barclays PLC Pillar 3 Terms and Conditions of Capital Resources I 1
Barclays PLC
Pillar 3 Terms and Conditions of Capital Resources
31 December 2018
Supplement to Barclays PLC Pillar 3 Report 2018
Introductory notes
This worksheet complements the Barclays PLC Pillar 3 Report 2018, available from home.barclays/annualreport. It contains detailed information on the terms and conditions of capital resources in accordance with Article 437 (1)(b) of the CRR and the associated implementing technical standards. The full prospectus associated with each instrument can be found at the following sites barclays.com/prospectuses-and-documentation/capital-securities-documentation.html and home.barclays/about-barclays/barclays-corporate-governance/sur-framework-code-and-rules.html.
The Capital Requirements Regulation and Capital Requirements Directive implemented Basel 3 within the EU (collectively known as CRD IV) on 1 January 2014. The rules are supplemented by Regulatory Technical Standards and the PRA's rulebook, including the implementation of transitional rules. However, rules and guidance are subject to change as certain aspects of CRD IV are dependent on final technical standards and clarifications to be issued by the EBA and adopted by the European Commission and the PRA. Assumptions on the regulatory treatment under the CRR reflect Barclays' interpretation of the current rules.
Forward-looking statements
This document contains certain forward-looking statements within the meaning of Section 21E of the US Securities Exchange Act of 1934, as amended, and Section 27A of the US Securities Act of 1933, as amended, with respect to the Barclays Group. Barclays cautions readers that no forward-looking statement is a guarantee of future performance and that actual results or other financial condition or performance measures could differ materially from those contained in the forward-looking statements. These forward-looking statements can be identified by the fact that they do not relate only to historical or current facts. Forward-looking statements sometimes use words such as 'may', 'will', 'seek', 'continue', 'aim', 'anticipate', 'target', 'projected', 'expect', 'estimate', 'intend', 'plan', 'goal', 'believe', 'achieve' or other words of similar meaning. Examples of forward-looking statements include, among others, statements or guidance regarding or relating to the Barclays Group's future financial position, income growth, assets, impairment charges, provisions, business strategy, capital, leverage and other regulatory ratios, payment of dividends (including dividend payout ratios and expected payment strategies), projected levels of growth in the banking and financial markets, projected costs or savings, any commitments and targets, estimates of capital expenditures, plans and objectives for future operations, projected employee numbers, IFRS 9 impacts and other statements that are not historical fact. By their nature, forward-looking statements involve risk and uncertainty because they relate to future events and circumstances. These may be affected by changes in legislation, the development of standards and interpretations under International Financial Reporting Standards including the continuing impact of IFRS 9 implementation, evolving practices with regard to the interpretation and application of accounting and regulatory standards, the outcome of current and future legal proceedings and regulatory investigations, future levels of conduct provisions, the policies and actions of governmental and regulatory authorities, geopolitical risks and the impact of competition. In addition, factors including (but not limited to) the following may have an effect: capital, leverage and other regulatory rules applicable to past, current and future periods; UK, US, Eurozone and global macroeconomic and business conditions; the effects of any volatility in credit markets; market related risks such as changes in interest rates and foreign exchange rates; effects of changes in valuation of credit market exposures; changes in valuation of issued securities; volatility in capital markets; changes in credit ratings of any entities within the Barclays Group or any securities issued by such entities; the potential for one or more countries exiting the Eurozone; instability as a result of the exit by the United Kingdom from the European Union and the disruption that may subsequently result in the UK and global and the success of future acquisitions, disposals and other strategic transactions. A number of these influences and factors are beyond the Barclays Group's control. As a result, the Barclays Group's actual future results, dividend payments, and capital and leverage ratios may differ materially from the plans, goals, expectations and guidance set forth in the Barclays Group's forward-looking statements. Additional risks and factors which may impact the Barclays Group's future financial condition and performance are identified in our filings with the SEC (including, without limitation, our Annual Report on Form 20-F for the fiscal year ended 31 December 2018), which are available on the SEC's website at www.sec.gov. Subject to our obligations under the applicable laws and regulations of the United Kingdom and the United States in relation to disclosure and ongoing information, we undertake no obligation to update publicly or revise any forward-looking statements, whether as a result of new information, future events or otherwise.
Barclays PLC Pillar 3 Terms and Conditions of Capital Resources | 2
Capital Instruments main features template
| 1 | Issuer | Barclays PLC | Barclays PLC | Barclays PLC | Barclays PLC | Barclays PLC | Barclays PLC | Barclays PLC | Barclays PLC |
|---|---|---|---|---|---|---|---|---|---|
| 2 | Unique identifier (eg CUSIP, ISIN or Bloomberg identifier for private placement) | CB0031348658 | R51068561098 | US6673864811 | R51068574828 | R51082861758 | R51481041587 | R51274156097 | R51571333811 |
| 3 | Governing (ew(s)) of the instrument | United Kingdom | New York, except subordination provisions and waiver of set-off provisions which are governed by English law | New York, except subordination provisions and waiver of set-off provisions which are governed by English law | New York, except subordination provisions and waiver of set-off provisions which are governed by English law | New York, except subordination provisions and waiver of set-off provisions which are governed by English law | English | English | English |
| Regulatory treatment | |||||||||
| 4 | Transitional CRR rules | Common Equity Tier 1 | Additional Tier 1 | Additional Tier 1 | Additional Tier 1 | Additional Tier 1 | Additional Tier 1 | Additional Tier 1 | Additional Tier 1 |
| 5 | Post-transitional CRR rules | Common Equity Tier 1 | Additional Tier 1 | Additional Tier 1 | Additional Tier 1 | Additional Tier 1 | Additional Tier 1 | Additional Tier 1 | Additional Tier 1 |
| 6 | Eligible at w/o/ (sub-)consolidated/ solid(sub-)consolidated | Consolidated | Consolidated | Consolidated | Consolidated | Consolidated | Consolidated | Consolidated | Consolidated |
| 7 | Instrument type (types to be specified by each jurisdiction) | Perpetual Deeply Subordinated Contingent Convertible Debt | Perpetual Deeply Subordinated Contingent Convertible Debt | Perpetual Deeply Subordinated Contingent Convertible Debt | Perpetual Deeply Subordinated Contingent Convertible Debt | Perpetual Deeply Subordinated Contingent Convertible Debt | Perpetual Deeply Subordinated Contingent Convertible Debt | Perpetual Deeply Subordinated Contingent Convertible Debt | Perpetual Deeply Subordinated Contingent Convertible Debt |
| 8 | Amount recognised in regulatory capital (Currency in million, as of most recent reporting date) | £4,283m | £711m | £836m | £101m | £113m | £113m | £113m | £1236m |
| 9 | Nominal amount of instrument | £0.25 per ordinary share | £698m | USD 1211m, £714m | EUR 1077m, £860m | EUR 1000m, £828m | USD 1500m, £1143m | £1000m | £1230m |
| 9a | Issue price | The original authorised share capital at 20 July 1896 was £6,000,000 divided into 300,000 shares of £20 each. On 23 July 1896 250,000 ordinary shares of £20 each were issued, having £8 per share paid up. However, there have been many restructurings since then and the shares have been issued at other prices over time | 100.000% | 100.000% | 100.000% | 100.000% | 99.996% | 99.996% | 99.996% |
| 9b | Redemption price | N/A | 100.000% | 100.000% | 100.000% | 100.000% | 100.000% | 100.000% | 100.000% |
| 10 | Accounting classification | Shareholders' equity | Shareholders' equity | Shareholders' equity | Shareholders' equity | Shareholders' equity | Shareholders' equity | Shareholders' equity | Shareholders' equity |
| 11 | Original date of issuance | 20/07/1896 | 17/06/2014 | 17/06/2014 | 17/06/2014 | 10/12/2013 | 11/08/2016 | 11/08/2015 | 10/03/2017 |
| 12 | Perpetual or dated | Perpetual | Perpetual | Perpetual | Perpetual | Perpetual | Perpetual | Perpetual | Perpetual |
