REG - GlaxoSmithKline PLC - Director/PDMR Shareholding
17/02/2022 15:30
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RNS Number : 0455C GlaxoSmithKline PLC 17 February 2022
GlaxoSmithKline plc (the 'Company')
Vesting of Deferred Bonus Awards under the Deferred Annual Bonus Plan and Sale
of Ordinary Shares and American Depositary Shares
This notification sets out the vesting details for Persons Discharging
Managerial Responsibilities ('PDMRs') of Deferred Bonus Awards over Ordinary
Shares and American Depositary Shares ('ADSs') made in 2019 under the
GlaxoSmithKline 2017 Deferred Annual Bonus Plan ('DABP') and subsequent sale
of Ordinary Shares and ADSs to meet tax liabilities. In accordance with the
shareholder approved 2017 Remuneration Policy and the DABP rules, the awards
comprised a mandatory bonus deferral only. The three-year restricted period
for the Deferred Bonus Awards commenced on 13 February 2019 and ended on 13
February 2022. Dividends accrued on the Awards during the restricted period.
The awards were granted in 2019 as restricted awards over ADSs for US
participants and as nil-cost options over Ordinary Shares for all other
participants.
The closing prices of Ordinary Shares and of ADSs of GlaxoSmithKline plc on 14
February 2022 were £15.71 and $42.87.
Transaction notification
1. Details of PDMR/person closely associated with them ('PCA')
a) Name Ms E Walmsley
b) Position/status Chief Executive Officer
c) Initial notification/ Initial notification
amendment
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 an award in the form of a nil-cost option over Ordinary Shares
granted in 2019 under the Company's 2017 Deferred Annual Bonus Plan and the
subsequent exercise of the nil-cost option.
c) Price(s) and volume(s) Price(s) Volume(s)
£0.00 72,296
.
d) Aggregated information N/A (single transaction)
Aggregated volume Price
e) Date of the transaction 2022-02-14
f) Place of the transaction N/A
1. Details of PDMR/person closely associated with them ('PCA')
a) Name Ms E Walmsley
b) Position/status Chief Executive Officer
c) Initial notification/ Initial notification
amendment
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 exercise of a
nil-cost option award granted in 2019 under the Company's 2017 Deferred Annual
Bonus Plan.
c) Price(s) and volume(s) Price(s) Volume(s)
£16.0997 34,031
.
d) Aggregated information N/A (single transaction)
Aggregated volume Price
e) Date of the transaction 2022-02-14
f) Place of the transaction N/A
1. Details of PDMR/person closely associated with them ('PCA')
a) Name Dr H Barron
b) Position/status Chief Scientific Officer and President, R&D
c) Initial notification/ Initial notification
amendment
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 an award granted in 2019 under the Company's 2017 Deferred
Annual Bonus Plan.
c) Price(s) and volume(s) Price(s) Volume(s)
$0.00 43,266
d) Aggregated information N/A (single transaction)
Aggregated volume Price
e) Date of the transaction 2022-02-14
f) Place of the transaction N/A
1. Details of PDMR/person closely associated with them ('PCA')
a) Name Dr H Barron
b) Position/status Chief Scientific Officer and President, R&D
c) Initial notification/ Initial notification
amendment
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 an award granted
in 2019 under the Company's 2017 Deferred Annual Bonus Plan.
c) Price(s) and volume(s) Price(s) Volume(s)
$42.9532 19,936
.
d) Aggregated information N/A (single transaction)
Aggregated volume Price
e) Date of the transaction 2022-02-14
f) Place of the transaction N/A
1. Details of PDMR/person closely associated with them ('PCA')
a) Name Mr R Connor
b) Position/status President, Vaccines and Global Health
c) Initial notification/ Initial notification
amendment
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 an award in the form of a nil-cost option over Ordinary Shares
granted in 2019 under the Company's 2017 Deferred Annual Bonus Plan and the
subsequent exercise of the nil-cost option.
