0001654954-21-011077.txt : 20211014 0001654954-21-011077.hdr.sgml : 20211014 20211014124449 ACCESSION NUMBER: 0001654954-21-011077 CONFORMED SUBMISSION TYPE: 6-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211014 FILED AS OF DATE: 20211014 DATE AS OF CHANGE: 20211014 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GLAXOSMITHKLINE PLC CENTRAL INDEX KEY: 0001131399 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: X0 FILING VALUES: FORM TYPE: 6-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-15170 FILM NUMBER: 211322963 BUSINESS ADDRESS: STREET 1: 980 GREAT WEST ROAD CITY: BRENTFORD MIDDLESEX STATE: X0 ZIP: TW8 9GS BUSINESS PHONE: 011442080475000 MAIL ADDRESS: STREET 1: 980 GREAT WEST ROAD CITY: BRENTFORD MIDDLESEX STATE: X0 ZIP: TW8 9GS 6-K 1 a1471p.htm DIRECTOR/PDMR SHAREHOLDING a1471p
 
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
Form 6-K
 
REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16
UNDER THE SECURITIES EXCHANGE ACT OF 1934
 
 
 
For the month of October 2021
 
Commission File Number 001-15170
 
 
GlaxoSmithKline plc
(Translation of registrant's name into English)
 
 
980 Great West Road, Brentford, Middlesex, TW8 9GS
(Address of principal executive office)
 
 
 
Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F.
 
Form 20-F . . . .X. . . . Form 40-F . . . . . . . .
 
 
 
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(1): ____
 
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(7): ____
 
 
 
 
 
GlaxoSmithKline plc (the 'Company')
Transaction notification
 
1.
Details of PDMR/person closely associated with them ('PCA')
 
a)
Name
Ms E Walmsley
 
b)
Position/status
Chief Executive Officer
 
c)
Initial notification/amendment
Initial notification
2.
Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
 
a)
Name
GlaxoSmithKline plc
 
b)
LEI
5493000HZTVUYLO1D793
 
3.
Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transaction(s) has been conducted
 
a)
Description of the financial instrument
Ordinary shares of 25 pence each ('Ordinary Shares')
ISIN: GB0009252882
 
b)
Nature of the transaction
Increase in notional interest in Ordinary Shares following the re-investment of dividends paid to shareholders on 7 October 2021 on Ordinary Shares held in the Company's Deferred Annual Bonus Plan
 
c)
Price(s) and volume(s)
 
Price(s)
Volume(s)
 
 
 
£14.0080
 
956
 
 
£14.0080
 
769
 
 
£14.0080
 
640
 
 
 
 
 
d)
Aggregated information
 
2,365
Aggregated volume
Price
 
 £14.0080
e)
Date of the transaction
2021-10-11
 
f)
Place of the transaction
 
London Stock Exchange (XLON)
 
 
 
1.
Details of PDMR/person closely associated with them ('PCA')
 
a)
Name
Mr I Mackay
 
b)
Position/status
Chief Financial Officer
 
c)
Initial notification/amendment
Initial notification
2.
Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
 
a)
Name
GlaxoSmithKline plc
 
b)
LEI
5493000HZTVUYLO1D793
 
3.
Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transaction(s) has been conducted
 
a)
Description of the financial instrument
Ordinary shares of 25 pence each ('Ordinary Shares')
ISIN: GB0009252882
 
b)
Nature of the transaction
Increase in notional interest in Ordinary Shares following the re-investment of dividends paid to shareholders on 7 October 2021 on Ordinary Shares held in the Company's Deferred Annual Bonus Plan
 
c)
Price(s) and volume(s)
 
Price(s)
Volume(s)
 
 
 
£14.0080
519
 
 
 
£14.0080
443
 
 
 
 
 
 
d)
Aggregated information
 
962
Aggregated volume
Price
 
£14.0080
e)
Date of the transaction
2021-10-11
 
f)
Place of the transaction
 
London Stock Exchange (XLON)
 