| 13 | Original maturity date | No maturity | No maturity | No maturity | No maturity | No maturity | No maturity | No maturity | No maturity |
| 14 | Issuer call subject to prior supervisory approval | N/A | Yes | Yes | Yes | Yes | Yes | Yes | Yes |
| 15 | Optional call date, contingent call dates and redemption amount | N/A | Optional call on 15/09/2019 at 100%, Also tax and regulatory event calls | Optional call on 15/09/2019 at 100%, Also tax and regulatory event calls | Optional call on 15/09/2019 at 100%, Also tax and regulatory event calls | Optional call on 15/12/2020 at 100%, Also tax and regulatory event calls | Optional call on 15/03/2022 at 100%, Also tax and regulatory event calls | Optional call on 15/03/2022 at 100%, Also tax and regulatory event calls | Optional call on 15/03/2023 at 100%, Also tax and regulatory event calls |
| 16 | Subsequent call dates, if applicable | N/A | Optional call on 15/09/2024 and each fifth anniversary date thereafter | Optional call on 15/09/2024 and each fifth anniversary date thereafter | Optional call on 15/09/2024 and each fifth anniversary date thereafter | Optional call on 15/12/2023 and each fifth anniversary date thereafter | Optional call on 15/03/2027 and each fifth anniversary date thereafter | Optional call on 15/03/2027 and each fifth anniversary date thereafter | Optional call on 15/03/2028 and each fifth anniversary date thereafter |
| Coupons / dividends | |||||||||
| 17 | Fixed or floating dividend coupon | N/A | Fixed | Fixed | Fixed | Fixed | Fixed | Fixed | Fixed |
| 18 | Coupon rate and any related index | N/A | 7.0% to 15/09/2019. Resets on 15/09/2019 and on every fifth anniversary date thereafter to five year sterling LIBOR swap rate plus 5.084% | 6.625% to 15/09/2019. Resets on 15/09/2019 and on every fifth anniversary date thereafter to five year US dollar LIBOR swap rate plus 5.022% | 6.50% to 15/09/2019. Resets on 15/09/2019 and on every fifth anniversary date thereafter to five year EURIBOR swap rate plus 5.875% | 8.0% to 15/12/2020. Resets on 15/12/2020 and on every fifth anniversary date thereafter to five year EURIBOR swap rate plus 6.75% | 7.875% to 15/03/2022. Resets on 15/03/2022 and on every fifth anniversary date thereafter to five year US$1 Wal Market swap rate plus 6.772% | 7.875% to 15/09/2022. Resets on 15/09/2022 and on every fifth anniversary date thereafter to five year sterling LIBOR swap rate plus 6.099% | 7.250% to 15/03/2023. Resets on 15/03/2023 and on every fifth anniversary date thereafter to five year sterling LIBOR swap rate plus 6.462% |
| 19 | Existence of a dividend stopper | No | No | No | No | No | No | No | No |
| 20a | Fully discretionary, partially discretionary or mandatory (in terms of timing) | Fully discretionary | Fully discretionary | Fully discretionary | Fully discretionary | Fully discretionary | Fully discretionary | Fully discretionary | Fully discretionary |
| 20b | Fully discretionary, partially discretionary or mandatory (in terms of amount) | Fully discretionary | Fully discretionary | Fully discretionary | Fully discretionary | Fully discretionary | Fully discretionary | Fully discretionary | Fully discretionary |
| 21 | Existence of step up or other incentive to redeem | No | No | No | No | No | No | No | No |
| 22 | Noncumulative or cumulative | Noncumulative | Noncumulative | Noncumulative | Noncumulative | Noncumulative | Noncumulative | Noncumulative | Noncumulative |
| 23 | Convertible or nonconvertible | Non-convertible | Non-convertible | Convertible | Convertible | Convertible | Convertible | Convertible | Convertible |
| 24 | If convertible, conversion trigger(s) | N/A | Barclays Group CE11 Ratio falls below 7.00% (fully-loaded) | Barclays Group CE11 Ratio falls below 7.00% (fully-loaded) | Barclays Group CE11 Ratio falls below 7.00% (fully-loaded) | Barclays Group CE11 Ratio falls below 7.00% (fully-loaded) | Barclays Group CE11 Ratio falls below 7.00% (fully-loaded) | Barclays Group CE11 Ratio falls below 7.00% (fully-loaded) | Barclays Group CE11 Ratio falls below 7.00% (fully-loaded) |
| 25 | If convertible, fully or partially | N/A | Fully | Fully | Fully | Fully | Fully | Fully | Fully |
| 26 | If convertible, conversion rate | N/A | £1.65 per conversion share | USD 2.77 per conversion share | EUR 2.02 per conversion share | EUR 1.99 per conversion share | USD 1.99 per conversion share | EUR 1.65 per conversion share | EUR 1.65 per conversion share |
| 27 | If convertible, mandatory or optional conversion | N/A | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory |
| 28 | If convertible, specify instrument type convertible into | N/A | Common Equity Tier 1 - Ordinary shares | Common Equity Tier 1 - Ordinary shares | Common Equity Tier 1 - Ordinary shares | Common Equity Tier 1 - Ordinary shares | Common Equity Tier 1 - Ordinary shares | Common Equity Tier 1 - Ordinary shares | Common Equity Tier 1 - Ordinary shares |
| 29 | If convertible, specify issuer of instrument it converts into | N/A | Barclays PLC | Barclays PLC | Barclays PLC | Barclays PLC | Barclays PLC | Barclays PLC | Barclays PLC |
| 30 | Write-down features | No | No | No | No | No | No | No | No |
| 31 | If write-down, write-down trigger(s) | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 32 | If write-down, full or partial | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 33 | If write-down, permanent or temporary | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 34 | If temporary write-down, description of write-up mechanism | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 35 | Position in subordination hierarchy in liquidation (specify instrument type amount) | Perpetual Deeply Subordinated Contingent Convertible Debt | Dated Subordinated Debt | Dated Subordinated Debt | Dated Subordinated Debt | Dated Subordinated Debt | Dated Subordinated Debt | Dated Subordinated Debt | Dated Subordinated Debt |
| 36 | Non-compliant transformed features | No | No | No | No | No | No | No | No |
| 37 | If yes, specify non-compliant features | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
Barclays PLC Pillar 3 Terms and Conditions of Capital Resources | 3
Capital Instruments main features template
| 1 | Issuer | Barclays PLC | Barclays PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC |
|---|---|---|---|---|---|---|---|---|---|
| 2 | Unique identifier (eg CUSIP, ISIN or Bloomberg identifier for private placement) | US06738EBA29 | X51658012023 | X50214398199 | US06738CE284 | X50150052388 | X50155141830 / US06738CAG42 | X50305103482 | X50307801357 |
| 3 | Governing (ews) of the instrument | New York, except subordination provisions and waiver of set-off provisions which are governed by English law | English | English | Prefix - English / ADRs - New York | English | English | English | English |
| Regulatory treatment | |||||||||
| 4 | Transitional CRR rules | Additional Tier 1 | Additional Tier 1 | Additional Tier 1 | Additional Tier 1 | Additional Tier 1 | Additional Tier 1 | Additional Tier 1 | Additional Tier 1 |
| 5 | Post-transitional CRR rules | Additional Tier 1 | Additional Tier 1 | Tier 2 | Tier 2 | Tier 2 | Tier 2 | Ineligible | Ineligible |
| 6 | Eligible at who?(sub-)consolidated/ solid(sub-)consolidated | Consolidated | Sols and Consolidated | Sols and Consolidated | Sols and Consolidated | Sols and Consolidated | Sols and Consolidated | Sols and Consolidated | Sols and Consolidated |
| 7 | Instrument type (types to be specified by each jurisdiction) | Perpetual Deeply Subordinated Contingent Convertible Debt | Preference Shares | Preference Shares | Perpetual Deeply Subordinated Debt | Perpetual Deeply Subordinated Debt | Perpetual Deeply Subordinated Debt | Perpetual Deeply Subordinated Debt | Perpetual Deeply Subordinated Debt |
| 8 | Amount recognised in regulatory capital (Currency in million, as of most recent reporting date) | £1,925m | £1,244m | £211m | £318m | £16m | £199m | Nil | Nil |
| 9 | Nominal amount of instrument | USD 2500m; £1932m | £1250m | EUR 319m; £223m | USD 581m; £320m | £13m | USD 179m; £140m | £33m | £3000m |
| 9a | Issue price | 100.000% | 100.000% | 99.118% | 100.000% | 99.866% | 100.000% | 100.000% | 100.000% |
| 9b | Redemption price | 100.000% | 100.000% | 100.000% | 100.000% | 100.000% | 100.000% | 100.000% | 100.000% |
| 10 | Accounting classification | Shareholders' equity | Shareholders' equity (Sols)/Non-controlling interest (Consolidated) | Shareholders' equity (Sols)/Non-controlling interest (Consolidated) | Liability - amortised cost | Liability - amortised cost | Liability - amortised cost | Liability - amortised cost | Liability - amortised cost |
| 11 | Original date of issuance | 14/08/2018 | 10/08/2017 | 15/03/2005 | 08/08/2005 | 04/07/2002 | 25/09/2002 | 12/08/2007 | 27/11/2008 |
| 12 | Perpetual or dated | Perpetual | Perpetual | Perpetual | Perpetual | Perpetual | Perpetual | Perpetual | Perpetual |
| 13 | Original maturity date | No maturity | No maturity | No maturity | No maturity | No maturity | No maturity | No maturity | No maturity |
