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Barclays PLC — Capital/Financing Update 2011
Jun 9, 2011
5250_rf_2011-06-09_6f6b8fa2-4272-4da9-a864-450efc038ee9.pdf
Capital/Financing Update
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London STOCK EXCHANGE
FORM 1 - APPLICATION FOR ADMISSION OF SECURITIES TO TRADING
The submission of Form 1 shall be provisional. Formal application will only be deemed to be made when a Prospectus relating to the securities to be admitted to trading has been approved and published. All applications are subject to the Admission and Disclosure Standards ("the Standards").
For new issues this form must arrive no later than 10 business days prior to the consideration of the application for admission to trading and for further issues no later than 2 business days prior to the consideration of the application for admission to trading.
The form should be submitted to Issuer Implementation at the London Stock Exchange either by fax on +44 (0)20 7920 4607 or by email to [email protected]. If you require assistance, please call issuer Implementation on +44 (0)20 7797 4310.
Application to be considered on (date):
Dealings expected to commence on (date):
| 8 June 2011 | |
|---|---|
| 9 June 2011 | |
$\mathbf{1}$ Full legal name of issuer: Barclays Bank PLC
hereby applies for the following securities to be admitted to trading on the London Stock Exchange or for the purposes of MTN Programmes only:
hereby applies to establish a programme on the London Stock Exchange for the issuance of debt securities. Application for admission to trading on the London Stock Exchange of debt securities issued under the programme will be deemed to take effect only on submission of a pricing supplement for a specific issue of debt securities under the programme.
$21$ Amount and full description of each class of security for which application is now being made:
(Example: 30,000,000 ordinary shares of 20 pence each fully paid. Where the securities are to be issued under an issuance programme, please give a description of the programme and the maximum amount of securities that may be admitted to trading at any one time)
15,000,000 Call Commodity Warrants Linked to the Barclays Capital Pure Beta DJ-UBS CISM Index Issue Price: GBP 0.82 per Warrant
$31$ Type of issue for which application is being made:
(Example: Bonus, Rights, Placing, Open Offer, Block listing, Eurobond, MTN Programme, Warrants)
Warrants issued pursuant to MTN Programme
4. Market to which admission is sought.
$\boldsymbol{\mathsf{X}}$
By ticking this box you are confirming that you meet the criteria and requirements of the market to which you are applying.
Main Market
Professional Securities Market
Specialist Fund Market Other
5.
Are the securities for which application is now made identical in all respects** [ Answer Yes if drawdown, N/A if Mini-Prog]
| ** If you answered NO to either question how do the securities differ and when will they become identical? New Issues: This section only requires completion if the application is for a new issue, this information may be published in the New Issues List section on the Exchange's website. |
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|---|---|---|---|---|---|
| 6. | United Kingdom Country of incorporation: |
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| 7. | UKLA Home EEA competent authority for listing: |
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| а. | Will the securities also be admitted to the YES: NO: $\mathbf{x}$ FSA's Official List? |
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| b. | If appropriate, has the "passport" been YES: N/A NO: lodged with the UKLA? If so, please attach a copy. |
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| 8. | Expected size of offer (£m): | N/A | |||
| 9. | Expected market cap. post issue (£m): | N/A | |||
| 10. | Expected percentage of Free Float post issue: |
N/A | |||
| 11. | Preferred trading currency / currencies: N/A |
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| 12. | ISIN Number/s: | GB00B5M49188 | |||
| 13. | Default place of settlement (system): | N/A | |||
| 14. | Issuer details: | ||||
| а. | Contact name: | Florin Coseraru | |||
| b. | Job title: | Associate Director, Legal | |||
| c. | Telephone number: | +44(0)20 3134 1194 | |||
| d. | Email address: | [email protected] | |||
| 15. Invoicing - Value Added Tax (VAT) The following information is required in order to comply with the EC Invoicing Directive (2001/115/EC) and to ensure that VAT is charged in accordance with EC law: |
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| а. | Country of Principal Place of Business (PPB): United Kingdom NB: PPB is usually the head office, headquarters or 'seat' from which business is run. |
a. with each other?
