バークレイズ・ピーエルシー 外国会社臨時報告書
| 提出書類 | 外国会社臨時報告書 |
|---|---|
| 提出日 | |
| 提出者 | バークレイズ・ピーエルシー |
| カテゴリ | 外国会社臨時報告書 |
EDINET提出書類
バークレイズ・ピーエルシー(E05762)
外国会社臨時報告書
【表紙】
【提出書類】 外国会社臨時報告書
【提出先】 関東財務局長
【提出日】 令和２年 11 月 26 日
【会社名】 バークレイズ ・ ピーエルシー
( Barclays PLC )
【代表者の役職氏名】 グループ財務担当取締役
(Group Finance Director)
トゥーシャー・モーザリア
(Tushar Morzaria)
【本店の所在の場所】 英国 ロンドン市 E14 5HP チャーチル・プレイス １
(1 Churchill Place, London E14 5HP, United Kingdom)
【代理人の氏名又は名称】 弁護士 神 田 英 一
【代理人の住所又は所在地】 東京都千代田区丸の内１丁目１番１号 パレスビル３階
クリフォードチャンス法律事務所外国法共同事業
【電話番号】 03-6632-6600
【事務連絡者氏名】 弁護士 芦 澤 千 尋
【連絡場所】 東京都千代田区丸の内１丁目１番１号 パレスビル３階
クリフォードチャンス法律事務所外国法共同事業
【電話番号】 03-6632-6600
【縦覧に供する場所】 該当事項なし
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EDINET提出書類
バークレイズ・ピーエルシー(E05762)
外国会社臨時報告書
１ 【提出理由】
バークレイズ・ピーエルシー（以下「 Barclays 」、「 the Company 」又は「バークレイズ」といいま
す。）は、バークレイズ・グループ SAYE ストック・オプション制度（以下「 Sharesave 」といいま
す。）に従い、株式貯蓄制度の条件に基づいて英国、ジャージー、ガーンジー及びマン島におけるバー
クレイズ・グループの従業員を対象として、またバークレイズ・グループ・アイルランド SAYE ストッ
ク・オプション制度（以下「 Irish Sharesave 」といい、株式貯蓄制度と併せて「 Sharesave Plans 」と
いいます。）に従い、アイルランド株式貯蓄制度の条件に基づいてアイルランドにおけるバークレイ
ズ・グループの従業員を対象として、新株予約権（ Option ）の募集を開始しました。
よって、金融商品取引法第 24 条の５第４項及び第 15 項並びに企業内容等の開示に関する内閣府令第 19
条第１項及び第２項第１号の規定に基づき、以下のとおり本外国会社臨時報告書を提出いたします。
（注）本書に記載の「 pounds 」又は「￡」は、別段の記載がある場合を除き、英国のスターリング・ポ
ンドを指すものとし、「 pence 」又は「 p 」は英国のペンスを指すものとする。本書において日
本人読者のために便宜上記載されている日本円への換算は、１ポンド＝ 137.68 円の為替レート
（ 2020 年 11 月 20 日現在の株式会社三菱ＵＦＪ銀行による電信直物相場の対顧客売買仲値）によ
りなされている。但し、英ポンド建ての金額がかかる為替レートにおいて日本円に換算されて
いたこと、換算することができたはずであったこと、又は換算できることを表明するものでは
ない。
２ 【報告内容】
(1) Type and Name of Securities to be Issued:
Share acquisition rights (the "Option")
(2) Number of Securities to be Issued :
230,785,606 (estimated amount)
Note:
Total of an estimated amounts of the Options could be granted to Eligible Sharesave
Employees (as defined below) in the United Kingdom, Jersey, Guernsey and the Isle of Man
(229,343,461) and Eligible Sharesave Employees in Ireland (1,442,145).
(3) Issue Price and Amount to be incorporated to Capital:
(i) Issue price: £0 (JPY0)
(ii) Amount to be incorporated into capital: £0 (JPY0)
Note:
Options shall be granted to those eligible employees outside Japan without involving any
payment.
(4) Aggregate Total Issue Price and Total Amount to be Incorporated to Capital :
(i) Aggregate total amount to be issued: £0 (JPY0)
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EDINET提出書類
バークレイズ・ピーエルシー(E05762)
外国会社臨時報告書
(ii) Aggregate amount to be incorporated into capital: £0 (JPY0)
Note:
An estimated total exercise price of Options to Ordinary Shares is £193,831,066.14
(approximately, 26,686,661,186 yen), which was calculated under the assumption that the
number of the Options set out in (2) above are exercised at the exercise prices respectively
set out in (6) below.
(5) Kind of shares, its details and numbers underlying the Option :
(i) Kind of shares
Ordinary Shares of the Company (the "Shares")
(ii) Details of shares
With full voting rights and without any limitations or preference to the rights conferred
to them
They will rank equally with all other shares then in issue, except for rights arising by
reference to a record date prior to their allotment.