| 14 | Issuer call subject to prior supervisory approval | Yes | Yes | Yes | Yes | Yes | Yes | Yes | Yes |
| 15 | Optional call date, contingent call dates and redemption amount | Optional call on 15/09/2023 at 100%, Also tax and regulatory event calls | Optional call on 15/09/2024 at 100%, Also tax and regulatory event calls | 15/03/2020 at 100% | 15/12/2034 at 100% | 15/06/2032 at 100%, Can be exchanged; varied or redeemed for tax or regulatory reasons | 15/06/2032 at 100%, Can be exchanged; varied or redeemed for tax or regulatory reasons | 15/12/2019 at 100%, Also tax | 15/06/2019 at 100%, Also tax |
| 16 | Subsequent call dates, if applicable | Optional call on 15/09/2028 and each fifth anniversary date thereafter | Optional call on 15/09/2029 and each fifth anniversary date thereafter | Any Dividend Payment Date | Any Dividend Payment Date | Any Interest Payment Date | Any Interest Payment Date | Any Interest Payment Date | Any Interest Payment Date |
| Coupons / dividends | |||||||||
| 17 | Fixed or floating dividend/coupon | Fixed | Fixed | Fixed to floating | Fixed to floating | Fixed to floating | Fixed to floating | Fixed to floating | Fixed to floating |
| 18 | Coupon rate and any related index | 7.700% to 15/09/2025. Rewts on 15/09/2023 and on every fifth anniversary date thereafter to five year USD Mail Market swap rate plus 4.842% | 5.875% to 15/09/2024. Rewts on 15/09/2024 and on every fifth anniversary date thereafter to five year sterling LIBOR swap rate plus 4.910% | 4.75% to 15/03/2020, thereafter three month EURIBOR plus 0.71% | 6.278% to 15/12/2034, thereafter three month US dollar LIBOR plus 1.33% | 6.66% to 15/06/2032, thereafter six month Sterling LIBOR plus 0.09% | 6.86% to 15/06/2032, thereafter six month US dollar LIBOR plus 1.73% | 6.3688% to 15/12/2019, thereafter three month Sterling LIBOR plus 1.70% | 14% to 15/06/2019, thereafter three month Sterling LIBOR plus 1.34% |
| 19 | Existence of a dividend stopper | No | No | Yes | Yes | Yes | Yes | Yes | Yes |
| 20a | Fully discretionary, partially discretionary or mandatory (in terms of timing) | Fully discretionary | Fully discretionary | Fully discretionary | Fully discretionary | Partially discretionary | Partially discretionary | Fully discretionary | Fully discretionary |
| 20b | Fully discretionary, partially discretionary or mandatory (in terms of amount) | Fully discretionary | Fully discretionary | Fully discretionary | Fully discretionary | Mandatory | Mandatory | Mandatory | Mandatory |
| 21 | Existence of step up or other incentive to redeem | No | No | No | No | No | No | Yes | Yes |
| 22 | Noncumulative or cumulative | Noncumulative | Noncumulative | Noncumulative | Noncumulative | ACSM | ACSM | ACSM | ACSM |
| 23 | Convertible or non-convertible | Convertible | Convertible | Convertible | Convertible | Non-convertible | Non-convertible | Non-convertible | Non-convertible |
| 24 | If convertible, conversion trigger(s) | Barclays Group CET1 Ratio falls below 7.00% (fully-loaded) | Barclays Group CET1 Ratio falls below 7.00% (fully-loaded) | N/A | N/A | N/A | N/A | N/A | N/A |
| 25 | If convertible, fully or partially | Fully | Fully | N/A | N/A | N/A | N/A | N/A | N/A |
| 26 | If convertible, conversion rate | USD 2.14 per conversion share | £1.65 per conversion share | N/A | N/A | N/A | N/A | N/A | N/A |
| 27 | If convertible, mandatory or optional conversion | Mandatory | Mandatory | N/A | N/A | N/A | N/A | N/A | N/A |
| 28 | If convertible, specify instrument type convertible into | Common Equity Tier 1 - Ordinary shares | Common Equity Tier 1 - Ordinary shares | N/A | N/A | N/A | N/A | N/A | N/A |
| 29 | If convertible, specify issuer of instrument it converts into | Barclays PLC | Barclays PLC | N/A | N/A | N/A | N/A | N/A | N/A |
| 30 | Write-down features | No | No | No | No | No | No | No | No |
| 31 | If write-down, write-down trigger(s) | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 32 | If write-down, full or partial | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 33 | If write-down, permanent or temporary | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 34 | If temporary write-down, description of write-up mechanism | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 35 | Position in subordination hierarchy in liquidation (specify instrument type immediately senior to instrument) | Dated Subordinated Debt | Dated Subordinated Debt | Perpetual Subordinated Debt | Perpetual Subordinated Debt | Perpetual Subordinated Debt | Perpetual Subordinated Debt | Perpetual Subordinated Debt | Perpetual Subordinated Debt |
| 36 | Non-compliant transitioned features | No | No | Yes | Yes | Yes | Yes | Yes | Yes |
| 37 | If yes, specify non-compliant features | N/A | N/A | No CET1 Ratio trigger event | No CET1 Ratio trigger event | No CET1 Ratio trigger event | No CET1 Ratio trigger event | No CET1 Ratio trigger event | No CET1 Ratio trigger event |
Barclays PLC Pillar 3 Terms and Conditions of Capital Resources | 4
Capital Instruments main features template
| 1 | Issuer | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC |
|---|---|---|---|---|---|---|---|---|---|
| 2 | (Unique identifier (eg CUSIP, ISIN or Bloomberg identifier for private placement) | X50348675364 | X50118932366 | X50145875513 | CB0000784184 | X50071014615 | X50071252919 | X50046132014 / CB0000870369 | JPT Bbr 5.03% RDCUSL |
| 3 | Governing (ew(s)) of the instrument | English | English | English | English | English | English | English | English |
| 4 | Regulatory treatment | Additional Tier 1 | Tier 2 | Tier 2 | Tier 2 | Tier 2 | Tier 2 | Tier 2 | Tier 2 |
| 5 | Post-tranctional CRR rules | Ineligible | Ineligible | Ineligible | Ineligible | Ineligible | Ineligible | Ineligible | Ineligible |
| 6 | Eligible at solo (Sudo (consolidated/ solid) (sub-)consolidated | Solo and Consolidated | Solo and Consolidated | Solo and Consolidated | Solo and Consolidated | Solo and Consolidated | Solo and Consolidated | Solo and Consolidated | Solo and Consolidated |
| 7 | Instrument type (types to be specified by each jurisdiction) | Perpetual Deeply Subordinated Debt | Perpetual Subordinated Debt | Perpetual Subordinated Debt | Perpetual Subordinated Debt | Perpetual Subordinated Debt | Perpetual Subordinated Debt | Perpetual Subordinated Debt | Perpetual Subordinated Debt |
| 8 | Amount recognized in regulatory capital (Currency in million, as of most recent reporting date) | Nil | Nil | Nil | £29m | Nil | Nil | £45m | Nil |
| 9 | Nominal amount of instrument | £35m | £158m | £34m | USD 132m; £103m | £21m | £75m | £40m | JPY 8000m; £57m |
| 9a | Issue price | 100.000% | GBP275m @ 99.593%; GBP250m @ 104.218% | GBP400m @ 98.659%; GBP150m @ 108.617% | 100.000% | 100.000% | 99.394% | 100.458% | 100.000% |
| 9b | Redemption price | 100.000% | 100.000% | 100.000% | 100.000% | 100.000% | 100.000% | 100% after 10/10/2023, or the higher of 100% or a price arrived at by reference to the gross redemption yield of a benchmark gilt on or before 10/10/2023 | 100.000% |
| 10 | Accounting classification | Liability - amortised cost | Liability - amortised cost (solo)/Non-controlling interest (Consolidated) | Liability - amortised cost (solo)/Non-controlling interest (Consolidated) | Liability - amortised cost | Liability - amortised cost (solo)/Non-controlling interest (Consolidated) | Liability - amortised cost (solo)/Non-controlling interest (Consolidated) | Liability - amortised cost (solo)/Non-controlling interest (Consolidated) | Liability - amortised cost (solo)/Non-controlling interest (Consolidated) |
| 11 | Original date of issuance | 31/03/2006 | 24/10/2000 | 19/04/2002 | 01/11/1984 | 16/10/1989 | 27/11/1996 | 11/10/1993 | 27/02/1998 |
| 12 | Perpetual or dated | Perpetual | Perpetual | Perpetual | Perpetual | Perpetual | Perpetual | Perpetual | Perpetual |
| 13 | Original maturity date | No maturity | No maturity | No maturity | No maturity | No maturity | No maturity | No maturity | No maturity |
| 14 | Issuer call subject to prior supervisory approval | Yes | Yes | Yes | Yes | Yes | Yes | Yes | Yes |
| 15 | Optional call date, contingent call dates and redemption amount | 15/12/2036 at 100%. Also tax and regulatory event calls | 24/10/2020 at 100%. Also tax event call at 100% | 19/04/2027 at 100%. Also tax event call at 100% | Any Interest Payment Date at 100%. Also tax event call | Any Interest Payment Date at 100%. Also tax event call | 27/11/2021 at 100%. Also tax event call at 100% | Any time. Also tax event call at 100% | 28/04/2028 at 100%. Also tax event call at 100% |
| 16 | Subsequent call dates, if applicable | Any Interest Payment Date | Every 5 years thereafter | Every 5 years thereafter | N/A | N/A | Every 5 years thereafter | N/A | Every 5 years thereafter |
| 17 | Coupons / dividends | Fixed to floating | Fixed | Fixed | Floating | Floating | Fixed | Fixed | Fixed to floating |