 
 
1.
Details of PDMR/person closely associated with them ('PCA')
 
a)
Name
Dr H Barron
 
b)
Position/status
Chief Scientific Officer and President, R&D
 
c)
Initial notification/amendment
Initial notification
2.
Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
 
a)
Name
GlaxoSmithKline plc
 
b)
LEI
5493000HZTVUYLO1D793
 
3.
Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transaction(s) has been conducted
 
a)
Description of the financial instrument
American Depositary Shares ('ADSs')
ISIN: US37733W1053
 
b)
Nature of the transaction
Increase in notional interest in ADSs following the re-investment of dividends paid to shareholders on 7 October 2021 on ADSs held in the Company's Deferred Annual Bonus Plan
 
c)
Price(s) and volume(s)
 
Price(s)
Volume(s)
 
 
 
$38.6600
557
 
 
 
$38.6600
 
437
 
 
$38.6600
 
331
 
 
 
 
 
d)
Aggregated information
 
1,325
Aggregated volume
Price
 
$38.6600
e)
Date of the transaction
2021-10-11
 
f)
Place of the transaction
 
New York Stock Exchange (XNYS)
 
 
 
1.
Details of PDMR/person closely associated with them ('PCA')
 
a)
Name
Mr R Connor    
 
b)
Position/status
President, Vaccines & Global Health
 
c)
Initial notification/amendment
Initial notification
2.
Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
 
a)
Name
GlaxoSmithKline plc
 
b)
LEI
5493000HZTVUYLO1D793
 
3.
Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transaction(s) has been conducted
 
a)
Description of the financial instrument
Ordinary shares of 25 pence each ('Ordinary Shares')
ISIN: GB0009252882
 
b)
Nature of the transaction
Increase in notional interest in Ordinary Shares following the re-investment of dividends paid to shareholders on 7 October 2021 on Ordinary Shares held in the Company's Deferred Annual Bonus Plan
 
c)
Price(s) and volume(s)
 
Price(s)
Volume(s)
 
 
 
£14.0080
 
250
 
 
 
£14.0080
 
242
 
 
 
£14.0080
 
140
 
 
 
 
 
 
d)
Aggregated information
 
632
Aggregated volume
Price
 
£14.0080
e)
Date of the transaction
2021-10-11
 
f)
Place of the transaction
 
London Stock Exchange (XLON)
 
 

1.
Details of PDMR/person closely associated with them ('PCA')
 
a)
Name
Ms D Conrad
 
b)
Position/status
SVP Human Resources
 
c)
Initial notification/amendment
Initial notification
2.
Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
 
a)
Name
GlaxoSmithKline plc
 
b)
LEI
5493000HZTVUYLO1D793
 
3.
Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transaction(s) has been conducted
 
a)
Description of the financial instrument
Ordinary shares of 25 pence each ('Ordinary Shares')
ISIN: GB0009252882
 
b)
Nature of the transaction
Increase in notional interest in Ordinary Shares following the re-investment of dividends paid to shareholders on 7 October 2021 on Ordinary Shares held in the Company's Deferred Annual Bonus Plan
 
c)
Price(s) and volume(s)
 
Price(s)
Volume(s)
 
 
 
£14.0080
100
 
 
 
£14.0080
92
 
 
 
 
 
 
d)
Aggregated information
 
192
Aggregated volume
Price
£14.0080
 
e)
Date of the transaction
2021-10-11
 
f)
Place of the transaction
 
London Stock Exchange (XLON)
 
 
 
