0000950157-17-001435.txt : 20171016 0000950157-17-001435.hdr.sgml : 20171016 20171016135837 ACCESSION NUMBER: 0000950157-17-001435 CONFORMED SUBMISSION TYPE: 6-K PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20171016 FILED AS OF DATE: 20171016 DATE AS OF CHANGE: 20171016 FILER: COMPANY DATA: COMPANY CONFORMED NAME: British American Tobacco p.l.c. CENTRAL INDEX KEY: 0001303523 STANDARD INDUSTRIAL CLASSIFICATION: CIGARETTES [2111] IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 6-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-38159 FILM NUMBER: 171138358 BUSINESS ADDRESS: STREET 1: GLOBE HOUSE STREET 2: 4 TEMPLE PLACE CITY: LONDON STATE: X0 ZIP: WC2R 2PG BUSINESS PHONE: 44-207-845-2000 MAIL ADDRESS: STREET 1: GLOBE HOUSE STREET 2: 4 TEMPLE PLACE CITY: LONDON STATE: X0 ZIP: WC2R 2PG 6-K 1 form6k.htm REPORT OF FOREIGN ISSUER
 
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 and Exchange Act of 1934
 
October 16, 2017
 
Commission File Number: 333-217939

 
BRITISH AMERICAN TOBACCO P.L.C.
(Translation of registrant’s name into English)

 
Globe House
4 Temple Place
London WC2R 2PG
United Kingdom
(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 ☒              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):  ☐
 
 

 


 
This report includes materials as exhibits that have been published and made available by British American Tobacco p.l.c. to its shareholders as of October 16, 2017.

EXHIBIT INDEX
 
Exhibit
 
Description
   
Exhibit 1  
Press Release entitled “Notification and public disclosure of transactions by persons discharging managerial responsibilities and persons closely associated with them” dated October 16, 2017.
Exhibit 2  
Press Release entitled “Notification and public disclosure of transactions by persons discharging managerial responsibilities and persons closely associated with them” dated October 16, 2017.
Exhibit 3  
Press Release entitled “Notification of Major Holdings” dated October 16, 2017. 

 
 
 
 
 
 
 

 


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 authorized.
 
 
 
British American Tobacco p.l.c.
  
       
       
       
 
By:
/s/ Bridget Creegan  
    Name:  Bridget Creegan   
    Title:    Assistant Secretary  
       
 
Date:  October 16, 2017





 EX-99.1 2 ex-1.htm PRESS RELEASE
Exhibit 1
 

NOTIFICATION AND PUBLIC DISCLOSURE OF TRANSACTIONS BY PERSONS DISCHARGING
MANAGERIAL RESPONSIBILITIES AND PERSONS CLOSELY ASSOCIATED WITH THEM


1
Details of the person discharging managerial responsibilities / person closely associated
 
 
a)
Name
 
Naresh Sethi
2
Reason for the notification
 
a)
Position/status
 
 
Director, Business Development
b)
Initial notification /Amendment
 
Initial notification
3
Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
 
a)
Name
 
British American Tobacco p.l.c.
b)
LEI
 
213800FKA5MF17RJKT63
4
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 transactions have been conducted
Transaction 1
 
a)
Description of the financial instrument,
type of instrument
 
Identification code
 
 
Ordinary shares of 25p each
 
GB0002875804
b)
Nature of the transaction
 
 
Exercise of options under the British American Tobacco Long-Term Incentive Plan (2014 Award)
c)
Price(s) and volume(s)
        
     
Price(s)
 
Volume(s)
  
     
£nil
 
14,648
  
           
d)
 
 
Aggregated information
 
- Aggregated volume
 
 
- Price
 
 
 
 
14,648
 
 
£nil
e)
Date of the transaction
 
2017-10-11
f)
Place of the transaction
 
London Stock Exchange (XLON)
 
 


 
Transaction 2
 
a)
Description of the financial instrument,
type of instrument
 
Identification code
 
Ordinary shares of 25p each
 
GB0002875804
 
b)
Nature of the transaction
 
 
Sale of shares to meet tax liability arising on exercise of Long-Term Incentive Plan options
c)
Price(s) and volume(s)
        
     
Price(s)
 
Volume(s)
  
     
£48.976160
 
7,035
  
           
d)
Aggregated information
 
- Aggregated volume
 
 
- Price
 
 
 
 
7,035
 
 
£48.976160
 
 
e)
Date of the transaction
 
 
2017-10-11
f)
Place of the transaction
 
London Stock Exchange (XLON)
Transaction 3
 
a)
Description of the financial instrument,
type of instrument
 
Identification code
 
 
 
Ordinary shares of 25p each
 
GB0002875804
 
 
b)
Nature of the transaction
 
 
Exercise of options over ordinary shares under the March 2014 British American Tobacco 3 Year Sharesave Scheme.
c)
Price(s) and volume(s)
        
     
Price(s)
 
Volume(s)
  
     
£26.00
 
346
  
           
d)
 
 
Aggregated information
 
- Aggregated volume
 
 
- Price
 
 
 
 
346
 
 
£26.00
 
 
e)
Date of the transaction
 
2017-10-11
f)
Place of the transaction
 
London Stock Exchange (XLON)

 


 
Transaction 4
 
a)
 
 
Description of the financial instrument,
type of instrument
 
Identification code
 
Ordinary shares of 25p each
 
GB0002875804
 
b)
Nature of the transaction
 
 
Exercise of options over ordinary shares under the August 2014 British American Tobacco 3 Year Sharesave Scheme.
c)
Price(s) and volume(s)
        
     
Price(s)
 
Volume(s)
  
     
£27.87
 
322
  
           
d)
Aggregated information
 
- Aggregated volume
 
 
- Price
 
 
 
 
322
 
 
£27.87
e)
Date of the transaction
 
 
2017-10-11
f)
Place of the transaction
 
London Stock Exchange (XLON)



Name of officer of issuer responsible for making notification: Bridget Creegan
 
Date of notification: 16 October 2017
 
 EX-99.2 3 ex-2.htm PRESS RELEASE
Exhibit 2
 
British American Tobacco p.l.c.