| 18 | Fixed or floating dividend/coupon | 5.3304% to 15/12/2036, thereafter three month Sterling LIBOR plus 1.985% | 7.125% to 24/10/2020, thereafter most every five years by reference to the gross redemption yield of a benchmark gilt plus 3.15% | 6.125% to 19/04/2027, thereafter most every five years by reference to the gross redemption yield of a benchmark gilt plus 2.07% | Six month US dollar LIBOR plus 0.25% | Three month Sterling LIBOR plus 1% | 9.25% to 27/11/2021, thereafter most every five years by reference to the gross redemption yield of a benchmark gilt plus 2.25% | 9.000% | 5.03% to 28/04/2028 on US dollars 62,992,000. Thereafter six month JPY LIBOR plus 1.32% on JPY 8 billion |
| 19 | Existence of a dividend stopper | Yes | No | No | No | No | No | No | No |
| 20a | Fully discretionary, partially discretionary or mandatory (in terms of timing) | Fully discretionary | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory |
| 20b | Fully discretionary, partially discretionary or mandatory (in terms of amount) | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory |
| 21 | Existence of step up or other incentive to redeem | Yes | Yes | Yes | No | Yes | Yes | No | Yes |
| 22 | Noncumulative or cumulative | ACSM | Cumulative | Cumulative | Cumulative | Cumulative | Cumulative | Cumulative | Cumulative |
| 23 | Convertible or non-convertible | Non-convertible | Non-convertible | Non-convertible | Non-convertible | Non-convertible | Non-convertible | Non-convertible | Non-convertible |
| 24 | If convertible, conversion trigger(s) | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 25 | If convertible, fully or partially | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 26 | If convertible, conversion rate | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 27 | If convertible, mandatory or optional conversion | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 28 | If convertible, specify instrument type convertible into | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 29 | If convertible, specify issuer of instrument it converts into | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 30 | Write-down features | No | No | No | No | No | No | No | No |
| 31 | If write-down, write-down trigger(s) | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 32 | If write-down, full or partial | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 33 | If write-down, permanent or temporary | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 34 | If temporary write-down, description of write-up mechanism | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 35 | Position in subordinator hierarchy in liquidation (specify instrument type immediately senior to instrument) | Perpetual Subordinated Debt | Junior Subordinated Debt | Junior Subordinated Debt | Dated Subordinated Debt and Dated Subordinated Contingent Capital Debt | Junior Subordinated Debt | Junior Subordinated Debt | Junior Subordinated Debt | Junior Subordinated Debt |
| 36 | Non-compliant transformed features | Yes | Yes | Yes | No | Yes | Yes | No | Yes |
| 37 | If yes, specify non-compliant features | No CET1 Ratio trigger event | Instrument contains an incentive to redeem | Instrument contains an incentive to redeem | N/A | Instrument had an incentive to redeem in the past | Instrument contains an incentive to redeem | N/A | Instrument contains an incentive to redeem |
Barclays PLC Pillar 3 Terms and Conditions of Capital Resources | 3
Capital Instruments main features template
| 1 | Issuer | Barclays Bank PLC | Barclays Bank PLC | Barclays P&K | Barclays PLC | Barclays PLC | Barclays PLC | Barclays PLC | Barclays PLC |
|---|---|---|---|---|---|---|---|---|---|
| 2 | Unique identifier (eg CUSIP, ISIN or Bloomberg identifier for private placement) | JPY 12bn $100% RDCUSL | CBR000777705 | XS1519647068 | XS1678970291 | US06738EAC03 | XS1722863054 | US06738EAP07 | |
| 3 | Governing (we(s) of the instrument | English | English | English | English | English | New York except subordination and waiver of set-off provisions which are English law | English | New York except subordination and waiver of set-off provisions which are English law |
| Regulatory treatment | |||||||||
| 4 | Transitional CRR rules | Tier 2 | Tier 2 | Tier 2 | Tier 2 | Tier 2 | Tier 2 | Tier 2 | Tier 2 |
| 5 | Post-transitional CRR rules | Ineligible | Tier 2 | Tier 2 | Tier 2 | Tier 2 | Tier 2 | Tier 2 | Tier 2 |
| 6 | Eligible at solo (sub-)consolidated/ solid(s) (consolidated) | Solo and Consolidated | Solo and Consolidated | Consolidated | Consolidated | Consolidated | Consolidated | Consolidated | Consolidated |
| 7 | Instrument type (types to be specified by each jurisdiction) | Perpetual Subordinated Debt | Perpetual Subordinated Debt | Dated Subordinated Debt | Dated Subordinated Debt | Dated Subordinated Debt | Dated Subordinated Debt | Dated Subordinated Debt | Dated Subordinated Debt |
| 8 | Amount recognised in regulatory capital (Currency in million, as of most recent reporting date) | Nil | £199m | £120m | £124m | £193m | £115m | £115m | £144m |
| 9 | Nominal amount of instrument | JPY 12000m; £85m | USD 167m; £131m | USD 295m; £231m | EUR 1250m; £1120m | EUR 1500m; £1544m | USD 1250m; £978m | SGD 200m; £115m | USD 2050m; £1604m |
| 9a | Issue price | 100.000% | 100.000% | 100.000% | 99.497% | 99.437% | 99.848% | 100.000% | USD 1250m @ 99.992%; USD 800m @ 102.789% |
| 9b | Redemption price | 100.000% | 100.000% | 100.000% | 100.000% | 100.000% | 100.000% | 100.000% | 100.000% |
| 10 | Accounting classification | Liability - amortised cost (solo)/Non-controlling interest (Consolidated) | Liability - amortised cost (solo)/Non-controlling interest (Consolidated) | Liability - amortised cost (solo)/Non-controlling interest (Consolidated) | Liability - amortised cost | Liability - amortised cost | Liability - amortised cost | Liability - amortised cost | Liability - amortised cost |
| 11 | Original date of issuance | 29/05/1998 | 02/07/1985 | 14/02/1986 | 11/11/2015 | 07/09/2017 | 11/09/2014 | 23/11/2017 | 12/05/2016 |
| 12 | Perpetual or dated | Perpetual | Perpetual | Perpetual | Dated | Dated | Dated | Dated | Dated |
| 13 | Original maturity date | No maturity | No maturity | No maturity | 11/11/2025 | 07/02/2028 | 11/09/2024 | 23/05/2030 | 12/05/2026 |
| 14 | Issuer call subject to prior supervisory approval | Yes | Yes | Yes | Yes | Yes | Yes | Yes | Yes |
| 15 | Optional call date, contingent call dates and redemption amount | 30/10/2028 at 100%, Also tax event call at 100% | Any Interest Payment Date at 100%, Also tax event call | Any Interest Payment Date at 100%, Also tax event call | 11/11/2020 at 100% plus tax and regulatory event calls | 07/02/2023 at 100% plus tax and regulatory event calls at 100% | Tax and regulatory event calls | 23/05/2025 at 100% plus tax and regulatory event calls at 100% | Tax and regulatory event calls |
| 16 | Subsequent call dates, if applicable | Every 5 years thereafter | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| Coupons / dividends | |||||||||
| 17 | Fixed or floating dividend/coupon | Fixed to floating | Floating | Floating | Fixed | Fixed | Fixed | Fixed | Fixed |
| 18 | Coupon rate and any related index | 3.00% to 30/10/2028 on US dollars 90,293,454. Thereafter six month JPY LIBOR plus 1.32% on JPY 12 billion | Six month US dollar LIBOR plus 0.25% | Six month US dollar LIBOR plus 0.25% | 2.625% to 11/11/2020. Thereafter five year EURIBOR mid swap rate plus 2.45% | 2.000% to 07/02/2023. Thereafter five year EURIBOR mid swap rate plus 1.900% | 4.375% | 3.750% to 23/05/2025. Thereafter five year SGD SOR mid swap rate plus 1.589% | 5.200% |
| 19 | Existence of a dividend stopper | No | No | No | No | No | No | No | No |
| 20a | Fully discretionary, partially discretionary or mandatory (in terms of timing) | Mandatory | Partially discretionary | Partially discretionary | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory |
| 20b | Fully discretionary, partially discretionary or mandatory (in terms of amount) | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory |
| 21 | Existence of step up or other incentive to redeem | Yes | No | No | No | No | No | No | No |
| 22 | Noncompliant or cumulative | Cumulative | Cumulative | Cumulative | Cumulative | Cumulative | Cumulative | Cumulative | Cumulative |
| 23 | Convertible or non-convertible | Non-convertible | Non-convertible | Non-convertible | Non-convertible | Non-convertible | Non-convertible | Non-convertible | Non-convertible |
| 24 | If convertible, conversion trigger(s) | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 25 | If convertible, fully or partially | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 26 | If convertible, conversion rate | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 27 | If convertible, mandatory or optional conversion | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 28 | If convertible, specify instrument type convertible into | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 29 | If convertible, specify issuer of instrument it converts into | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 30 | Write-down features | No | No | No | No | No | No | No | No |
