0000950157-18-000225.txt : 20180212 0000950157-18-000225.hdr.sgml : 20180212 20180212130524 ACCESSION NUMBER: 0000950157-18-000225 CONFORMED SUBMISSION TYPE: 6-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20180212 FILED AS OF DATE: 20180212 DATE AS OF CHANGE: 20180212 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: 18595354 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
 
February 12, 2018
 
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 February 12, 2018.

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 February 12, 2018.
Exhibit 2  
Press Release entitled “B.A.T. International Finance p.l.c.: Notice of Additional Guarantor” dated February 12, 2018.

 
 
 
 
 
 
 

 



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/ Sophie Kerr  
    Name:  Sophie Kerr  
    Title:    Assistant Secretary  
       
 
Date:  February 12, 2018





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

British American Tobacco p.l.c.

Notification and public disclosure of transactions by persons discharging managerial responsibilities and persons closely associated with them

The Company has been notified by the trustee of the British American Tobacco Employee Share Ownership Plan that on 7 February 2018 the following Executive Directors and other persons discharging managerial responsibilities purchased ordinary shares of 25p each in British American Tobacco p.l.c. by way of the Partnership Share Scheme.

1
Details of the person discharging managerial responsibilities/person closely associated
a)
Name
Nicandro Durante
2
Reason for the notification
a)
Position/status
Chief Executive
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
Purchase of ordinary shares under the Partnership Share Scheme – a HMRC approved Share Incentive Plan
c)
Price(s) and volume(s)
       
     
Price(s)
Volume(s)
 
     
£45.475
3
 
           
d)
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
3
 
£45.475
e)
Date of the transaction
2018-02-07
f)
Place of the transaction
London Stock Exchange (XLON)
 
 


 
1
Details of the person discharging managerial responsibilities/person closely associated
a)
Name
John Benedict Stevens
2
Reason for the notification
a)
Position/status
Finance Director
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
Purchase of ordinary shares under the Partnership Share Scheme – a HMRC approved Share Incentive Plan
c)
Price(s) and volume(s)
       
     
Price(s)
Volume(s)
 
     
£45.475
3
 
           
d)
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
3
 
£45.475
e)
Date of the transaction
2018-02-07
f)
Place of the transaction
London Stock Exchange (XLON)




 
1
Details of the person discharging managerial responsibilities/person closely associated
a)
Name
Jerome Abelman
2
Reason for the notification
a)
Position/status
Director, Legal & External Affairs and General Counsel
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
Purchase of ordinary shares under the Partnership Share Scheme – a HMRC approved Share Incentive Plan
c)
Price(s) and volume(s)
       
     
Price(s)
Volume(s)
 
     
£45.475
3
 
           
d)
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
3
 
£45.475
e)
Date of the transaction
2018-02-07
f)
Place of the transaction
London Stock Exchange (XLON)




 
1
Details of the person discharging managerial responsibilities/person closely associated
a)
Name
Giovanni Giordano
2
Reason for the notification
a)
Position/status
Director, Group Human Resources
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
Purchase of ordinary shares under the Partnership Share Scheme – a HMRC approved Share Incentive Plan
c)
Price(s) and volume(s)
       
     
Price(s)
Volume(s)
 
     
£45.475
3
 
           
d)
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
3
 
£45.475
e)
Date of the transaction
2018-02-07
f)
Place of the transaction
London Stock Exchange (XLON)



 

1
Details of the person discharging managerial responsibilities/person closely associated
a)
Name
Tadeu Marroco
2
Reason for the notification
a)
Position/status
Regional Director, Europe and North Africa
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
Purchase of ordinary shares under the Partnership Share Scheme – a HMRC approved Share Incentive Plan
c)
Price(s) and volume(s)
       
     
Price(s)
Volume(s)
 
     
£45.475
4
 
           
d)
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
4
 
£45.475
e)
Date of the transaction
2018-02-07
f)
Place of the transaction
London Stock Exchange (XLON)




 
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
a)
Description of the financial instrument, type of instrument
 
Identification code
Ordinary shares of 25p each
 
GB0002875804
b)
Nature of the transaction
Purchase of ordinary shares under the Partnership Share Scheme – a HMRC approved Share Incentive Plan
c)
Price(s) and volume(s)
       
     
Price(s)
Volume(s)
 
     
£45.475
3
 
           
d)
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
3
 
£45.475
e)
Date of the transaction
2018-02-07
f)
Place of the transaction
London Stock Exchange (XLON)





1
Details of the person discharging managerial responsibilities/person closely associated
a)
Name
Johan Vandermeulen
2
Reason for the notification
a)
Position/status
Regional Director, Asia-Pacific and Middle East
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
Purchase of ordinary shares under the Partnership Share Scheme – a HMRC approved Share Incentive Plan
c)
Price(s) and volume(s)
       
     
Price(s)
Volume(s)
 
     
£45.475
4
 
           
d)
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
4
 
£45.475
e)
Date of the transaction
2018-02-07
f)
Place of the transaction
London Stock Exchange (XLON)
 
 
Name of officer of issuer responsible for making notification: Sophie Kerr
 
Date of notification: 12 February 2018
 

EX-2 3 ex-2.htm B.A.T. INTERNATIONAL FINANCE P.L.C.: NOTICE OF ADDITIONAL GUARANTOR
Exhibit 2
 

B.A.T. International Finance p.l.c.


