0001484219-17-000001.txt : 20170131 0001484219-17-000001.hdr.sgml : 20170131 20170131164229 ACCESSION NUMBER: 0001484219-17-000001 CONFORMED SUBMISSION TYPE: MA/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20170120 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Barclays Capital INC CENTRAL INDEX KEY: 0001484219 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: MA/A SEC ACT: 1934 Act SEC FILE NUMBER: 867-01287 FILM NUMBER: 17561656 BUSINESS ADDRESS: STREET 1: 745 SEVENTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 001 212 526 1755 MAIL ADDRESS: STREET 1: 745 SEVENTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 MA/A 1 primary_doc.xml MA/A 0001484219 XXXXXXXX Mary Beth Coffey 212-412-3206 marybeth.coffey@barclays.com marybeth.coffey@barclays.com amber.humayun@barclays.com Barclays Capital INC 000019714 06-1031656 866-00522-00 867-01287 008-41342 000019714 801-69700 000019714 SWAP FIRM 0228758 COMMODITY POOL OPERATOR 0228758 COMMODITY TRADING ADVISOR 0228758 EXEMPT FOREIGN FIRM AGENT 0228758 FUTURES COMMISSION MERCHANT 0228758 Municipal Securities Dealer -- MSRB A6566 745 SEVENTH AVENUE NEW YORK NY 10019 212-526-7000 N 745 SEVENTH AVENUE NEW YORK NY 10019 www.barcap.com Add WWW.BARCLAYSWEALTH.COM Add WWW.BARCLAYS.COM Add WWW.INVESTMENTPHILOSOPHY.COM Matthew HEALY Eisenberg

745 7th Avenue, 14th floor New York NY 10019

212-526-6967 matthew.eisenberg@barclays.com Add IRON MOUNTAIN (MULITPLE LOCATIONS) 745 ATLANTIC AVENUE BOSTON MA 02111 212-526-6967 IRON MOUNTAIN IS A THIRD PARTY VENDOR THAT SERVES AS A DOCUMENT REPOSITORY. BARCLAYS CORRETORA DE TITULOS E VALORES MOBILIARIOS S.A. N BARCLAYS CAPITAL SECURITIES LIMITED Y Financial Conduct Authority 124431 X0 BARCLAYS CAPITAL ASIA LIMITED Y Securities and Futures Commission AAC257 K3 BARCLAYS CAPITAL JAPAN LIMITED Y Japan Securities Dealers Association M0 DURLACHER NOMINEES LTD. N BARCLAYS STOCKBROKERS LTD. Y Financial Conduct Authority 124247 X0 BARCLAYS METALS LTD. N BARCLAYS PHYSICAL TRADING LIMITED N WESTFERRY INVESTMENTS LTD N BARCLAYS BANK TRUST CO.LTD Y Financial Conduct Authority; Prudential Regulatory Authority 119184 X0 BARCLAYS ASIA LIMITED N BARCLAYS CAPITAL CANADA INC Y Investment Industry Regulatory Organization of Canada 23970 Z4 BARCLAYS CAPITAL CASA DE BOLSA, S.A. DE C.V. Y National Banking and Securities Commission BCC06031613A O5 BARCLAYS CAPITAL FUTURES (SINGAPORE) PRIVATE LTD. Y Monetary Authority of Singapore U0 BARCLAYS CAPITAL MARKETS MALAYSIA SDN. BHD. N BARCLAYS CAPITAL MAURITIUS LIMITED N BARCLAYS CAPITAL SECURITIES (THAILAND) LTD Y Securities and Exchange Commission of Thailand 105539027328 W1 BARCLAYS INTERNATIONAL FUNDS GROUP LIMITED N BARCLAYS PRESTACADO DE SERVICOS - ACE N BARCLAYS PRIVATE CLIENTS