| 31 | If write-down, write-down trigger(s) | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 32 | If write-down, full or partial | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 33 | If write-down, permanent or temporary | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 34 | If temporary write-down, description of write-up mechanism | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 35 | Position in subordination hierarchy in liquidation (specify instrument type immediately senior to instrument) | Junior Subordinated Debt | Junior Subordinated Debt | Junior Subordinated Debt | Unsecured and Unsubordinated Debt | Unsecured and Unsubordinated Debt | Unsecured and Unsubordinated Debt | Unsecured and Unsubordinated Debt | Unsecured and Unsubordinated Debt |
| 36 | Non-compliant transitioned features | Yes | No | No | No | No | No | No | No |
| 37 | If yes, specify non-compliant features | Instrument contains an incentive to redeem | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
Barclays PLC Pillar 3 Terms and Conditions of Capital Resources
Capital Instruments main features template
| 1 | Issuer | Barclays PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC |
|---|---|---|---|---|---|---|---|---|---|
| 2 | Unique identifier (eg CUSIP, ISIN or Bloomberg identifier for private placement) | US06738E/H457 | X50102643169 | US06739GBP37 | X50525912449 | X50568009637 | X50126504421 | X50429325748 | X50432830734 / US06739PFL83 |
| 3 | Covering (ew(s) of the instrument | New York except subordination and waiver of set-off provisions which are English law | English | New York except subordination provisions which are English law (no contractual acknowledgement of UK bail-in) | English | English | English | English | English |
| Regulatory treatment | |||||||||
| 4 | Transitional CBR rules | Tier 2 | Tier 2 | Tier 2 | Tier 2 | Tier 2 | Tier 2 | Tier 2 | Tier 2 |
| 5 | Post-transitional CBR rules | Tier 2 | Tier 2 | Tier 2 | Tier 2 | Tier 2 | Tier 2 | Tier 2 | Tier 2 |
| 6 | Eligible at solo (sub-)consolidated/ solid (sub-)consolidated | Consolidated | Solo and Consolidated | Solo and Consolidated | Solo and Consolidated | Solo and Consolidated | Solo and Consolidated | Solo and Consolidated | Solo and Consolidated |
| 7 | Instrument type (types to be specified by each jurisdiction) | Dated Subordinated Debt | Dated Subordinated Debt | Dated Subordinated Debt | Dated Subordinated Debt | Dated Subordinated Debt | Dated Subordinated Debt | Dated Subordinated Debt | Dated Subordinated Debt |
| 8 | Amount recognised in regulatory capital (Currency in million, as of most recent reporting date) | £1,512m | £7m | £309m | £129m | £40m | £990m | £557m | £557m |
| 9 | Nominal amount of instrument | USD 2000m; £1565m | EUR 50m; £45m | USD 1094m; £856m | EUR 1500m; £1344m | £200m | EUR 100m; £90m | £1961m | USD 1521m; £1190m |
| No | Issue price | 100,000% | 99,840% | 99,930% | 99,875% | 99,542% | 100,500% | 99,248% | 100,000% |
| 9b | Redemption price | 100,000% | 100,000% | 100,000% | 100,000% | 100,000% | 100,000% | 100,000% | 100,000% |
| 10 | Accounting classification | Liability - amortised cost | Liability - amortised cost | Liability - amortised cost | Liability - amortised cost | Liability - amortised cost | Liability - amortised cost | Liability - amortised cost | Liability - amortised cost |
| 11 | Original date of issuance | 09/05/2017 | 30/09/1999 | 14/10/2010 | 14/07/2010 | 07/08/1996 | 22/03/2001 | 21/05/2009 | 12/06/2009 |
| 12 | Perpetual or dated | Dated | Dated | Dated | Dated | Dated | Dated | Dated | Dated |
| 13 | Original maturity date | 09/05/2028 | 15/10/2019 | 14/10/2020 | 14/01/2021 | 07/09/2021 | 22/03/2021 | 21/05/2021 | 12/06/2021 |
| 14 | Issuer call subject to prior supervisory approval | Yes | Yes | Yes | Yes | Yes | Yes | Yes | Yes |
| 15 | Optional call date, contingent call dates and redemption amount | 07/05/2027 at 100% plus tax and regulatory event calls at 100% | Tax event only at 100% | Tax event only at 100% | Tax event only at 100% | Tax event only at 100% | Tax event only at 100% | Tax event only at 100% | Tax event only at 100% |
| 16 | Subsequent call dates, if applicable | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| Coupons / dividends | |||||||||
| 17 | Fixed or floating dividend/coupon | Fixed | Floating | Fixed | Fixed | Fixed | Floating | Fixed | Fixed |
| 18 | Coupon rate and any related index | 4.836% | Six month EURIBOR plus 0.50% | 5.140% | 6.000% | 9.500% | Three month EURIBOR plus 0.47% | 10,000% | 10,179% |
| 19 | Existence of a dividend stopper | No | No | No | No | No | No | No | No |
| 20a | Fully discretionary, partially discretionary or mandatory (in terms of timing) | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory |
| 20b | Fully discretionary, partially discretionary or mandatory (in terms of amount) | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory |
| 21 | Existence of step up or other incentive to redeem | No | No | No | No | No | No | No | No |
| 22 | Noncumulative or cumulative | Cumulative | Cumulative | Cumulative | Cumulative | Cumulative | Cumulative | Cumulative | Cumulative |
| 23 | Convertible or non-convertible | Non-convertible | Non-convertible | Non-convertible | Non-convertible | Non-convertible | Non-convertible | Non-convertible | Non-convertible |
| 24 | If convertible, conversion trigger(s) | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 25 | If convertible, fully or partially | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 26 | If convertible, conversion rate | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 27 | If convertible, mandatory or optional conversion | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 28 | If convertible, specify instrument type convertible into | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 29 | If convertible, specify issuer of instrument it converts into | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 30 | Write-down features | No | No | No | No | No | No | No | No |
| 31 | If write-down, write-down trigger(s) | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 32 | If write-down, full or partial | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 33 | If write-down, permanent or temporary | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 34 | If temporary write-down, description of write-up mechanism | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 35 | Position in subordination hierarchy in liquidation (specify instrument type immediately senior to instrument) | Unsecured and Unsubordinated Debt | Dated secondary non-preferential debt | Dated secondary non-preferential debt | Dated secondary non-preferential debt | Dated secondary non-preferential debt | Dated secondary non-preferential debt | Dated secondary non-preferential debt | Dated secondary non-preferential debt |
| 36 | Non-compliant transitioned features | No | No | No | No | No | No | No | No |
| 37 | If yes, specify non-compliant features | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
Barclays PLC Pillar 3 Terms and Conditions of Capital Resources | 7
Capital Instruments main features template
| 1 | Issuer | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC |
|---|---|---|---|---|---|---|---|---|---|
| 2 | Unique identifier (eg CUSIP, ISIN or Bloomberg identifier for private placement) | X50144176896 | X50611398008 | U506745LRC27 | X50183122398 | X50134886067 | JPY 156n 5.40% RDC5L 2027 | JPY 156n 5.40% RDC X50102307724 | Barclays Bank PLC X50122679243 |
| 3 | Governing (ew(s)) of the instrument | English | English | New York except subordination provisions which are English-law (no contractual acknowledgement of UK bail-in) | English | English | English | English | English |
| Regulatory treatment | |||||||||
| 4 | Transitional CRR rules | Tier 2 | Tier 2 | Tier 2 | Tier 2 | Tier 2 | Tier 2 | Tier 2 | Tier 2 |
| 5 | Post-transitional CRR rules | Tier 2 | Tier 2 | Tier 2 | Tier 2 | Tier 2 | Tier 2 | Tier 2 | Tier 2 |
| 6 | Eligible at who?(sub-)consolidated/ solid(s)sub-)consolidated | Solo and Consolidated | Solo and Consolidated | Solo and Consolidated | Solo and Consolidated | Solo and Consolidated | Solo and Consolidated | Solo and Consolidated | Solo and Consolidated |
| 7 | Instrument type (types to be specified by each jurisdiction) | Dated Subordinated Debt | Dated Subordinated Debt | Dated Subordinated Debt | Dated Subordinated Debt | Dated Subordinated Debt | Dated Subordinated Debt | Dated Subordinated Debt | Dated Subordinated Debt |
| 8 | Amount recognised in regulatory capital (Currency in million, as of most recent reporting date) | £28m | £640m | £1,754m | £45m | £347m | £105m | £60m | £61m |
| 9 | Nominal amount of instrument | EUR 50m; £45m | EUR 1000m; £896m | USD 3000m; £2348m | EUR 50m; £45m | £274m | JPY 15000m; £107m | £50m | EUR 68m; £61m |