1.
Details of PDMR/person closely associated with them ('PCA')
 
a)
Name
Mr J Ford
 
b)
Position/status
Senior Vice President and General Counsel
 
c)
Initial notification/amendment
Initial notification
2.
Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
 
a)
Name
GlaxoSmithKline plc
 
b)
LEI
5493000HZTVUYLO1D793
 
3.
Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transaction(s) has been conducted
 
a)
Description of the financial instrument
Ordinary shares of 25 pence each ('Ordinary Shares')
ISIN: GB0009252882
 
b)
Nature of the transaction
Increase in notional interest in Ordinary Shares following the re-investment of dividends paid to shareholders on 7 October 2021 on Ordinary Shares held in the Company's Deferred Annual Bonus Plan
 
c)
Price(s) and volume(s)
 
Price(s)
 
Volume(s)
 
 
£14.0080
142
 
 
 
£14.0080
111
 
 
 
 
 
 
d)
Aggregated information
 
253
Aggregated volume
Price
 
£14.0080
 
e)
Date of the transaction
2021-10-11
 
f)
Place of the transaction
 
London Stock Exchange (XLON)
 
 
 
 
1.
Details of PDMR/person closely associated with them ('PCA')
 
a)
Name
Mr J Ford
 
b)
Position/status
Senior Vice President and General Counsel
 
c)
Initial notification/amendment
Initial notification
2.
Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
 
a)
Name
GlaxoSmithKline plc
 
b)
LEI
5493000HZTVUYLO1D793
 
3.
Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transaction(s) has been conducted
 
a)
Description of the financial instrument
American Depositary Shares ('ADSs')
ISIN: US37733W1053
 
b)
Nature of the transaction
Increase in notional interest in ADSs following the re-investment of dividends paid to shareholders on 7 October 2021 on ADSs held in the Company's Deferred Annual Bonus Plan
 
c)
Price(s) and volume(s)
 
Price(s)
Volume(s)
 
 
 
$38.6600
47
 
 
 
 
 
 
d)
Aggregated information
 
N/A (single transaction)
Aggregated volume
Price
 
 
e)
Date of the transaction
2021-10-11
 
f)
Place of the transaction
 
New York Stock Exchange (XNYS)
 
 
 
1.
Details of PDMR/person closely associated with them ('PCA')
 
a)
Name
Ms S Jackson
 
b)
Position/status
SVP, Global Communications & CEO Office
 
c)
Initial notification/amendment
Initial notification
2.
Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
 
a)
Name
GlaxoSmithKline plc
 
b)
LEI
5493000HZTVUYLO1D793
 
3.
Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transaction(s) has been conducted
 
a)
Description of the financial instrument
Ordinary shares of 25 pence each ('Ordinary Shares')
ISIN: GB0009252882
 
b)
Nature of the transaction
Increase in notional interest in Ordinary Shares following the re-investment of dividends paid to shareholders on 7 October 2021 on Ordinary Shares held in the Company's Deferred Annual Bonus Plan
 
c)
Price(s) and volume(s)
 
Price(s)
Volume(s)
 
 
 
£14.0080
60
 
 
 
£14.0080
56
 
 
 
 
 
 
d)
Aggregated information
 
116
Aggregated volume
Price
 
£14.0080
e)
Date of the transaction
2021-10-11
 
f)
Place of the transaction
 
London Stock Exchange (XLON)
 
 
 
1.
Details of PDMR/person closely associated with them ('PCA')
 
a)
Name
Mr B McNamara
 
b)
Position/status
CEO, GSK Consumer Healthcare
 
c)
Initial notification/amendment
Initial notification
2.
Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
 
a)
Name
GlaxoSmithKline plc
 
b)
LEI
5493000HZTVUYLO1D793
 
3.
Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transaction(s) has been conducted
 
a)
Description of the financial instrument
American Depositary Shares ('ADSs')
ISIN: US37733W1053
 
b)
Nature of the transaction
Increase in notional interest in ADSs following the re-investment of dividends paid to shareholders on 7 October 2021 on ADSs held in the Company's Deferred Annual Bonus Plan
 
c)
Price(s) and volume(s)
 
Price(s)
Volume(s)
 
 
 
