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GSK Glaxosmithkline

Filed: 20 Feb 20, 9:44am
 
 
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 2020
 
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')
 
Conditional Share Awards and Shares withheld or sold to meet tax liabilities
 
This notification sets out details of the vesting of awards made in 2017 under the GlaxoSmithKline Share Value Plan and the subsequent sale of Ordinary Shares and American Depositary Shares ('ADSs') to meet tax liabilities arising on the vesting. The awards, which were conditional on continued employment with the GlaxoSmithKline group, vested on 17 February 2020 (for awards over Ordinary Shares) and 18 February 2020 (for awards over ADSs).
 
 
Transaction notification
 
1.Details of PDMR/person closely associated with them ('PCA')
a)NameMs D Conrad
b)Position/statusSVP, Human Resources
c)Initial notification/amendmentInitial notification
2.Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
a)NameGlaxoSmithKline plc
b)LEI5493000HZTVUYLO1D793
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 transactionThe vesting of Ordinary Shares awarded in 2017 under the Company's Share Value Plan.
c)Price(s) and volume(s) Price(s)Volume(s) 
 £0.0011,060 
    
d)Aggregated informationN/A (single transaction)
Aggregated volume Price 
e)Date of the transaction2020-02-17
f)Place of the transactionN/A
 
 
 
 
1.Details of PDMR/person closely associated with them ('PCA')
a)NameMs D Conrad
b)Position/statusSVP, Human Resources
c)Initial notification/amendmentInitial notification
2.Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
a)NameGlaxoSmithKline plc
b)LEI5493000HZTVUYLO1D793
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 transactionFollowing the vesting of Ordinary Shares awarded in 2017 under the Company's Share Value Plan, Ms Conrad received a cash amount of £184,000 (less applicable tax withholding) which is equal to the market value of the number of Ordinary Shares which would otherwise have been transferred to her.
c)Price(s) and volume(s) Price(s)Volume(s) 
 £16.61911,060 
    
d)Aggregated informationN/A (single transaction)
Aggregated volume Price 
e)Date of the transaction2020-02-18
f)Place of the transactionN/A
 
 
  
 
1.Details of PDMR/person closely associated with them ('PCA')
a)NameMr J Ford
b)Position/statusSVP & General Counsel
c)Initial notification/amendmentInitial notification
2.Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
a)NameGlaxoSmithKline plc
b)LEI5493000HZTVUYLO1D793
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 transactionThe vesting of ADSs awarded in 2017 under the Company's Share Value Plan.
c)Price(s) and volume(s) Price(s)Volume(s) 
 $0.006,320 
    
d)Aggregated informationN/A (single transaction)
Aggregated volume Price 
e)Date of the transaction2020-02-18
f)Place of the transactionN/A
 
 
 
 
1.Details of PDMR/person closely associated with them ('PCA')
a)NameMr J Ford
b)Position/statusSVP & General Counsel
c)Initial notification/amendmentInitial notification
2.Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
a)NameGlaxoSmithKline plc
b)LEI5493000HZTVUYLO1D793
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 transactionThe sale of ADSs to meet tax liabilities on the vesting of awards granted in 2017 under the Company's Share Value Plan. 
c)Price(s) and volume(s) Price(s)Volume(s) 
 $43.5442,971 
    
d)Aggregated informationN/A (single transaction)
Aggregated volume Price 
e)Date of the transaction2020-02-18
f)Place of the transactionNew York Stock Exchange (XNYS)
 
 
 
 
1.Details of PDMR/person closely associated with them ('PCA')
a)NameMs S Jackson
b)Position/statusSVP, Global Communications & CEO Office
c)Initial notification/amendmentInitial notification
2.Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
a)NameGlaxoSmithKline plc
b)LEI5493000HZTVUYLO1D793
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 transactionThe vesting of Ordinary Shares awarded in 2017 under the Company's Share Value Plan.
c)Price(s) and volume(s) Price(s)Volume(s) 
 £0.0013,070 
    
d)Aggregated informationN/A (single transaction)
Aggregated volume Price 
e)Date of the transaction2020-02-17
f)Place of the transactionN/A
 
 
 
 
1.Details of PDMR/person closely associated with them ('PCA')
a)NameMs S Jackson
b)Position/statusSVP, Global Communications & CEO Office
c)Initial notification/amendmentInitial notification
2.Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
a)NameGlaxoSmithKline plc
b)LEI5493000HZTVUYLO1D793
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 transactionThe sale of Ordinary Shares to meet tax liabilities on the vesting of awards granted in 2017 under the Company's Share Value Plan. 
c)Price(s) and volume(s) Price(s)Volume(s) 
 £16.6196,143 
    
d)Aggregated informationN/A (single transaction)
Aggregated volume Price 
e)Date of the transaction2020-02-17
f)Place of the transactionLondon Stock Exchange (XLON)
 
 
 
 
1.Details of PDMR/person closely associated with them ('PCA')
a)NameMr D Jackson
b)Position/statusPCA of Ms S Jackson (SVP, Global Communications & CEO Office)
c)Initial notification/amendmentInitial notification
2.Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
a)NameGlaxoSmithKline plc
b)LEI5493000HZTVUYLO1D793
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 transactionThe vesting of Ordinary Shares awarded in 2017 under the Company's Share Value Plan.
c)Price(s) and volume(s) Price(s)Volume(s) 
 £0.003,810 
    
d)Aggregated informationN/A (single transaction)
Aggregated volume Price 
e)Date of the transaction2020-02-17
f)Place of the transactionN/A
 