| 10 | Issue price | 100.000% | 99.232% | 100.000% | 99.334% | GBP 550m @ 99.726%; GBP 150m @ 104.44%; GBP 100m @ 105.183% | 100.000% | 99.688% | 100.000% |
| 11 | Redemption price | 100.000% | 100.000% | 100.000% | 100.000% | 100.000% | 100.000% | 100.000% | 100.000% |
| 12 | Accounting classification | Liability - amortised cost | Liability - amortised cost | Liability - amortised cost | Liability - amortised cost | Liability - amortised cost | Liability - amortised cost | Liability - amortised cost | Liability - amortised cost |
| 13 | Original date of issuance | 01/03/2002 | 30/03/2011 | Z1/11/2012 | 23/12/2005 | 14/09/2001 | 29/09/1997 | 23/09/1999 | 05/01/2001 |
| 14 | Perpetual or dated | Dated | Dated | Dated | Dated | Dated | Dated | Dated | Dated |
| 15 | Original maturity date | 01/03/2022 | 30/03/2022 | Z1/11/2022 | 27/12/2025 | 14/09/2026 | 31/08/2027 | 23/09/2032 | 29/12/2040 |
| 16 | Issuer call subject to prior supervisory approval | Yes | Yes | Yes | Yes | Yes | Yes | Yes | Yes |
| 17 | Optional call date, contingent call dates and redemption amount | Tax event only at 100% | Tax event only at 100% | Tax and regulatory event calls | Tax event only at 100% | Tax event only at 100% | Tax event only at 100% | Tax event only at 100% | Tax event only at 100% |
| 18 | Subsequent call dates, if applicable | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| Coupons / dividends | |||||||||
| 19 | Fixed or floating dividend/coupon | Floating | Fixed | Fixed | Floating | Fixed | Fixed | Fixed | Floating |
| 20 | Coupon rate and any related index | Six month EURIBOR plus 0.40% | 6.625% | 7.625% | Three month EURIBOR plus 0.35% | 5.750% | 5.40% on US dollars 130,867,222.22 | 6.330% | Three month EURIBOR plus 0.39% |
| 21 | Existence of a dividend stopper | No | No | No | No | No | No | No | No |
| 22 | Fully discretionary, partially discretionary or mandatory (in terms of timing) | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory |
| 23 | Fully discretionary, partially discretionary or mandatory (in terms of amount) | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory |
| 24 | Existence of step up or other incentive to redeem | No | No | No | No | No | No | No | No |
| 25 | Noncumulative or cumulative | Cumulative | Cumulative | Cumulative | Cumulative | Cumulative | Cumulative | Cumulative | Cumulative |
| 26 | Convertible or non-convertible | Non-convertible | Non-convertible | Non-convertible | Non-convertible | Non-convertible | Non-convertible | Non-convertible | Non-convertible |
| 27 | If convertible, conversion trigger(s) | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 28 | If convertible, fully or partially | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 29 | If convertible, conversion rate | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 30 | If convertible, mandatory or optional conversion | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 31 | If convertible, specify instrument type convertible into | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 32 | If convertible, specify issuer of instrument it converts into | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 33 | With down features | No | No | Yes | No | No | No | No | No |
| 34 | If write-down, write-down trigger(s) | N/A | N/A | Barclays PLC consolidated CRD IV Common Equity Tier 1 (CET1) ratio (FSA October 2012 transitional statement) falls below 7% | N/A | N/A | N/A | N/A | N/A |
| 35 | If write-down, full or partial | N/A | N/A | Full | N/A | N/A | N/A | N/A | N/A |
| 36 | If write-down, permanent or temporary | N/A | N/A | Permanent | N/A | N/A | N/A | N/A | N/A |
| 37 | If temporary write-down, description of write-up mechanism | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 38 | Position in subordination hierarchy in liquidation (specify instrument type immediately senior to instrument) | Dated secondary non-preferential | Dated secondary non-preferential | Dated secondary non-preferential | Dated secondary non-preferential | Dated secondary non-preferential | Dated secondary non-preferential | Dated secondary non-preferential | Dated secondary non-preferential |
| 39 | Non-compliant transitional features | No | No | No | No | No | No | No | No |
| 40 | If yes, specify non-compliant features | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
Barclays PLC Pillar 3 Terms and Conditions of Capital Resources
Capital Instruments main features template
| 1 | Issuer | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC |
|---|---|---|---|---|---|---|---|---|---|
| 2 | Unique identifier (eg CUSIP, ISIN or Bloomberg identifier for private placement) | CACSIT710P5370UK5373 | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 3 | Governing (ew(s)) of the instrument | United Kingdom | English | English | English | English | English | English | English |
| 4 | Transitional CRM rules | Common Equity Tier 1 | Additional Tier 1 | Additional Tier 1 | Additional Tier 1 | Additional Tier 1 | Additional Tier 1 | Additional Tier 1 | Additional Tier 1 |
| 5 | Post-transitional CRM rules | Common Equity Tier 1 | Additional Tier 1 | Additional Tier 1 | Additional Tier 1 | Additional Tier 1 | Additional Tier 1 | Additional Tier 1 | Additional Tier 1 |
| 6 | Eligible at solo (subs (consolidated/ solid) sub- (consolidated | Solo-Consolidated | Solo-Consolidated | Solo-Consolidated | Solo-Consolidated | Solo-Consolidated | Solo-Consolidated | Solo-Consolidated | Solo-Consolidated |
| 7 | Instrument type (types to be specified by each jurisdiction) | Ordinary Shaw Capital | Perpetual Deeply Subordinated Contingent Convertible Debt | Perpetual Deeply Subordinated Contingent Convertible Debt | Perpetual Deeply Subordinated Contingent Convertible Debt | Perpetual Deeply Subordinated Contingent Convertible Debt | Perpetual Deeply Subordinated Contingent Convertible Debt | Perpetual Deeply Subordinated Contingent Convertible Debt | Perpetual Deeply Subordinated Contingent Convertible Debt |
| 8 | Amount recognized in regulatory capital (Currency in million, as of most recent reporting date) | £2,343m | £1,000m | £1,000m | £1,000m | £1,000m | £1,000m | £1,000m | £1,000m |
| 9 | Nominal amount of instrument | £1.00 per ordinary share | USD 1211m; £714m | EUR 1077m; £860m | EUR 1000m; £828m | USD 1500m; £1143m | £1000m | £500m | USD 2500m; £1932m |
| 9a | Issue price | The Company has been through numerous share capital restructurings, as at 5 November 1971 when it became a wholly owned subsidiary of Barclays Bank Limited (now called Barclays PLC) the issued share capital was £40m of £1 ordinary shares fully paid up. Since then, there have been many restructurings and the shares have been issued at other prices over time | 100.000% | 100.000% | 100.000% | 99.996% | 99.996% | 99.998% | 100.000% |
| 9b | Redemption price | N/A | 100.000% | 100.000% | 100.000% | 100.000% | 100.000% | 100.000% | 100.000% |
| 10 | Accounting classification | Shareholders' equity | Shareholders' equity | Shareholders' equity | Shareholders' equity | Shareholders' equity | Shareholders' equity | Shareholders' equity | Shareholders' equity |
| 11 | Original date of issuance | 05/11/1971 | 18/06/2014 | 18/06/2014 | 10/12/2013 | 31/08/2016 | 11/08/2015 | 14/08/2018 | 14/08/2018 |
| 12 | Perpetual or dated | Perpetual | Perpetual | Perpetual | Perpetual | Perpetual | Perpetual | Perpetual | Perpetual |
| 13 | Original maturity date | No maturity | No maturity | No maturity | No maturity | No maturity | No maturity | No maturity | No maturity |
| 14 | Issuer call subject to prior supervisory approval | N/A | Yes | Yes | Yes | Yes | Yes | Yes | Yes |
| 15 | Optional call date, contingent call dates and redemption amount | N/A | Optional call on 15/09/2019 at 100%, Also tax and regulatory event calls | Optional call on 15/09/2019 at 100%, Also tax and regulatory event calls | Optional call on 15/12/2020 at 100%, Also tax and regulatory event calls | Optional call on 15/03/2022 at 100%, Also tax and regulatory event calls | Optional call on 15/09/2022 at 100%, Also tax and regulatory event calls | Optional call on 15/09/2023 at 100%, Also tax and regulatory event calls | Optional call on 15/09/2023 at 100%, Also tax and regulatory event calls |
| 16 | Subsequent call dates, if applicable | N/A | Optional call on 15/09/2024 and each fifth anniversary date thereafter | Optional call on 15/09/2024 and each fifth anniversary date thereafter | Optional call on 15/12/2025 and each fifth anniversary date thereafter | Optional call on 15/03/2027 and each fifth anniversary date thereafter | Optional call on 15/09/2027 and each fifth anniversary date thereafter | Optional call on 15/03/2028 and each fifth anniversary date thereafter | Optional call on 15/09/2028 and each fifth anniversary date thereafter |
| 17 | Coupons / dividends | N/A | Fixed | Fixed | Fixed | Fixed | Fixed | Fixed | Fixed |
