0001654954-22-001787.txt : 20220217 0001654954-22-001787.hdr.sgml : 20220217 20220217121638 ACCESSION NUMBER: 0001654954-22-001787 CONFORMED SUBMISSION TYPE: 6-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220217 FILED AS OF DATE: 20220217 DATE AS OF CHANGE: 20220217 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: 22646603 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 a0488c.htm DIRECTOR/PDMR SHAREHOLDING a0488c
 
 
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 February 2022
 
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')
Vesting of Conditional Share Awards under the Share Value Plan and Sale of Ordinary Shares and American Depositary Shares
 
This notification sets out the vesting details for Person Discharging Managerial Responsibilities ('PDMRs') of Conditional Share Awards over Ordinary Shares and American Depositary Shares ('ADSs') made in 2019 under the GlaxoSmithKline Share Value Plan and the subsequent sale of Ordinary Shares and ADSs to meet tax liabilities. The awards, which were conditional on continued employment with the GlaxoSmithKline group, vested on 14 February 2022.
 
 
Transaction notification
 
1.
Details of PDMR/person closely associated with them ('PCA')
a)
Name
Ms S Ramakrishnan
b)
Position/status
Chief Digital and 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
The vesting of ADSs awarded in 2019 under the Company's Share Value Plan.
c)
Price(s) and volume(s)
 
Price(s)
Volume(s)
 
 
$0.00
7,654
 
 
 
 
 
d)
Aggregated information
 
N/A (single transaction)
 
Aggregated volume
Price
 
 
e)
Date of the transaction
2022-02-13
f)
Place of the transaction
 
N/A
 
 
1.
Details of PDMR/person closely associated with them ('PCA')
a)
Name
Ms S Ramakrishnan
b)
Position/status
Chief Digital and 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
The sale of ADSs to meet tax liabilities on the vesting of awards granted in 2019 under the Company's Share Value Plan.  ..
c)
Price(s) and volume(s)
 
Price(s)
Volume(s)
 
 
$42.9532
4,104
 
 
 
 
 
d)
Aggregated information
 
N/A (single transaction)
 
Aggregated volume
Price
 
 
e)
Date of the transaction
2022-02-14
f)
Place of the transaction
 
New York Stock Exchange (XNYS)
 
 
1.
Details of PDMR/person closely associated with them ('PCA')
a)
Name
Ms D Waterhouse
b)
Position/status
CEO, 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
The vesting of Ordinary Shares awarded in 2019 under the Company's Share Value Plan.
c)
Price(s) and volume(s)
 
Price(s)
Volume(s)
 
 
£0.00
13,780
 
 
 
 
 
d)
Aggregated information
 
N/A (single transaction)
 
Aggregated volume
Price
 
 
e)
Date of the transaction
2022-02-13
f)
Place of the transaction
 
N/A
 
 
1.
Details of PDMR/person closely associated with them ('PCA')
a)
Name
Ms D Waterhouse
b)
Position/status
CEO, 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
The sale of Ordinary Shares to meet tax liabilities on the vesting of awards granted in 2019 under the Company's Share Value Plan. 
c)
Price(s) and volume(s)
 
Price(s)
Volume(s)
 
 
£15.8987
6,477
 
 
 
 
 
d)
Aggregated information
 
N/A (single transaction)
 
Aggregated volume
Price
 
 
e)
Date of the transaction
2022-02-14
f)
Place of the transaction
 
London Stock Exchange (XLON)
 
 
1.
Details of PDMR/person closely associated with them ('PCA')
a)
Name
Ms V Whyte
b)
Position/status
Company Secretary
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
The vesting of Ordinary Shares awarded in 2019 under the Company's Share Value Plan.
c)
Price(s) and volume(s)
 
Price(s)
Volume(s)
 
 
£0.00
13,070
 
 
 
 
 
d)
Aggregated information
 
N/A (single transaction)
 
Aggregated volume
Price
 
 
e)
Date of the transaction
2022-02-13
f)
Place of the transaction
 
N/A
 
 
1.
Details of PDMR/person closely associated with them ('PCA')
a)
Name
Ms V Whyte
b)
Position/status
Company Secretary
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
The sale of Ordinary Shares to meet tax liabilities on the vesting of awards granted in 2019 under the Company's Share Value Plan. 
c)
Price(s) and volume(s)
 
Price(s)
Volume(s)
 
 
£15.8987
6,143
 
 
 
 
 
d)
Aggregated information
 
N/A (single transaction)
 
Aggregated volume
Price
 
 
e)
Date of the transaction
2022-02-14
f)
Place of the transaction
 
London Stock Exchange (XLON)
 
 
1.
Details of PDMR/person closely associated with them ('PCA')
a)
Name
Mr D Jackson
b)
Position/status
PCA of Ms S Jackson (SVP, Global Communications and 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
The vesting of Ordinary Shares awarded in 2019 under the Company's Share Value Plan.
c)
Price(s) and volume(s)
 
Price(s)
Volume(s)
 
 
£0.00
6,330
 
 
 
 
 
d)
Aggregated information
 
N/A (single transaction)
 
Aggregated volume
Price
 
 
e)
Date of the transaction
2022-02-13
f)
Place of the transaction
 
N/A
 
 
1.
Details of PDMR/person closely associated with them ('PCA')
a)
Name
Mr D Jackson
b)
Position/status
PCA of Ms S Jackson (SVP, Global Communications and 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
The sale of Ordinary Shares to meet tax liabilities on the vesting of awards granted in 2019 under the Company's Share Value Plan. 
c)
Price(s) and volume(s)
 
Price(s)
Volume(s)
 
 
£15.8987
2,976
 
 
 
 
 
d)
Aggregated information
 
N/A (single transaction)
 
Aggregated volume
Price
 
 
e)
Date of the transaction
2022-02-14
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: February 17, 2022
 
 
 
 
By:/s/ VICTORIA WHYTE
--------------------------
 
 
 
Victoria Whyte
 
Authorised Signatory for and on
 
behalf of GlaxoSmithKline plc