0000950157-18-000389.txt : 20180404 0000950157-18-000389.hdr.sgml : 20180404 20180404124804 ACCESSION NUMBER: 0000950157-18-000389 CONFORMED SUBMISSION TYPE: 6-K PUBLIC DOCUMENT COUNT: 5 CONFORMED PERIOD OF REPORT: 20180404 FILED AS OF DATE: 20180404 DATE AS OF CHANGE: 20180404 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: 18736500 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
 
April 4, 2018
 
Commission File Number: 001-38159


 
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 April 4, 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 April 4, 2018.
 
 
Exhibit 2   Press Release entitled “Notification and public disclosure of transactions by persons discharging managerial responsibilities and persons closely associated with them” dated April 4, 2018.
     
Exhibit 3   Press Release entitled “Notification and public disclosure of transactions by persons discharging managerial responsibilities and persons closely associated with them” dated April 4, 2018.
     
Exhibit 4   Press Release entitled “Notification and public disclosure of transactions by persons discharging managerial responsibilities and persons closely associated with them” dated April 4, 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:  April 4, 2018




EX-1 2 ex-1.htm
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
Kingsley Wheaton
2
Reason for the notification
a)
Position/status
Regional Director, Americas and Sub-Saharan 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
Grant of options over ordinary shares under the British American Tobacco 5 year Sharesave Scheme.
c)
Price(s) and volume(s)
       
     
Price(s)
Volume(s)
 
     
£33.76
888
 
           
d)
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
888
 
£33.76
 
e)
Date of the transaction
2018-03-28
f)
Place of the transaction
London Stock Exchange (XLON)
 
Name of officer of issuer responsible for making notification: Sophie Kerr
 
Date of notification: 4 April 2018


EX-2 3 ex-2.htm
Exhibit 2

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
a)
Description of the financial instrument, type of instrument
 
Identification code
 
Ordinary shares of 25p each
 
GB0002875804
 
b)
Nature of the transaction
Grant of options over ordinary shares under the British American Tobacco 5 year Sharesave Scheme.
c)
Price(s) and volume(s)
       
     
Price(s)
Volume(s)
 
     
£33.76
444
 
           
d)
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
444
 
£33.76
 
e)
Date of the transaction
2018-03-28
f)
Place of the transaction
London Stock Exchange (XLON)
 
Name of officer of issuer responsible for making notification: Sophie Kerr
 
Date of notification: 4 April 2018


EX-3 4 ex-3.htm
Exhibit 3

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
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
Grant of options over ordinary shares under the British American Tobacco 3 year Sharesave Scheme.
c)
Price(s) and volume(s)
       
     
Price(s)
Volume(s)
 
     
£33.76
266
 
           
d)
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
266
 
£33.76
 
e)
Date of the transaction
2018-03-28
f)
Place of the transaction
London Stock Exchange (XLON)
 
Name of officer of issuer responsible for making notification: Sophie Kerr
 
Date of notification: 4 April 2018


EX-4 5 ex-4.htm
Exhibit 4

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

On 28 March 2018 the independent Trustee of the British American Tobacco Group Employee Trust released the following number of British American Tobacco p.l.c. 25p ordinary shares (the “Shares”) granted to the following Executive Director and persons discharging managerial responsibilities under the 2015 Long-Term Incentive Plan (“2015 Award”). Subsequent sales of shares are also set out below.

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
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 (2015 Award)
c)
Price(s) and volume(s)
       
     
Price(s)
Volume(s)
 
     
£nil
122,477
 
           
d)
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
122,477
 
£nil
 
e)
Date of the transaction
2018-03-28
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)
 
     
£40.43037
58,921
 
           
d)
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
58,921
 
£40.43037
 
e)
Date of the transaction
2018-03-28
f)
Place of the transaction
London Stock Exchange (XLON)




1
Details of the person discharging managerial responsibilities/person closely associated
a)
Name
Andrew Gray
2
Reason for the notification
a)
Position/status
Chief Marketing Officer
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 (2015 Award)
c)
Price(s) and volume(s)
       
     
Price(s)
Volume(s)
 
     
£nil
35,788
 
           
d)
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
35,788
 
£nil
 
e)
Date of the transaction
2018-03-28
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)
 
     
£39.245
17,189
 
           
d)
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
17,189
 
£39.245
 
e)
Date of the transaction
2018-03-28
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
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 (2015 Award)
c)
Price(s) and volume(s)
       
     
Price(s)
Volume(s)
 
     
£nil
23,195
 
           
d)
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
23,195
 
£nil
 
e)
Date of the transaction
2018-03-28
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)
 
     
£39.88
11,149
 
           
d)
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
11,149
 
£39.88
 
e)
Date of the transaction
2018-03-28
f)
Place of the transaction
London Stock Exchange (XLON)


 
 
1
Details of the person discharging managerial responsibilities/person closely associated
a)
Name
Kingsley Wheaton
2
Reason for the notification
a)
Position/status
Regional Director, Americas and Sub-Saharan 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
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 (2015 Award)
c)
Price(s) and volume(s)
       
     
Price(s)
Volume(s)
 
     
£nil
28,332
 
           
d)
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
28,332
 
£nil
 
e)
Date of the transaction
2018-03-28
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)
 
     
£40.445
13,619
 
           
d)
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
13,619
 
£40.445
 
e)
Date of the transaction
2018-03-28
f)
Place of the transaction
London Stock Exchange (XLON)
 
Name of officer of issuer responsible for making notification: Sophie Kerr
 
Date of notification: 4 April 2018