INTERNATIONAL LIMITED Y Financial Conduct Authority 305405 Y8 BARCLAYS SHAREDEALING Y Financial Conduct Authority 139258 X0 BARCLAYS VIE S.A. Y French Prudential Supervisory Authority RCS PARIS B 384532172 I0 BARREP PTY LIMITED N GERRARD INVESTMENT MANAGEMENT LIMITED Y Financial Conduct Authority 155595 X0 PT BARCLAYS CAPITAL SECURITIES INDONESIA N WOOLWOCH PLAN MANAGERS LIMITED Y Financial Conduct Authority 183887 X0 EQUITY VALUE INVESTMENTS LLP N BARCLAYS PLC N BARCLAYS BANK PLC. Y Financial Conduct Authority; Prudential Regulation Authority 122702 X0 December CT 03-30-1998 N 3438 3 3 3 0 0 1 Municipal Entities 0 0 0 Not Applicable Fixed Fees Contingent Fees Not Applicable Advice Insurance Of MS Advice Investment Of Proceeds MS Advice ME Investments Advice ME Other Investments Advice On Selection Y Y Y Y Y Y Y Y APPLICANT ACTS AS AN AGENT ON A FULLY DISCLOSED BASIS FOR COMMODITIES. APPLICANT ACTS AS MARKETER FOR OVER-THE-COUNTER DERIVATIVES, FOREIGN EXCHANGE CONTRACTS, AND OTHER FINANCIAL INSTRUMENTS AND EFFECTS SECURITIES TRANSACTIONS PURSUANT TO SEC RULE 15A-6 THROUGH ITS AFFILIATES. APPLICANT ENGAGES IN THE BUSINESS OF PRIVATE EQUITY AND BUSINESS TRANSACTION FINANCIAL ADVISORY SERVICES. Broker-dealer municipal securities dealer or government securities broker or dealer Investment Company Investment Adviser Swap Dealer Security-based swap dealer Commodity pool operator Commodity trading advisor Futures commission merchant Banking/Thrift institution Trust Company Insurance company or agency 23 Add Broker-dealer municipal securities dealer or government securities broker or dealer Barclays Capital Securities Limited Barclays Capital Securities Limited N Y Y Financial Conduct Authority; Prudential Regulation Authority 124431 X0 Add Broker-dealer municipal securities dealer or government securities broker or dealer BARCLAYS CORRETORA DE TITULOS E VALORES MOBILIARIOS S.A. BARCLAYS CORRETORA DE TITULOS E VALORES MOBILIARIOS S.A. N Y N Add Investment Adviser Futures commission merchant BARCLAYS CAPITAL ASIA LIMITED BARCLAYS CAPITAL ASIA LIMITED N Y Y Securities and Futures Commission AAC257 K3 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser BARCLAYS STOCKBROKERS LTD. BARCLAYS STOCKBROKERS LTD. N Y Y Financial Conduct Authority 124247 X0 Add Investment Company BARCLAYS METALS LTD. BARCLAYS METALS LTD. N Y N Add Commodity trading advisor BARCLAYS PHYSICAL TRADING LIMITED BARCLAYS PHYSICAL TRADING LIMITED N Y N Add Investment Company WESTFERRY INVESTMENTS LTD WESTFERRY INVESTMENTS LTD N Y N Add Investment Adviser Trust Company BARCLAYS BANK TRUST CO.LTD BARCLAYS BANK TRUST CO.LTD N Y Y Financial Conduct Authority; Prudential Regulatory Authority 119184 X0 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser