0000950157-20-001442.txt : 20201214 0000950157-20-001442.hdr.sgml : 20201214 20201214151245 ACCESSION NUMBER: 0000950157-20-001442 CONFORMED SUBMISSION TYPE: 6-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201214 FILED AS OF DATE: 20201214 DATE AS OF CHANGE: 20201214 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: 201385991 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 form6-k.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 Exchange Act of 1934
 
December 14, 2020
 
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. as of December 14, 2020.
 

EXHIBIT INDEX
 
Exhibit
 
Description
   
Exhibit 1
  
Press Release entitled “TR-1: Notification of major holdings” dated December 14, 2020.
 
  

 
 
 


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/ Oliver Martin
  
    Name: 
Oliver Martin
  
    Title:   
Assistant Secretary
  
       
 
Date:  December 14, 2020






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


British American Tobacco p.l.c.
TR-1: Notification of major holdings
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
X
An acquisition or disposal of financial instruments
X
An event changing the breakdown of voting rights
  
Other (please specify)iii:
  
3. Details of person subject to the notification obligationiv
Name
Spring Mountain Investments Ltd.
Northfield Investments Limited
City and country of registered office (if applicable)
Grand Cayman, Cayman Islands
4. Full name of shareholder(s) (if different from 3)v
Name
N/A
City and country of registered office (if applicable)
  
5. Date on which the threshold was crossed or reachedvi:
09 December 2020
6. Date on which issuer notified (DD/MM/YYYY):
11 December 2020
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
3.8718%
0.1584%
4.0302%
2,294,242,944
Position of previous notification (if
applicable)
3.0204%
0.00%
3.0204%
  

1
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)
88,351,592
  
3.8510%
  
ADRs
(ISIN: US1104481072)
477,665
  
0.0208%
  
SUBTOTAL 8. A
88,829,257
3.8718%
 
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
Total Return Swap
December 10, 2021
  
Cash
3,633,301
0.1584%
           
     
SUBTOTAL 8.B.2
3,633,301
0.1584%
 

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
Kenneth Bryan Dart
      
Portfolio Services Ltd.
      
Spring Mountain Investments Ltd.
3.8588%
0.00%
3.8588%
Northfield Investments 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
Grand Cayman, Cayman Islands
Date of completion
11 December 2020


Name of duly authorised officer of issuer responsible for making notification:
O Martin
Assistant Secretary
British American Tobacco p.l.c.
14 December 2020
Enquiries:
 Investor Relations
Mike Nightingale/Victoria Buxton/William Houston/John Harney        
+44 20 7845 1180/2012/1138/1263
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