Notice of an additional guarantor to the holders of the series of guaranteed notes each issued by B.A.T. International Finance p.l.c. ("BATIF") under the £25,000,000,000 Euro Medium Term Note Programme of BATIF, British American Tobacco Holdings (The Netherlands) B.V. ("BATHTN"), B.A.T. Netherlands Finance B.V. (“BATNF”) and B.A.T Capital Corporation (“BATCAP”) (as Issuers) and British American Tobacco p.l.c. ("British American Tobacco") and each of the Issuers (except where it is the relevant Issuer) (as Guarantors).
Notice is hereby given to the holders of the:

 
·
Series 40 €750,000,000 2.375 per cent. Guaranteed Notes due 2023 (ISIN: XS0856014583) (the "Series 40 Notes");
     
 
·
Series 42 €650,000,000 2.750 per cent. Guaranteed Notes due 2025 (ISIN: XS0909359332) (the "Series 42 Notes");
     
 
·
Series 43 £650,000,000 4.000 per cent. Guaranteed Notes due 2026 (ISIN: XS0969309847) (the "Series 43 Notes");
     
 
·
Series 44 €600,000,000 3.125 per cent. Guaranteed Notes due 2029 (ISIN: XS1043097630) (the “Series 44 Notes”);
     
 
·
Series 45 €400,000,000 Floating Rate Guaranteed Notes due 2018 (ISIN: XS1043096400) (the "Series 45 Notes");
     
 
·
Series 47 CHF400,000,000 0.625 per cent. Guaranteed Notes due 2021 (ISIN: CH0253514753) (the "Series 47 Notes");
     
 
·
Series 48 CHF250,000,000 1.375 per cent. Guaranteed Notes due 2026 (ISIN: CH0253514761) (the "Series 48 Notes");
     
 
·
Series 49 €800,000,000 0.375 per cent. Guaranteed Notes due 2019 (ISIN: XS1203851941) (the "Series 49 Notes");
     
 
·
Series 50 €800,000,000 0.875 per cent. Guaranteed Notes due 2023 (ISIN: XS1203854960) (the "Series 50 Notes");
     
 
·
Series 51 €800,000,000 1.250 per cent. Guaranteed Notes due 2027 (ISIN: XS1203859928) (the "Series 51 Notes");
     
 
·
Series 52 €600,000,000 2.000 per cent. Guaranteed Notes due 2045 (ISIN: XS1203860934) (the "Series 52 Notes");
     
 
·
Series 53 €600,000,000 1.000 per cent. Guaranteed Notes due 2022 (ISIN: XS1324928750) (the "Series 53 Notes");
     
 
·
Series 54 £350,000,000 4.000 per cent. Guaranteed Notes due 2055 (ISIN: XS1324911608) (the "Series 54 Notes");
     
 
·
Series 55 £500,000,000 1.750 per cent. Guaranteed Notes due 2021 (ISIN: XS1441635833) (the "Series 55 Notes");
     
 
·
Series 56 £650,000,000 2.250 per cent. Guaranteed Notes due 2052 (ISIN: XS1488409977) (the "Series 56 Notes"); and
     
 
·
Series 57 US$650,000,000 1.625 per cent. Guaranteed Notes due 2019 (ISIN: XS1488421592) (the "Series 57 Notes", and together with the Series 40 Notes, Series 42 Notes, Series 43 Notes, Series 44 Notes, Series 45 Notes, Series 47 Notes, Series 48 Notes, Series 49 Notes, Series 50 Notes, Series 51 Notes, Series 52 Notes, Series 53 Notes, Series 54 Notes, Series 55 Notes, and Series 56 Notes, the "Notes"),


that, pursuant to the principal trust deed dated 6 July 1998 (as modified, restated and/or supplemented), last supplemented by the Twenty-Ninth Supplemental Trust Deed dated 12 February 2018 (the “Trust Deed”) made between each of BATIF, BATHTN, BATNF, BATCAP, British American Tobacco and The Law Debenture Trust Corporation p.l.c. (the “Trustee”), with effect on and from 13 February 2018:

(i)
BATCAP will accede as a guarantor in respect of the Notes under the Trust Deed as subsequently modified;
 
 

 
 
(ii)
the Notes will continue to benefit from the joint and several guarantee of BATNF, BATHTN and British American Tobacco, and, up to an including the applicable termination date as set out in the Deed of Guarantee between BATIF, BATHTN, BATNF, BATCAP, British American Tobacco, Reynolds American Inc. (“RAI”) and the Trustee dated 2 August 2017, by RAI; and
   
(iii)
the Principal Paying Agent for the above Notes is Citibank, N.A., London Branch, Citigroup Centre, Canada Square, Canary Wharf, London E14 5LB.

All words and expressions defined in the Trust Deed shall (save as otherwise provided herein or unless the context otherwise requires) have the same meanings herein.


Enquiries

British American Tobacco Press Office
+44 (0)20 7845 2888 (24 hours)│@BATPress

Investor Relations
Mike Nightingale/Rachael Brierley/Stephanie Brassinne
+44 (0)20 7845 1180/1519/2012

British American Tobacco p.l.c.
Globe House
4 Temple Place
London WC2R 2PG
 
12 February 2018