BARCLAYS CAPITAL CANADA INC BARCLAYS CAPITAL CANADA INC N Y Y Investment Industry Regulatory Organization of Canada 23970 Z4 Add Broker-dealer municipal securities dealer or government securities broker or dealer BARCLAYS CAPITAL CASA DE BOLSA, S.A. DE C.V. BARCLAYS CAPITAL CASA DE BOLSA, S.A. DE C.V. N Y Y National Banking and Securities Commission BCC06031613A O5 Add Futures commission merchant BARCLAYS CAPITAL FUTURES (SINGAPORE) PRIVATE LTD. BARCLAYS CAPITAL FUTURES (SINGAPORE) PRIVATE LTD. N Y Y Monetary Authority of Singapore U0 Add Investment Adviser BARCLAYS CAPITAL MARKETS MALAYSIA SDN. BHD. BARCLAYS CAPITAL MARKETS MALAYSIA SDN. BHD. N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer BARCLAYS CAPITAL MAURITIUS LIMITED BARCLAYS CAPITAL MAURITIUS LIMITED N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer BARCLAYS CAPITAL SECURITIES (THAILAND) LTD BARCLAYS CAPITAL SECURITIES (THAILAND) LTD N Y Y "Securities and Exchange 105539027328 W1 Add Banking/Thrift institution BARCLAYS PRIVATE CLIENTS INTERNATIONAL LIMITED BARCLAYS PRIVATE CLIENTS INTERNATIONAL LIMITED N Y Y Financial Conduct Authority 305405 X0 Add Broker-dealer municipal securities dealer or government securities broker or dealer BARCLAYS SHAREDEALING BARCLAYS SHAREDEALING N Y Y Financial Conduct Authority 139258 X0 Add Investment Company Investment Adviser Insurance company or agency BARCLAYS VIE S.A. BARCLAYS VIE S.A. N Y Y French Prudential Supervisory Authority RCS PARIS B 384532172 I0 Add Banking/Thrift institution BARREP PTY LIMITED BARREP PTY LIMITED N Y N Add Investment Company Investment Adviser GERRARD INVESTMENT MANAGEMENT LIMITED GERRARD INVESTMENT MANAGEMENT LIMITED N Y Y Financial Conduct Authority 155595 X0 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Company PT BARCLAYS CAPITAL SECURITIES INDONESIA PT BARCLAYS CAPITAL SECURITIES INDONESIA N Y N Add Investment Adviser WOOLWOCH PLAN MANAGERS LIMITED WOOLWOCH PLAN MANAGERS LIMITED N Y Y Financial Conduct Authority 183887 X0 Add Investment Company Investment Adviser EQUITY VALUE INVESTMENTS LLP EQUITY VALUE INVESTMENTS LLP N Y N Add Swap Dealer Security-based swap dealer Banking/Thrift institution BARCLAYS BANK PLC. BARCLAYS BANK PLC. N Y Y Financial Conduct Authority; Prudential Regulation Authority 122702 X0 N N N N N N N N N N N N N BARCLAYS BANK PLC 0000312070 Schedule B BARCLAYS PLC 0000312069 Schedule B Y Y N N Y Y N Y Y Y Y Y Y Y N Y N N N Y Y Y Y Y N Y BARCLAYS GROUP US INC. N 13-3249618 OWNS BARCLAYS CAPITAL INC 12-21-1999 E Y GERARD SEBASTIAN LAROCCA BOARD DIRECTOR 10-31-2005 NA Y 002683227 THOMAS JAMES MCGUIRE BOARD DIRECTOR 05-19-2014 NA Y 003275074 GERARD SEBASTIAN LAROCCA PRESIDENT 01-01-2011 NA Y 002683227 JOSEPH JAMES CORCORAN