 
 
 
1.Details of PDMR/person closely associated with them ('PCA')
a)NameMr D Jackson
b)Position/statusPCA of Ms S Jackson (SVP, Global Communications & CEO Office)
c)Initial notification/amendmentInitial notification
2.Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
a)NameGlaxoSmithKline plc
b)LEI5493000HZTVUYLO1D793
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 transactionThe sale of Ordinary Shares to meet tax liabilities on the vesting of awards granted in 2017 under the Company's Share Value Plan. 
c)Price(s) and volume(s) Price(s)Volume(s) 
 £16.6191,791 
    
d)Aggregated informationN/A (single transaction)
Aggregated volume Price 
e)Date of the transaction2020-02-17
f)Place of the transactionLondon Stock Exchange (XLON)
 
 
 
 
1.Details of PDMR/person closely associated with them ('PCA')
a)NameMr R Simard
b)Position/statusPresident, Pharmaceuticals Supply Chain
c)Initial notification/amendmentInitial notification
2.Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
a)NameGlaxoSmithKline plc
b)LEI5493000HZTVUYLO1D793
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 transactionThe vesting of Ordinary Shares awarded in 2017 under the Company's Share Value Plan.
c)Price(s) and volume(s) Price(s)Volume(s) 
 £0.0011,060 
    
d)Aggregated informationN/A (single transaction)
Aggregated volume Price 
e)Date of the transaction2020-02-17
f)Place of the transactionN/A
 
 
 
 
1.Details of PDMR/person closely associated with them ('PCA')
a)NameMr R Simard
b)Position/statusPresident, Pharmaceuticals Supply Chain
c)Initial notification/amendmentInitial notification
2.Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
a)NameGlaxoSmithKline plc
b)LEI5493000HZTVUYLO1D793
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 transactionThe sale of Ordinary Shares to meet tax liabilities on the vesting of awards granted in 2017 under the Company's Share Value Plan. 
c)Price(s) and volume(s) Price(s)Volume(s) 
 £16.6195,199 
    
d)Aggregated informationN/A (single transaction)
Aggregated volume Price 
e)Date of the transaction2020-02-17
f)Place of the transactionLondon Stock Exchange (XLON)
 
 
 
 
1.Details of PDMR/person closely associated with them ('PCA')
a)NameMs D Waterhouse
b)Position/statusCEO of ViiV Healthcare
c)Initial notification/amendmentInitial notification
2.Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
a)NameGlaxoSmithKline plc
b)LEI5493000HZTVUYLO1D793
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 transactionThe vesting of Ordinary Shares awarded in 2017 under the Company's Share Value Plan.
c)Price(s) and volume(s) Price(s)Volume(s) 
 £0.0015,160 
    
d)Aggregated informationN/A (single transaction)
Aggregated volume Price 
e)Date of the transaction2020-02-17
f)Place of the transactionN/A
 
 
 
 
1.Details of PDMR/person closely associated with them ('PCA')
a)NameMs D Waterhouse
b)Position/statusCEO of ViiV Healthcare
c)Initial notification/amendmentInitial notification
2.Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
a)NameGlaxoSmithKline plc
b)LEI5493000HZTVUYLO1D793
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 transactionThe sale of Ordinary Shares to meet tax liabilities on the vesting of awards granted in 2017 under the Company's Share Value Plan. 
c)Price(s) and volume(s) Price(s)Volume(s) 
 £16.6197,126 
    
d)Aggregated informationN/A (single transaction)
Aggregated volume Price 
e)Date of the transaction2020-02-17
f)Place of the transactionLondon Stock Exchange (XLON)
 
 
 
 
1.Details of PDMR/person closely associated with them ('PCA')
a)NameMs V Whyte
b)Position/statusCompany Secretary
c)Initial notification/amendmentInitial notification
2.Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
a)NameGlaxoSmithKline plc
b)LEI5493000HZTVUYLO1D793
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 transactionThe vesting of Ordinary Shares awarded in 2017 under the Company's Share Value Plan.
c)Price(s) and volume(s) Price(s)Volume(s) 
 £0.0011,060 
    
d)Aggregated informationN/A (single transaction)
Aggregated volume Price 
e)Date of the transaction2020-02-17
f)Place of the transactionN/A
 
 
 
 
1.Details of PDMR/person closely associated with them ('PCA')
a)NameMs V Whyte
b)Position/statusCompany Secretary
c)Initial notification/amendmentInitial notification
2.Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
a)NameGlaxoSmithKline plc
b)LEI5493000HZTVUYLO1D793
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 transactionThe sale of Ordinary Shares to meet tax liabilities on the vesting of awards granted in 2017 under the Company's Share Value Plan. 
c)Price(s) and volume(s) Price(s)Volume(s) 
 £16.6195,199 
    
d)Aggregated informationN/A (single transaction)
Aggregated volume Price 
e)Date of the transaction2020-02-17
f)Place of the transactionLondon 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 20, 2020 
  
 
By:/s/ VICTORIA WHYTE
--------------------------
  
 Victoria Whyte
 Authorised Signatory for and on
 behalf of GlaxoSmithKline plc