Report of Foreign Issuer (6-k)
February 20 2020 - 9:45AM
Edgar (US Regulatory)
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)
|
Name
|
Ms D Conrad
|
|
b)
|
Position/status
|
SVP,
Human Resources
|
|
c)
|
Initial
notification/amendment
|
Initial notification
|
|
2.
|
Details of the issuer, emission allowance market participant,
auction platform, auctioneer or auction monitor
|
|
a)
|
Name
|
GlaxoSmithKline plc
|
|
b)
|
LEI
|
5493000HZTVUYLO1D793
|
|
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 transaction
|
The vesting of Ordinary Shares awarded in 2017 under the Company's
Share Value Plan.
|
|
c)
|
Price(s)
and volume(s)
|
|
Price(s)
|
Volume(s)
|
|
|
|
£0.00
|
11,060
|
|
|
|
|
|
|
|
d)
|
Aggregated
information
|
N/A (single transaction)
|
|
Aggregated
volume Price
|
|
|
e)
|
Date
of the transaction
|
2020-02-17
|
|
f)
|
Place
of the transaction
|
N/A
|
|
1.
|
Details of PDMR/person closely associated with them
('PCA')
|
|
a)
|
Name
|
Ms D Conrad
|
|
b)
|
Position/status
|
SVP,
Human Resources
|
|
c)
|
Initial
notification/amendment
|
Initial notification
|
|
2.
|
Details of the issuer, emission allowance market participant,
auction platform, auctioneer or auction monitor
|
|
a)
|
Name
|
GlaxoSmithKline plc
|
|
b)
|
LEI
|
5493000HZTVUYLO1D793
|
|
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 transaction
|
Following 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)
|
|
|
|
£16.619
|
11,060
|
|
|
|
|
|
|
|
d)
|
Aggregated
information
|
N/A (single transaction)
|
|
Aggregated
volume Price
|
|
|
e)
|
Date
of the transaction
|
2020-02-18
|
|
f)
|
Place
of the transaction
|
N/A
|
|
1.
|
Details of PDMR/person closely associated with them
('PCA')
|
|
a)
|
Name
|
Mr J Ford
|
|
b)
|
Position/status
|
SVP
& General Counsel
|
|
c)
|
Initial
notification/amendment
|
Initial notification
|
|
2.
|
Details of the issuer, emission allowance market participant,
auction platform, auctioneer or auction monitor
|
|
a)
|
Name
|
GlaxoSmithKline plc
|
|
b)
|
LEI
|
5493000HZTVUYLO1D793
|
|
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 transaction
|
The vesting of ADSs awarded in 2017 under the Company's Share Value
Plan.
|
|
c)
|
Price(s)
and volume(s)
|
|
Price(s)
|
Volume(s)
|
|
|
|
$0.00
|
6,320
|
|
|
|
|
|
|
|
d)
|
Aggregated
information
|
N/A (single transaction)
|
|
Aggregated
volume Price
|
|
|
e)
|
Date
of the transaction
|
2020-02-18
|
|
f)
|
Place
of the transaction
|
N/A
|
|
1.
|
Details of PDMR/person closely associated with them
('PCA')
|
|
a)
|
Name
|
Mr J Ford
|
|
b)
|
Position/status
|
SVP
& General Counsel
|
|
c)
|
Initial
notification/amendment
|
Initial notification
|
|
2.
|
Details of the issuer, emission allowance market participant,
auction platform, auctioneer or auction monitor
|
|
a)
|
Name
|
GlaxoSmithKline plc
|
|
b)
|
LEI
|
5493000HZTVUYLO1D793
|
|
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 transaction
|
The 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)
|
|
|
|
$43.544
|
2,971
|
|
|
|
|
|
|
|
d)
|
Aggregated
information
|
N/A (single transaction)
|
|
Aggregated
volume Price
|
|
|
e)
|
Date
of the transaction
|
2020-02-18
|
|
f)
|
Place
of the transaction
|
New York Stock Exchange (XNYS)
|
|
1.
|
Details of PDMR/person closely associated with them
('PCA')
|
|
a)
|
Name
|
Ms S Jackson
|
|
b)
|
Position/status
|
SVP,
Global Communications & CEO Office
|
|
c)
|
Initial
notification/amendment
|
Initial notification
|
|
2.
|
Details of the issuer, emission allowance market participant,
auction platform, auctioneer or auction monitor
|
|
a)
|
Name
|
GlaxoSmithKline plc
|
|
b)
|
LEI
|
5493000HZTVUYLO1D793
|
|
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 transaction
|
The vesting of Ordinary Shares awarded in 2017 under the Company's
Share Value Plan.