$38.6600
93
 
 
 
$38.6600
 
80
 
 
 
$38.6600
 
101
 
 
 
 
 
 
 
 
 
 
d)
Aggregated information
 
274
Aggregated volume
Price
 
$38.6600
 
e)
Date of the transaction
2021-10-11
 
f)
Place of the transaction
 
New York Stock Exchange (XNYS)
 
 
 
1.
Details of PDMR/person closely associated with them ('PCA')
 
a)
Name
Mr L Miels
 
b)
Position/status
Chief Commercial Officer
 
c)
Initial notification/amendment
Initial notification
2.
Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
 
a)
Name
GlaxoSmithKline plc
 
b)
LEI
5493000HZTVUYLO1D793
 
3.
Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transaction(s) has been conducted
 
a)
Description of the financial instrument
Ordinary shares of 25 pence each ('Ordinary Shares')
ISIN: GB0009252882
 
b)
Nature of the transaction
Increase in notional interest in Ordinary Shares following the re-investment of dividends paid to shareholders on 7 October 2021 on Ordinary Shares held in the Company's Deferred Annual Bonus Plan
 
c)
Price(s) and volume(s)
 
Price(s)
Volume(s)
 
 
 
£14.0080
266
 
 
 
£14.0080
 
232
 
 
 
£14.0080
 
173
 
 
 
 
 
 
d)
Aggregated information
 
671
Aggregated volume
Price
 
£14.0080
e)
Date of the transaction
2021-10-11
 
f)
Place of the transaction
 
London Stock Exchange (XLON)
 
 
 
1.
Details of PDMR/person closely associated with them ('PCA')
 
a)
Name
Mr D Redfern
 
b)
Position/status
Chief Strategy Officer
 
c)
Initial notification/amendment
Initial notification
2.
Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
 
a)
Name
GlaxoSmithKline plc
 
b)
LEI
5493000HZTVUYLO1D793
 
3.
Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transaction(s) has been conducted
 
a)
Description of the financial instrument
Ordinary shares of 25 pence each ('Ordinary Shares')
ISIN: GB0009252882
 
b)
Nature of the transaction
Increase in notional interest in Ordinary Shares following the re-investment of dividends paid to shareholders on 7 October 2021 on Ordinary Shares held in the Company's Deferred Annual Bonus Plan
 
c)
Price(s) and volume(s)
 
Price(s)
Volume(s)
 
 
 
£14.0080
237
 
 
 
£14.0080
 
170
 
 
 
£14.0080
 
136
 
 
 
 
 
 
d)
Aggregated information
 
543
Aggregated volume
Price
 
£14.0080
e)
Date of the transaction
2021-10-11
 
f)
Place of the transaction
 
London Stock Exchange (XLON)
 
 
 
1.
Details of PDMR/person closely associated with them ('PCA')
 
a)
Name
Mr R Simard
 
b)
Position/status
President, Pharmaceuticals Supply Chain
 
c)
Initial notification/amendment
Initial notification
2.
Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
 
a)
Name
GlaxoSmithKline plc
 
b)
LEI
5493000HZTVUYLO1D793
 
3.
Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transaction(s) has been conducted
 
a)
Description of the financial instrument
Ordinary shares of 25 pence each ('Ordinary Shares')
ISIN: GB0009252882
 
b)
Nature of the transaction
Increase in notional interest in Ordinary Shares following the re-investment of dividends paid to shareholders on 7 October 2021 on Ordinary Shares held in the Company's Deferred Annual Bonus Plan
 
c)
Price(s) and volume(s)
 
Price(s)
Volume(s)
 
 
 
£14.0080
85
 
 
 
£14.0080
120
 
 
 
£14.0080
102
 
 
 
 
 
 
d)
Aggregated information
 
307
Aggregated volume
Price
 
£14.0080
e)
Date of the transaction
2021-10-11
 
f)
Place of the transaction
 
London Stock Exchange (XLON)
 