III BOARD DIRECTOR 05-21-2013 NA Y 002126677 JOSEPH MICHAEL BUSUTTIL BOARD DIRECTOR 07-25-2013 NA Y 002836180 RAHUL NMN JAISING REGISTERED OPTIONS SECURITIES FUTURES PRINCIPAL - PRIME SERVICES 08-06-2013 NA N 004754959 JONATHAN MICHAEL IMUNDO REGISTERED OPTIONS SECURITIES FUTURES PRINCIPAL - INVESTOR SOULTIONS 08-06-2013 NA N 004199570 ANTHONY NMN BANCONE REGISTERED OPTIONS SECURITIES FUTURES PRINCIPAL - DISTRIBUTION 08-06-2013 NA N 001790892 JOSEPH MICHAEL BUSUTILL CHIEF FINANCIAL OFFICER 11-25-2013 NA Y 002836180 MARCELO LEONCIO RIFFAUD CHIEF LEGAL OFFICER 07-08-2015 NA Y 002588667 MONTY LEE FORREST Chief Operations Officer 05-11-2015 NA Y 005812639 MONTY LEE FORREST BOARD DIRECTOR 05-11-2015 NA Y 005812639 JEFFREY ANTHONY MELI CO-HEAD OF RESEARCH 07-24-2015 NA N 004477654 KENNETH CHARLES ABBOTT BOARD DIRECTOR 11-23-2015 NA Y 002343656 Kevin John McKay Chief Compliance Officer - BD 02-03-2016 NA N 001136608 JOSEPH PATRICK MCGRATH JR BOARD DIRECTOR 08-15-2016 NA Y 002148473 JOSEPH PATRICK MCGRATH JR. CHIEF EXECUTIVE OFFICER 08-15-2016 NA Y 002148473 BARCLAYS US LLC BARCLAYS BANK PLC Y 13-4942190 SOLE SHAREHOLDER 03-17-2016 E Y BARCLAYS BANK PLC BARCLAYS PLC Y SOLE SHAREHOLDER 01-01-1985 E Y FOREIGN BARCLAYS GROUP US INC. BARCLAYS US LLC N 47-3808943 SOLE SHAREHOLDER 04-27-2016 E Y Add BARCLAYS GROUP US INC. N 13-3249618 OWNS BARCLAYS CAPITAL INC 12-21-1999 E Y Add GERARD SEBASTIAN LAROCCA BOARD DIRECTOR 10-31-2005 NA Y 002683227 Add THOMAS JAMES MCGUIRE BOARD DIRECTOR 05-19-2014 NA Y 003275074 Add GERARD SEBASTIAN LAROCCA PRESIDENT 01-01-2011 NA Y 002683227 Amend JOSEPH JAMES CORCORAN III BOARD DIRECTOR 05-21-2013 NA Y 002126677 Amend JOSEPH MICHAEL BUSUTTIL BOARD DIRECTOR 07-25-2013 NA Y 002836180 Amend RAHUL NMN JAISING REGISTERED OPTIONS SECURITIES FUTURES PRINCIPAL - PRIME SERVICES 08-06-2013 NA N 004754959 Add JONATHAN MICHAEL IMUNDO REGISTERED OPTIONS SECURITIES FUTURES PRINCIPAL - INVESTOR SOULTIONS 08-06-2013 NA N 004199570 Amend ANTHONY NMN BANCONE REGISTERED OPTIONS SECURITIES FUTURES PRINCIPAL - DISTRIBUTION 08-06-2013 NA N 001790892 Amend JOSEPH MICHAEL BUSUTILL CHIEF FINANCIAL OFFICER 11-25-2013 NA Y 002836180 Amend MARCELO LEONCIO RIFFAUD CHIEF LEGAL OFFICER 07-08-2015 NA Y 002588667 Amend MONTY LEE FORREST Chief Operations Officer 05-11-2015 NA Y 005812639 Amend MONTY LEE FORREST BOARD DIRECTOR 05-11-2015 NA Y 005812639 Add JEFFREY ANTHONY MELI CO-HEAD OF RESEARCH 07-24-2015 NA N 004477654 Add KENNETH CHARLES ABBOTT BOARD DIRECTOR 11-23-2015 NA Y 002343656 Add Kevin John McKay Chief Compliance Officer - BD 02-03-2016 NA N 001136608 Add JOSEPH PATRICK MCGRATH JR BOARD DIRECTOR 08-15-2016 NA Y 002148473 Add JOSEPH PATRICK MCGRATH JR. 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