|
|
c)
|
Price(s)
and volume(s)
|
|
Price(s)
|
Volume(s)
|
|
|
|
£0.00
|
13,070
|
|
|
|
|
|
|
|
d)
|
Aggregated
information
|
N/A (single transaction)
|
|
Aggregated
volume Price
|
|
|
e)
|
Date
of the transaction
|
2020-02-17
|
|
f)
|
Place
of the transaction
|
N/A
|
|
1.
|
Details of PDMR/person closely associated with them
('PCA')
|
|
a)
|
Name
|
Ms S Jackson
|
|
b)
|
Position/status
|
SVP,
Global Communications & CEO Office
|
|
c)
|
Initial
notification/amendment
|
Initial notification
|
|
2.
|
Details of the issuer, emission allowance market participant,
auction platform, auctioneer or auction monitor
|
|
a)
|
Name
|
GlaxoSmithKline plc
|
|
b)
|
LEI
|
5493000HZTVUYLO1D793
|
|
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 transaction
|
The 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)
|
|
|
|
£16.619
|
6,143
|
|
|
|
|
|
|
|
d)
|
Aggregated
information
|
N/A (single transaction)
|
|
Aggregated
volume Price
|
|
|
e)
|
Date
of the transaction
|
2020-02-17
|
|
f)
|
Place
of the transaction
|
London Stock Exchange (XLON)
|
|
1.
|
Details of PDMR/person closely associated with them
('PCA')
|
|
a)
|
Name
|
Mr D Jackson
|
|
b)
|
Position/status
|
PCA of
Ms S Jackson (SVP, Global Communications & CEO
Office)
|
|
c)
|
Initial
notification/amendment
|
Initial notification
|
|
2.
|
Details of the issuer, emission allowance market participant,
auction platform, auctioneer or auction monitor
|
|
a)
|
Name
|
GlaxoSmithKline plc
|
|
b)
|
LEI
|
5493000HZTVUYLO1D793
|
|
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 transaction
|
The vesting of Ordinary Shares awarded in 2017 under the Company's
Share Value Plan.
|
|
c)
|
Price(s)
and volume(s)
|
|
Price(s)
|
Volume(s)
|
|
|
|
£0.00
|
3,810
|
|
|
|
|
|
|
|
d)
|
Aggregated
information
|
N/A (single transaction)
|
|
Aggregated
volume Price
|
|
|
e)
|
Date
of the transaction
|
2020-02-17
|
|
f)
|
Place
of the transaction
|
N/A
|
|
1.
|
Details of PDMR/person closely associated with them
('PCA')
|
|
a)
|
Name
|
Mr D Jackson
|
|
b)
|
Position/status
|
PCA of
Ms S Jackson (SVP, Global Communications & CEO
Office)
|
|
c)
|
Initial
notification/amendment
|
Initial notification
|
|
2.
|
Details of the issuer, emission allowance market participant,
auction platform, auctioneer or auction monitor
|
|
a)
|
Name
|
GlaxoSmithKline plc
|
|
b)
|
LEI
|
5493000HZTVUYLO1D793
|
|
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 transaction
|
The 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)
|
|
|
|
£16.619
|
1,791
|
|
|
|
|
|
|
|
d)
|
Aggregated
information
|
N/A (single transaction)
|
|
Aggregated
volume Price
|
|
|
e)
|
Date
of the transaction
|
2020-02-17
|
|
f)
|
Place
of the transaction
|
London Stock Exchange (XLON)
|
|
1.
|
Details of PDMR/person closely associated with them
('PCA')
|
|
a)
|
Name
|
Mr R Simard
|
|
b)
|
Position/status
|
President,
Pharmaceuticals Supply Chain
|
|
c)
|
Initial
notification/amendment
|
Initial notification
|
|
2.
|
Details of the issuer, emission allowance market participant,
auction platform, auctioneer or auction monitor
|
|
a)
|
Name
|
GlaxoSmithKline plc
|
|
b)
|
LEI
|
5493000HZTVUYLO1D793
|
|
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 transaction
|
The vesting of Ordinary Shares awarded in 2017 under the Company's
Share Value Plan.
|
|
c)
|
Price(s)
and volume(s)
|
|
Price(s)
|
Volume(s)
|
|
|
|
£0.00
|
11,060
|
|
|
|
|
|
|
|
d)
|
Aggregated
information
|
N/A (single transaction)
|
|
Aggregated
volume Price
|
|
|
e)
|
Date
of the transaction
|
2020-02-17
|
|
f)
|
Place
of the transaction
|
N/A
|
|
1.
|
Details of PDMR/person closely associated with them
('PCA')
|
|
a)
|
Name
|
Mr R Simard
|
|
b)
|
Position/status
|
President,
Pharmaceuticals Supply Chain
|
|
c)
|
Initial
notification/amendment
|
Initial notification
|
|
2.