| 18 | Fixed or floating dividend (coupon | N/A | 6.625% to 15/09/2019. Resets on 15/09/2019 and on every fifth anniversary date thereafter to five year US dollar LIBOR swap rate plus 5.022% | 6.50% to 15/09/2019. Resets on 15/09/2019 and on every fifth anniversary date thereafter to five year EURIBOR swap rate plus 5.875% | 8.0% to 15/12/2020. Resets on 15/12/2020 and on every fifth anniversary date thereafter to five year EURIBOR swap rate plus 6.75% | 7.875% to 15/03/2022. Resets on 15/03/2022 and on every fifth anniversary date thereafter to five year US$14Kd #dartet swap rate plus 6.772% | 7.875% to 15/09/2022. Resets on 15/09/2022 and on every fifth anniversary date thereafter to five year sterling LIBOR swap rate plus 6.099% | 7.250% to 15/03/2023. Resets on 15/03/2023 and on every fifth anniversary date thereafter to five year sterling LIBOR swap rate plus 6.462% | 7.750% to 15/09/2023. Resets on 15/09/2023 and on every fifth anniversary date thereafter to five year US$14Kd #dartet swap rate plus 4.842% |
| 19 | Existence of a dividend stopper | No | No | No | No | No | No | No | No |
| 20a | Fully discretionary, partially discretionary or mandatory (in terms of timing) | Fully discretionary | Fully discretionary | Fully discretionary | Fully discretionary | Fully discretionary | Fully discretionary | Fully discretionary | Fully discretionary |
| 20b | Fully discretionary, partially discretionary or mandatory (in terms of amount) | Fully discretionary | Fully discretionary | Fully discretionary | Fully discretionary | Fully discretionary | Fully discretionary | Fully discretionary | Fully discretionary |
| 21 | Existence of step up or other incentive to redeem | No | No | No | No | No | No | No | No |
| 22 | Nonsumulative or cumulative | Nonsumulative | Nonsumulative | Nonsumulative | Nonsumulative | Nonsumulative | Nonsumulative | Nonsumulative | Nonsumulative |
| 23 | Convertible or non-convertible | Non-convertible | Convertible | Convertible | Convertible | Convertible | Convertible | Convertible | Convertible |
| 24 | Convertible, conversion (trigger(s)) | N/A | BBPLC Solo Consolidated CET 1 Ratio falls below 6% (CRR transitional as at issue date of instrument excluding IPR59 transitional arrangements) | BBPLC Solo Consolidated CET 1 Ratio falls below 6% (CRR transitional as at issue date of instrument excluding IPR59 transitional arrangements) | BBPLC Solo Consolidated CET 1 Ratio falls below 6% (CRR transitional as at issue date of instrument excluding IPR59 transitional arrangements) | BBPLC Solo Consolidated CET 1 Ratio falls below 7% (CRR transitional as at issue date of instrument excluding IPR59 transitional arrangements) | BBPLC Solo Consolidated CET 1 Ratio falls below 7% (CRR transitional as at issue date of instrument excluding IPR59 transitional arrangements) | BBPLC Solo Consolidated CET 1 Ratio falls below 7% (CRR transitional as at issue date of instrument excluding IPR59 transitional arrangements) | BBPLC Solo Consolidated CET 1 Ratio falls below 7% (CRR transitional as at issue date of instrument excluding IPR59 transitional arrangements) |
| 25 | If convertible, fully or partially | N/A | Fully | Fully | Fully | Fully | Fully | Fully | Fully |
| 26 | If convertible, conversion rate | N/A | USD 19.39 per conversion share | EUR 14.14 per conversion share | EUR 13.69 per conversion share | USD 14.37 per conversion share | E11.82 per conversion share | E11.93 per conversion share | USD 8.01 per conversion share |
| 27 | If convertible, mandatory or optional conversion | N/A | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory | Mandatory |
| 28 | If convertible, specify instrument type convertible into | N/A | Common Equity Tier 1 - Ordinary shares | Common Equity Tier 1 - Ordinary shares | Common Equity Tier 1 - Ordinary shares | Common Equity Tier 1 - Ordinary shares | Common Equity Tier 1 - Ordinary shares | Common Equity Tier 1 - Ordinary shares | Common Equity Tier 1 - Ordinary shares |
| 29 | If convertible, specify issuer of instrument it converts into | N/A | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC |
| 30 | Write-down features | No | No | No | No | No | No | No | No |
| 31 | If write-down, write-down trigger(s) | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 32 | If write-down, full or partial | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 33 | If write-down, permanent or temporary | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 34 | If temporary write-down, description of write-up mechanism | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 35 | Position in subordination hierarchy in liquidation (specify instrument type immediately senior to instrument) | Professional (or other) Perpetual Deeply Subordinated Contingent Convertible Debt / Perpetual Deeply Subordinated Debt | Perpetual Subordinated Debt | Perpetual Subordinated Debt | Perpetual Subordinated Debt | Perpetual Subordinated Debt | Perpetual Subordinated Debt | Perpetual Subordinated Debt | Perpetual Subordinated Debt |
| 36 | Non-compliant transitioned features | No | No | No | No | No | No | No | No |
| 37 | If yes, specify non-compliant features | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
Barclays PLC Pillar 3 Terms and Conditions of Capital Resources | 9
Capital Instruments main features template
| 1 | Issuer | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC | Barclays Bank PLC |
|---|---|---|---|---|---|---|
| 2 | Unique identifier (eg CUSIP, JSIN or Bloomberg identifier for private placement) | N/A | N/A | N/A | N/A | N/A |
| 3 | Governing low(s) of the instrument | English | English | English | English | English |
| Regulatory treatment | ||||||
| 4 | Transitional CRR rules | Additional Tier 1 | Tier 2 | Tier 2 | Tier 2 | Tier 2 |
| 5 | Post-transitional CRR rules | Additional Tier 1 | Tier 2 | Tier 2 | Tier 2 | Tier 2 |
| 6 | Eligible at solo (tudo (consolidated/ solids)tsub (consolidated | Solo-Consolidated | Solo-Consolidated | Solo-Consolidated | Solo-Consolidated | Solo-Consolidated |
| 7 | Instrument type (types to be specified by each jurisdiction) | Perpetual Deeply Subordinated Contingent Convertible Debt | Dated Subordinated Debt | Dated Subordinated Debt | Dated Subordinated Debt | Dated Subordinated Debt |
| 8 | Amount recognised in regulatory capital (Currency in million, as of most recent reporting date) | £623m | £1,342m | £115m | £994m | £905m |
| 9 | Nominal amount of instrument | £623m | EUR 1500m; £1344m | SGD 200m; £115m | USD 1367m; £1070m | USD 1200m; £939m |
| 9a | Issue price | 100.000% | 99.437% | 100.000% | USD 833.3m @ 99.992%; USD 533.3m @ 102.789% | 100.000% |
| 9b | Redemption price | 100.000% | 100.000% | 100.000% | 100.000% | 100.000% |
| 10 | Accounting classification | Shareholders' equity | Liability - amortised cost | Liability - amortised cost | Liability - amortised cost | Liability - amortised cost |
| 11 | Original date of issuance | 10/08/2017 | 07/09/2017 | 23/11/2017 | 12/03/2016 | 09/05/2017 |
| 12 | Perpetual or dated | Perpetual | Dated | Dated | Dated | Dated |
| 13 | Original maturity date | No maturity | 07/02/2020 | 23/05/2030 | 12/05/2026 | 09/05/2028 |
| 14 | Issuer call subject to prior supervisory approval | Yes | Yes | Yes | Yes | Yes |
| 15 | Optional call date, contingent call dates and redemption amount | Optional call = 15/09/2024 at 100%, Also tax and regulatory event calls | 07/02/2023 at 100% plus tax and regulatory event calls at 100% | 23/05/2023 at 100% plus tax and regulatory event calls at 100% | Tax and regulatory event calls | 07/05/2027 at 100% plus tax and regulatory event calls at 100% |
| 16 | Subsequent call dates, if applicable | Optional call on 15/09/2029 and each fifth anniversary date thereafter | N/A | N/A | N/A | N/A |
| Coupons / dividends | ||||||
| 17 | Fixed or floating dividend/coupon | Fixed | Fixed | Fixed | Fixed | Fixed |
| 18 | Coupon rate and any related index | 5.875% to 15/9/2024. Resets on 15/09/2024 and on every fifth anniversary date thereafter to five year sterling LIBOR swap rate plus 4.910% | 2.000% to 07/02/2023. Thereafter five year EURIBOR mid swap rate plus 1.900% | 3.750% to 23/05/2025. Thereafter five year SGD SOR mid swap rate plus 1.589% | 3.200% | 4.836% |
| 19 | Existence of a dividend stopper | No | No | No | No | No |
| 20a | Fully discretionary, partially discretionary or mandatory (in terms of timing) | Fully discretionary | Mandatory | Mandatory | Mandatory | Mandatory |
| 20b | Fully discretionary, partially discretionary or mandatory (in terms of amount) | Fully discretionary | Mandatory | Mandatory | Mandatory | Mandatory |
| 21 | Existence of step up or other incentive to redeem | No | No | No | No | No |
| 22 | Noncumulative or cumulative | Noncumulative | Cumulative | Cumulative | Cumulative | Cumulative |
| 23 | Convertible or non-convertible | Convertible | Non-convertible | Non-convertible | Non-convertible | Non-convertible |
| 24 | If convertible, conversion trigger(s) | BBPLC Solo-Consolidated CET1 Ratio falls below 7% (CRR transitional as at issue date of instrument excluding IFRS9 transitional arrangements) | N/A | N/A | N/A | N/A |