Ł.
b. with an existing class of security?
$\overline{\phantom{a}}$
NO:
NO:
$\overline{\mathbf{x}}$
$\overline{\mathbf{x}}$
YES:
YES:
| b. Is the Issuer registered for VAT in the UK? | YES: | NO: | |||
|---|---|---|---|---|---|
| -- | ------------------------------------------------ | ------------- | -- | ----- | -- |
| c. Is the Issuer registered for VAT in another | $YES:$ $ X $ | NO: | |
|---|---|---|---|
| EC country? |
d. If YES, please confirm EC VAT registration number: GB 243852262
NB: Where PPB is an EC country (excluding UK) – Failure to provide a valid EC VAT registration number will result in UK VAT being
charged on admission and annual fees.
| 16. | Brief description of | Financial Services Provider |
|---|---|---|
| business / fund type: | ||
| 17. | Fiscal year end: | 31 December |
| 18. | Sponsor/ Lead manager / Adviser (if applicable): | |
| Contact name: a. |
N/A | |
| b. Telephone Number: | N/A | |
| c. Email address: | N/A | |
| 19. | Corporate Broker: | N/A |
| 20. | Confirmed Market Makers: | N/A |
| At least one market maker is required if the security is to be traded on a segment with mandatory market maker requirements | ||
| 21. | Financial PR advisors: | N/A |
| 22. | Address at which admission document will be available: | |
| http://www.londonstockexchange.com/en-gb/pricesnews/marketnews | ||
| 23. | Date available: | 3 June 2011 |
| Debt Issues: | ||
| 24. | Date of issue of certificates (or where relevant definitive bearer securities) for which | |
| application to trading is sought. | ||
| N/A | ||
| 25. | Please indicate whether the certificates are in registered or bearer form: | |
| bearer form | ||
| 26. | MTN Programmes: | |
-
Please tick the box that best describes the security for which admission is sought. (more then one box may be appropriate in some cases)
-
If the security does not fall under any of the descriptions set above please provide a brief
-
Please state the maturity of the
| Floating rate | Step up up/Down | ||
|---|---|---|---|
| Preference shares | Guaranteed | ||
| Exchangeable/Convertible | Debentures . | ||
| Retail offer | Eurobonds | ||
| Inflation Linked | Warrants | X. | |
| Any other Linked | x | Collateralised Debt | |
| Loan Participation | Obligation | ||
| Credit Linked Notes | Zero coupon | ||
| Asset Backed | Covered | ||
| Extendable | Shari'ah Compliant | ||
| Commercial paper | Mortgage Backed | ||
| N/A | |||
| N/A |
Declaration
debt security
description
We have read and acknowledge our obligations under the Standards. Accordingly we declare that:
- $(a)$ all the conditions for trading in the Standards which are required to be fulfilled prior to application have been fulfilled in relation to the issuer and the securities for the admission of which application is now made;
- $(b)$ all the documents and information required to be included in the application have been or will be supplied in accordance with the Standards and all other requirements of the Exchange in respect of the application have been or will be complied with; and
- $(c)$ (for new applicants only) the issuer is in compliance with the requirements of any securities regulator that regulates it and/or any stock exchange on which it has its securities traded.
- $(d)$ We shall pay applicable admission and annual fees, as they fall due.
We undertake to comply with the Standards as published by the London Stock Exchange from time to time.
| Signed: | Print Name: |
FLORIN COSERARU | ||
|---|---|---|---|---|
| Job Title: | Associate Director, Legal | Date: | 3 June 2011 | |
| Cianoal bu a dub authorized effect (e.g. Disorted for and so hobelf of |
Signed by a duly authorised officer (e.g. Director) for and on behalf of:
Name of Issuer: | Barclays Bank PLC
Please ensure that all sections where applicable on this form have been completed. Failure to do so may cause delays in admission.