|
Details of the issuer, emission allowance market participant,
auction platform, auctioneer or auction monitor
|
|
a)
|
Name
|
GlaxoSmithKline plc
|
|
b)
|
LEI
|
5493000HZTVUYLO1D793
|
|
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 transaction
|
The 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)
|
|
|
|
£16.619
|
5,199
|
|
|
|
|
|
|
|
d)
|
Aggregated
information
|
N/A (single transaction)
|
|
Aggregated
volume Price
|
|
|
e)
|
Date
of the transaction
|
2020-02-17
|
|
f)
|
Place
of the transaction
|
London Stock Exchange (XLON)
|
|
1.
|
Details of PDMR/person closely associated with them
('PCA')
|
|
a)
|
Name
|
Ms D Waterhouse
|
|
b)
|
Position/status
|
CEO of
ViiV Healthcare
|
|
c)
|
Initial
notification/amendment
|
Initial notification
|
|
2.
|
Details of the issuer, emission allowance market participant,
auction platform, auctioneer or auction monitor
|
|
a)
|
Name
|
GlaxoSmithKline plc
|
|
b)
|
LEI
|
5493000HZTVUYLO1D793
|
|
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 transaction
|
The vesting of Ordinary Shares awarded in 2017 under the Company's
Share Value Plan.
|
|
c)
|
Price(s)
and volume(s)
|
|
Price(s)
|
Volume(s)
|
|
|
|
£0.00
|
15,160
|
|
|
|
|
|
|
|
d)
|
Aggregated
information
|
N/A (single transaction)
|
|
Aggregated
volume Price
|
|
|
e)
|
Date
of the transaction
|
2020-02-17
|
|
f)
|
Place
of the transaction
|
N/A
|
|
1.
|
Details of PDMR/person closely associated with them
('PCA')
|
|
a)
|
Name
|
Ms D Waterhouse
|
|
b)
|
Position/status
|
CEO of
ViiV Healthcare
|
|
c)
|
Initial
notification/amendment
|
Initial notification
|
|
2.
|
Details of the issuer, emission allowance market participant,
auction platform, auctioneer or auction monitor
|
|
a)
|
Name
|
GlaxoSmithKline plc
|
|
b)
|
LEI
|
5493000HZTVUYLO1D793
|
|
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 transaction
|
The 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)
|
|
|
|
£16.619
|
7,126
|
|
|
|
|
|
|
|
d)
|
Aggregated
information
|
N/A (single transaction)
|
|
Aggregated
volume Price
|
|
|
e)
|
Date
of the transaction
|
2020-02-17
|
|
f)
|
Place
of the transaction
|
London Stock Exchange (XLON)
|
|
1.
|
Details of PDMR/person closely associated with them
('PCA')
|
|
a)
|
Name
|
Ms V Whyte
|
|
b)
|
Position/status
|
Company
Secretary
|
|
c)
|
Initial
notification/amendment
|
Initial notification
|
|
2.
|
Details of the issuer, emission allowance market participant,
auction platform, auctioneer or auction monitor
|
|
a)
|
Name
|
GlaxoSmithKline plc
|
|
b)
|
LEI
|
5493000HZTVUYLO1D793
|
|
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 transaction
|
The vesting of Ordinary Shares awarded in 2017 under the Company's
Share Value Plan.
|
|
c)
|
Price(s)
and volume(s)
|
|
Price(s)
|
Volume(s)
|
|
|
|
£0.00
|
11,060
|
|
|
|
|
|
|
|
d)
|
Aggregated
information
|
N/A (single transaction)
|
|
Aggregated
volume Price
|
|
|
e)
|
Date
of the transaction
|
2020-02-17
|
|
f)
|
Place
of the transaction
|
N/A
|
|
1.
|
Details of PDMR/person closely associated with them
('PCA')
|
|
a)
|
Name
|
Ms V Whyte
|
|
b)
|
Position/status
|
Company
Secretary
|
|
c)
|
Initial
notification/amendment
|
Initial notification
|
|
2.
|
Details of the issuer, emission allowance market participant,
auction platform, auctioneer or auction monitor
|
|
a)
|
Name
|
GlaxoSmithKline plc
|
|
b)
|
LEI
|
5493000HZTVUYLO1D793
|
|
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 transaction
|
The 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)
|
|
|
|
£16.619
|
5,199
|
|
|
|
|
|
|
|
d)
|
Aggregated
information
|
N/A (single transaction)
|
|
Aggregated
volume Price
|
|
|
e)
|
Date
of the transaction
|
2020-02-17
|
|
f)
|
Place
of the transaction
|
London 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
|
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