| 25 | If convertible, fully or partially | Fully | N/A | N/A | N/A | N/A |
| 26 | If convertible, conversion rate | £12.00 per conversion share | N/A | N/A | N/A | N/A |
| 27 | If convertible, mandatory or optional conversion | Mandatory | N/A | N/A | N/A | N/A |
| 28 | If convertible, specify instrument type convertible into | Common Equity Tier 1 - Ordinary shares | N/A | N/A | N/A | N/A |
| 29 | If convertible, specify issuer of instrument it converts into | Barclays Bank PLC | N/A | N/A | N/A | N/A |
| 30 | Write-down features | No | No | No | No | No |
| 31 | If write-down, write-down trigger(s) | N/A | N/A | N/A | N/A | N/A |
| 32 | If write-down, full or partial | N/A | N/A | N/A | N/A | N/A |
| 33 | If write-down, permanent or temporary | N/A | N/A | N/A | N/A | N/A |
| 34 | If temporary write-down, description of write-up mechanism | N/A | N/A | N/A | N/A | N/A |
| 35 | Position in subordination hierarchy in liquidation (specify instrument type immediately senior to instrument) | Perpetual Subordinated Debt | Dated secondary non-preferential debt | Dated secondary non-preferential debt | Dated secondary non-preferential debt | Dated secondary non-preferential debt |
| 36 | Non-compliant transitioned features | No | No | No | No | No |
| 37 | If yes, specify non-compliant features | N/A | N/A | N/A | N/A | N/A |
Barclays PLC Pillar 3 Terms and Conditions of Capital Resources | 10
Capital Instruments main features template
| 1 | Issuer | Barclays Bank UK PLC | Barclays Bank UK PLC | Barclays Bank UK PLC | Barclays Bank UK PLC | Barclays Bank UK PLC | Barclays Bank UK PLC | Barclays Bank UK PLC | Barclays Bank UK PLC |
|---|---|---|---|---|---|---|---|---|---|
| 2 | Unique identifier (eg CUSIP, ISIN or Bloomberg identifier for private placement) | 213800L62LAHOMERKTN9 | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 3 | Governing (ew(s)) of the instrument | United Kingdom | English | English | English | English | English | English | English |
| 4 | Transitional CRM rules | Common Equity Tier 1 | Additional Tier 1 | Additional Tier 1 | Additional Tier 1 | Tier 2 | Tier 2 | Tier 2 | Tier 2 |
| 5 | Post-transitional CRM rules | Common Equity Tier 1 | Additional Tier 1 | Additional Tier 1 | Additional Tier 1 | Tier 2 | Tier 2 | Tier 2 | Tier 2 |
| 6 | Eligible at solo (tudo (consolidated/ solids) (sub-)consolidated) | Solo | Perpetual Deeply Subordinated Contingent Convertible Debt | Perpetual Deeply Subordinated Contingent Convertible Debt | Perpetual Deeply Subordinated Debt | Dated Subordinated Debt | Dated Subordinated Debt | Dated Subordinated Debt | Dated Subordinated Debt |
| 7 | Instrument type (types to be specified by each jurisdiction) | Ordinary Share Capital | £750m | £622m | £1,125m | £971m | £496m | £603m | |
| 8 | Amount recognised in regulatory capital (Currency in million, as of most recent reporting date) | £5m | £750m | £625m | EUR 1250m; £1120m | USD 1250m; £978m | USD 683m; £535m | USD 600m; £626m | |
| 9 | Nominal amount of instrument | £0.01 per ordinary share | 99.998% | 100.000% | 99.497% | 99.848% | USD 417m @ 99.992%; USD 267m @ 102.789% | 100.000% | |
| 9a | Issue price | The original share capital at 19 August 2015 was £50,000 divided into 5,000,000 ordinary shares of £0.01 each. On 22 February 2017 500,000,000 ordinary shares of £0.01 each were issued. However, there have been multiple issuances and the shares have been issued at £0.01p each time | |||||||
| 9b | Redemption price | N/A | 100.000% | 100.000% | 100.000% | 100.000% | 100.000% | 100.000% | 100.000% |
| 10 | Accounting classification | Shareholders' equity | Shareholders' equity | Shareholders' equity | Shareholders' equity | Liability - amortised cost | Liability - amortised cost | Liability - amortised cost | Liability - amortised cost |
| 11 | Original date of issuance | 19/08/2015 | 10/06/2014 | 10/08/2017 | 11/11/2015 | 11/09/2014 | 11/09/2016 | 10/05/2017 | |
| 12 | Perpetual or dated | Perpetual | Perpetual | Perpetual | Dated | Dated | Dated | Dated | Dated |
| 13 | Original maturity date | No maturity | No maturity | No maturity | 11/11/2025 | 11/09/2024 | 12/05/2026 | 09/05/2028 | |
| 14 | Issuer call subject to prior supervisory approval | N/A | Yes | Yes | Yes | Yes | Yes | Yes | Yes |
| 15 | Optional call date, contingent call dates and redemption amount | N/A | Optional call on 15/09/2019 at 100%, Also tax and regulatory event calls | Optional call on 15/05/2023 at 100%, Also tax and regulatory event calls | Optional call on 15/09/2024 at 100%, Also tax and regulatory event calls | Tax and regulatory event calls | Tax and regulatory event calls | Tax and regulatory event calls at 100% | |
| 16 | Subsequent call dates, if applicable | N/A | Optional call on 15/09/2024 and each fifth anniversary date thereafter | Optional call on 15/03/2028 and each fifth anniversary date thereafter | Optional call on 15/09/2029 and each fifth anniversary date thereafter | N/A | N/A | N/A | N/A |
| 17 | Coupons / dividends | ||||||||
| 18 | Fixed or floating dividend (coupon | N/A | Fixed | Fixed | Fixed | Fixed | Fixed | Fixed | Fixed |
| 19 | Coupon rate and any related index | N/A | 7.0% to 15/09/2019. Resets on 15/09/2019 and on every fifth anniversary date thereafter to five year sterling LBOR swap rate plus 5.084% | 7.250% to 15/03/2023. Resets on 15/03/2023 and on every fifth anniversary date thereafter to five year sterling LBOR swap rate plus 6.462% | 5.875% to 15/09/2024. Resets on 15/09/2024 and on every fifth anniversary date thereafter to five year sterling LBOR swap rate plus 4.910% | 2.625% to 11/11/2020. Thereafter five year EURIBOR mid swap rate plus 2.45% | 4.375% | 5.200% | 4.836% |
| 20a | Fully discretionary, partially discretionary or mandatory (in terms of timing) | No | No | No | No | No | No | No | No |
| 20b | Fully discretionary, partially discretionary or mandatory (in terms of amount) | Fully discretionary | Fully discretionary | Fully discretionary | Fully discretionary | Mandatory | Mandatory | Mandatory | Mandatory |
| 21 | Existence of step up or other incentive to redeem | No | No | No | No | No | No | No | No |
| 22 | Noncumulative or cumulative | Noncumulative | Noncumulative | Noncumulative | Noncumulative | Cumulative | Non-cumulative | Non-cumulative | Non-cumulative |
| 23 | Convertible or non-convertible | Non-convertible | Convertible | Convertible | Convertible | Non-convertible | Non-convertible | Non-convertible | Non-convertible |
| 24 | If convertible, conversion trigger(s) | N/A | BRLR PLC CET1 ratio falls below 7.00%, (fully loaded) or, once regulated by PRA on 01/01/2019, the BRLR PLC Group CET1 ratio falls below 6.00%, (fully loaded) | BRLR PLC CET1 ratio falls below 7.00%, (fully loaded) or, once regulated by PRA on 01/01/2019, the BRLR PLC Group CET1 ratio falls below 7.00%, (fully loaded) | BRLR PLC CET1 ratio falls below 7.00%, (fully loaded) or, once regulated by PRA on 01/01/2019, the BRLR PLC Group CET1 ratio falls below 7.00%, (fully loaded) | N/A | N/A | N/A | N/A |
| 25 | If convertible, fully or partially | N/A | Fully | Fully | Fully | N/A | N/A | N/A | N/A |
| 26 | If convertible, conversion rate | N/A | £12.67 per conversion share | £12.67 per conversion share | £12.67 per conversion share | N/A | N/A | N/A | N/A |
| 27 | If convertible, mandatory or optional conversion | N/A | Mandatory | Mandatory | Mandatory | N/A | N/A | N/A | N/A |
| 28 | If convertible, specify instrument type convertible into | N/A | Common Equity Tier 1 - Ordinary shares | Common Equity Tier 1 - Ordinary shares | Common Equity Tier 1 - Ordinary shares | N/A | N/A | N/A | N/A |
| 29 | If convertible, specify issuer of instrument it converts into | N/A | Barclays Bank UK PLC | Barclays Bank UK PLC | Barclays Bank UK PLC | N/A | N/A | N/A | N/A |
| 30 | Write-down features | No | No | No | No | No | No | No | No |
| 31 | If write-down, write-down trigger(s) | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 32 | If write-down, full or partial | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 33 | If write-down, permanent or temporary | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 34 | If temporary write-down, description of write-up mechanism | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 35 | Position in subordination hierarchy in liquidation (specify instrument type immediately owner to instrument) | Perpetual Deeply Subordinated Contingent Convertible Debt | Dated Subordinated Debt | Dated Subordinated Debt | Dated Subordinated Debt | Dated secondary non-preferential debt | Dated secondary non-preferential debt | Dated secondary non-preferential debt | Dated secondary non-preferential debt |
| 36 | Non-compliant transformed features | No | No | No | No | No | No | No | No |
| 37 | If yes, specify non-compliant features | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
Barclays PLC Pillar 3 Terms and Conditions of Capital Resources | 11
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