Notification and Public Disclosure of Transactions by Persons Discharging
Managerial Responsibilities and Persons Closely Associated With Them

 
 
1
Details of the person discharging managerial responsibilities / person closely associated
 
a)
Name
 
Alan Davy
2
Reason for the notification
 
a)
Position/status
 
Director, Operations
b)
Initial notification /Amendment
 
Initial notification
3
Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
 
a)
 
Name
 
British American Tobacco p.l.c.
b)
 
LEI
 
213800FKA5MF17RJKT63
4
 
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 transactions have been conducted
 
a)
 
Description of the financial instrument,
type of instrument
 
Identification code
 
 
Ordinary shares of 25p each
 
GB0002875804
 
b)
Nature of the transaction
Acquisition of shares as a result of reinvestment by ISA Manager of income received.
 
c)
Price(s) and volume(s)
        
     
Price(s)
 
Volume(s)
  
     
£49.135
2
  
           
d)
 
Aggregated information
 
- Aggregated volume
 
 
- Price
 
 
 
2
 
 
£49.135
 
e)
 
Date of the transaction
 
2017-10-12
f)
 
Place of the transaction
 
London Stock Exchange (XLON)

 


Name of officer of issuer responsible for making notification: Bridget Creegan
 
Date of notification: 16 October 2017
 





EX-99.3 4 ex-3.htm PRESS RELEASE
Exhibit 3
 

British American Tobacco p.l.c.
 
TR-1: Standard form for notification of major holdings
 

NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer and to the FCA in Microsoft Word format if possible)i
 
1a. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attachedii:
British American Tobacco p.l.c.
1b. Please indicate if the issuer is a non-UK issuer  (please mark with an “X” if appropriate)
Non-UK issuer
  
2. Reason for the notification (please mark the appropriate box or boxes with an “X”)
An acquisition or disposal of voting rights
  
An acquisition or disposal of financial instruments
  
An event changing the breakdown of voting rights
X
Other (please specify)iii:
  
3. Details of person subject to the notification obligationiv
Name
Reinet Investments S.C.A.
City and country of registered office (if applicable)
Luxembourg, Luxembourg
4. Full name of shareholder(s) (if different from 3.)v
Name
Reinet Jersey Holdings Limited
City and country of registered office (if applicable)
St. Helier, Jersey
5. Date on which the threshold was crossed or reachedvi:
25 July 2017
6. Date on which issuer notified (DD/MM/YYYY):
06/10/2017
(received by issuer on 16/10/2017)
7. Total positions of person(s) subject to the notification obligation
 
% of voting rights
attached to shares
(total of 8. A)
% of voting rights
through financial
instruments
(total of 8.B 1 + 8.B 2)
Total of both in %
(8.A + 8.B)
Total number of
voting rights of
issuervii
Resulting situation on the date on which threshold was crossed or reached
2.97%
  
2.97%
68,053,670
Position of previous notification (if applicable)
3.97%
  
3.97%
  

 

 

8. Notified details of the resulting situation on the date on which the threshold was crossed or reachedviii
A: Voting rights attached to shares
Class/type of
shares
ISIN code (if possible)
Number of voting rightsix
% of voting rights
Direct
(Art 9 of Directive
2004/109/EC) (DTR5.1)
Indirect
(Art 10 of Directive
2004/109/EC) (DTR5.2.1)
Direct
(Art 9 of Directive
2004/109/EC) (DTR5.1)
Indirect
(Art 10 of Directive
2004/109/EC) (DTR5.2.1)
Ordinary Shares
(ISIN: GB0002875804)
  
68,053,670
  
2.97%
         
         
SUBTOTAL 8. A
68,053,670
2.97%
 
 
B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC (DTR5.3.1.1 (a))
Type of financial instrument
Expiration
datex
Exercise/
Conversion Periodxi
Number of voting rights that may be acquired if the instrument is
exercised/converted.
% of voting rights
N/A
        
         
         
   
SUBTOTAL 8. B 1
    
 
 
B 2: Financial Instruments with similar economic effect according to Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b))
Type of financial instrument
Expiration
datex
Exercise/
Conversion Period xi
Physical or cash
settlementxii
Number of voting rights
% of voting rights
N/A
          
           
           
     
SUBTOTAL 8.B.2
    
 



 


9. Information in relation to the person subject to the notification obligation (please mark the applicable box with an “X”)
Person subject to the notification obligation is not controlled by any natural person or legal entity and does not control any other undertaking(s) holding directly or indirectly an interest in the (underlying) issuerxiii
  
Full chain of controlled undertakings through which the voting rights and/or the financial instruments are effectively held starting with the ultimate controlling natural person or legal entityxiv (please add additional rows as necessary)
X
Namexv
% of voting rights if it equals or is higher than the notifiable threshold
% of voting rights through financial instruments if it equals or is higher than the notifiable threshold
Total of both if it equals or is higher than the notifiable threshold
Reinet Investments S.C.A.
      
Reinet Fund S.C.A. F.I.S.
      
Reinet Jersey Holdings Limited
      
 
 
10. In case of proxy voting, please identify:
Name of the proxy holder
N/A
The number and % of voting rights held
N/A
The date until which the voting rights will be held
N/A
 
11. Additional informationxvi
 

Place of completion
Luxembourg
Date of completion
6 October 2017


G C W Cunnington
Deputy Secretary
British American Tobacco p.l.c.

16 October 2017