 
1.
Details of PDMR/person closely associated with them ('PCA')
 
a)
Name
Ms K Terrell
 
b)
Position/status
Chief Digital & Technology Officer
 
c)
Initial notification/amendment
Initial notification
 
2.
Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
 
a)
Name
GlaxoSmithKline plc
 
b)
LEI
5493000HZTVUYLO1D793
 
3.
Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transaction(s) has been conducted
 
a)
Description of the financial instrument
American Depositary Shares ('ADSs')
ISIN: US37733W1053
 
b)
Nature of the transaction
Increase in notional interest in ADSs following the re-investment of dividends paid to shareholders on 7 October 2021 on ADSs held in the Company's Deferred Annual Bonus Plan
 
c)
Price(s) and volume(s)
 
Price(s)
Volume(s)
 
 
 
$38.6600
118
 
 
 
$38.6600
 
81
 
 
 
$38.6600
 
63
 
 
 
 
 
 
d)
Aggregated information
 
262
Aggregated volume
Price
 
$38.6600
e)
Date of the transaction
2021-10-11
 
f)
Place of the transaction
 
New York Stock Exchange (XNYS)
 
 
 
1.
Details of PDMR/person closely associated with them ('PCA')
 
a)
Name
Mr P Thomson
 
b)
Position/status
President, Global Affairs
 
c)
Initial notification/amendment
Initial notification
2.
Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
 
a)
Name
GlaxoSmithKline plc
 
b)
LEI
5493000HZTVUYLO1D793
 
3.
Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transaction(s) has been conducted
 
a)
Description of the financial instrument
Ordinary shares of 25 pence each ('Ordinary Shares')
ISIN: GB0009252882
 
b)
Nature of the transaction
Increase in notional interest in Ordinary Shares following the re-investment of dividends paid to shareholders on 7 October 2021 on Ordinary Shares held in the Company's Deferred Annual Bonus Plan
 
c)
Price(s) and volume(s)
 
Price(s)
Volume(s)
 
 
 
£14.0080
138
 
 
 
£14.0080
98
 
 
 
£14.0080
79
 
 
 
 
 
 
d)
Aggregated information
 
 
315
Aggregated volume
Price
 
£14.0080
 
e)
Date of the transaction
2021-10-11
 
f)
Place of the transaction
 
London Stock Exchange (XLON)
 
 
 
1.
Details of PDMR/person closely associated with them ('PCA')
 
a)
Name
Ms D Waterhouse
 
b)
Position/status
Chief Executive Officer of ViiV Healthcare
 
c)
Initial notification/amendment
Initial notification
2.
Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
 
a)
Name
GlaxoSmithKline plc
 
b)
LEI
5493000HZTVUYLO1D793
 
3.
Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transaction(s) has been conducted
 
a)
Description of the financial instrument
Ordinary shares of 25 pence each ('Ordinary Shares')
 
ISIN: GB0009252882
b)
Nature of the transaction
Increase in notional interest in Ordinary Shares following the re-investment of dividends paid to shareholders on 7 October 2021 on Ordinary Shares held in the Company's Deferred Annual Bonus Plan
 
c)
Price(s) and volume(s)
 
Price(s)
Volume(s)
 
 
 
£14.0080
163
 
 
 
 
 
 
d)
Aggregated information
 
N/A (single transaction)
 
Aggregated volume
Price
 
 
e)
Date of the transaction
2021-10-11
 
f)
Place of the transaction
 
London Stock Exchange (XLON)
 
 
 
 
 
SIGNATURES
 
 
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorised.
 
GlaxoSmithKline plc
 
(Registrant)
 
 
Date: October 14, 2021
 
 
 
 
By:/s/ VICTORIA WHYTE
--------------------------
 
 
 
Victoria Whyte
 
Authorised Signatory for and on
 
behalf of GlaxoSmithKline plc