(iii) Number of shares
230,785,606 S hares in total at the maximum
(6) Amount to be paid upon exercise of the Option
For Sharesave, the Option will be exercised at £0.84 (approximately, 116 yen)
For Irish Sharesave, the Option will be exercised at £0.82 (approximately, 113 yen)
Note:
Under the Sharesave Plans, Eligible Sharesave Employees who apply will be granted an
Option to acquire Shares at the end of a savings period at the relevant exercise price set out
above. For Sharesave, the exercise price and amount to be incorporated in capital are 80 per
cent. of the average one day middle market quotation of a Company share on the London
Stock Exchange on 4 August 2020. For Irish Sharesave, the exercise price and amount to be
incorporated in capital are 80 per cent. of the average one day middle market quotation of a
Company share on the London Stock Exchange on 6 October 2020.
Eligible Sharesave Employees means any person who:
(i) is an employee or a director of a "Constituent Company", (meaning Barclays and any
subsidiary which participates in the relevant Sharesave Plan and which is bound by
the provisions of the relevant Sharesave Plan) on the date on which eligibility to
participate in the relevant Sharesave Plan is determined; and
(ii) has either (i) been in continuous employment with the Participating Company for a
service period set by Barclays before the Sharesave Plans are launched (which is
currently from 1 June 2020 to 10 August 2020 for the Sharesave and from 1 August
2020 to 7 October 2020 for the Irish Sharesave) and, in the case of the Sharesave is a
UK taxpayer and in the case of the Irish Sharesave, is an Irish taxpayer; or (ii) been
nominated by the Board for this purpose.
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バークレイズ・ピーエルシー(E05762)
外国会社臨時報告書
(7) Condition to exercise the Option
Options will normally be exercisable for a period of six months (12 months in the case of
death – see below) from the maturity date of the savings contract (the participant can choose
to enter into a 3, 5 or 7 year savings contract). Earlier exercise is permitted in the following
circumstances:
(i) following cessation of employment by reason of death, disability, injury, redundancy,
retirement or the business or company that the employee works for ceases to be part
of the Company's group;
(ii) when an employee reaches age 60 (Irish Sharesave and awards granted before 17 July
2013 for Sharesave)
(iii) where employment ceases more than three years from grant for any reason other than
by reason of dismissal for misconduct;
(iv) in the event of a takeover, amalgamation, reconstruction or winding-up of the
Company, except in the case of an internal corporate reorganisation when the Board
may decide to exchange existing Options for equivalent new options over shares in a
new holding company.
Except where stated above, Options will lapse on cessation of employment.
(8) Amount to be incorporate into capital out of the issue price of the shares when shares are
issued upon exercise of the Option
£193,831,066.14 (approximately, 26,686,661,186 yen) (estimated amount)
Note:
Calculated under the assumption that the number of the Options set out in (2) above are
exercised at the exercise prices respectively set out in (6) above.
(9) Matters concerning transfer of Option
Option shall be personal to the Option holder to whom it is granted and shall not be
transferred, assigned or charged other than on death
(10) Issue Method
Shall be done by way of allocating to Eligible Sharesave Employees.
(11) Name of Underwriter
N/A
(12) Areas in Which Issue will be Made
UK, Jersey, Guernsey, the Isle of Man and Ireland.
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バークレイズ・ピーエルシー(E05762)
外国会社臨時報告書
(13) Aggregate Amount of Proceeds from New Issuance, and Use of Such Proceeds and Amount
and Timing of Each Use:
(i) Aggregate Amount of Proceeds from New Issuance:
£193,831,066.14 (approximately, 26,686,661,186 yen) (estimated amount)
Note:
The total amount of proceeds to be received from new issuance of Shares is an estimated
amount as determined under the assumption that the number of Shares set out in (2)
above in respect of Sharesave and Irish Sharesave are offered at the Issue Prices
respectively set out in (6) above.
(ii) Use of Proceeds, and Amount and Timing of Each Use:
The proceeds to be received will be appropriated for the operating capital, etc.,
however, the contents, the amount by each use and the time to be used will be
determined depending on the needs of Barclays at the relevant times; therefore, the use
is currently undetermined.
(14) Grant date of the Option
Sharesave: 10 August 2020
Irish Sharesave: 7 October 2020
Note:
This is the date when the formal invitation to join the Sharesave Plans was made to all the
Eligible Sharesave Employees in the UK, Jersey, Guernsey, the Isle of Man and Ireland. An
Eligible Sharesave Employee may apply to be granted an Option under the relevant
Sharesave Plan during a minimum 2 week period following invitation each year during
his/her employment with the Constituent Company, and Shares will be issued at the end of
the relevant savings periods under the Sharesave Plans on the exercise of an Option.
(15) Name of the financial exchange to which such securities is contemplated to be listed
Not applicable
Shares:
London Stock Exchange
New York Stock Exchange
(16) Total Shareholders' Equity
£4,338,925,710.25 (share capital, approximately, 597,383,291,787 yen) (as of 6th November
2020)
(17) Number of Issued Shares
17,355,702,841 Shares (as of 6th November 2020)
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外国会社臨時報告書
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