c) Price(s) and volume(s) Price(s) Volume(s)
£0.00 18,968
.
d) Aggregated information N/A (single transaction)
Aggregated volume Price
e) Date of the transaction 2022-02-14
f) Place of the transaction N/A
1. Details of PDMR/person closely associated with them ('PCA')
a) Name Mr R Connor
b) Position/status President, Vaccines and Global Health
c) Initial notification/ Initial notification
amendment
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 exercise of a
nil-cost option award granted in 2018 under the Company's 2017 Deferred Annual
Bonus Plan.
c) Price(s) and volume(s) Price(s) Volume(s)
£16.1509 8,938
.
d) Aggregated information N/A (single transaction)
Aggregated volume Price
e) Date of the transaction 2022-02-14
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 and General Counsel
c) Initial notification/ Initial notification
amendment
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 an award granted in 2019 under the Company's 2017 Deferred
Annual Bonus Plan.
c) Price(s) and volume(s) Price(s) Volume(s)
$0.00 3,725
d) Aggregated information N/A (single transaction)
Aggregated volume Price
e) Date of the transaction 2022-02-14
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 and General Counsel
c) Initial notification/ Initial notification
amendment
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 an award granted
in 2019 under the Company's 2017 Deferred Annual Bonus Plan.
c) Price(s) and volume(s) Price(s) Volume(s)
$42.9532 1,974
.
d) Aggregated information N/A (single transaction)
Aggregated volume Price
e) Date of the transaction 2022-02-14
f) Place of the transaction N/A
1. Details of PDMR/person closely associated with them ('PCA')
a) Name Mr B McNamara
b) Position/status CEO, GSK Consumer Healthcare
c) Initial notification/ Initial notification
amendment
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 an award granted in 2019 under the Company's 2017 Deferred
Annual Bonus Plan.
c) Price(s) and volume(s) Price(s) Volume(s)
$0.00 7,281
d) Aggregated information N/A (single transaction)
Aggregated volume Price
e) Date of the transaction 2022-02-14
f) Place of the transaction N/A
1. Details of PDMR/person closely associated with them ('PCA')
a) Name Mr B McNamara
b) Position/status CEO, GSK Consumer Healthcare
c) Initial notification/ Initial notification
amendment
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 an award granted
in 2019 under the Company's 2017 Deferred Annual Bonus Plan.
c) Price(s) and volume(s) Price(s) Volume(s)
$42.9532 3,593
.
d) Aggregated information N/A (single transaction)
Aggregated volume Price
e) Date of the transaction 2022-02-14
f) Place of the transaction N/A
1. Details of PDMR/person closely associated with them ('PCA')
a) Name Mr L Miels
b) Position/status Chief Commercial Officer
c) Initial notification/ Initial notification
amendment
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 an award in the form of a nil-cost option over Ordinary Shares
granted in 2019 under the Company's 2017 Deferred Annual Bonus Plan and the
subsequent exercise of the nil-cost option.
c) Price(s) and volume(s) Price(s) Volume(s)
£0.00 20,173
.
d) Aggregated information N/A (single transaction)
Aggregated volume Price
e) Date of the transaction 2022-02-14
f) Place of the transaction N/A
1. Details of PDMR/person closely associated with them ('PCA')
a) Name Mr L Miels
b) Position/status Chief Commercial Officer
c) Initial notification/ Initial notification
amendment
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 exercise of a
nil-cost option award granted in 2019 under the Company's 2017 Deferred Annual
Bonus Plan.
c) Price(s) and volume(s) Price(s) Volume(s)
£16.1457 9,752
.
d) Aggregated information N/A (single transaction)
Aggregated volume Price
e) Date of the transaction 2022-02-14
f) Place of the transaction N/A
1. Details of PDMR/person closely associated with them ('PCA')
a) Name Mr D Redfern
b) Position/status Chief Strategy Officer
c) Initial notification/ Initial notification
amendment
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 an award in the form of a nil-cost option over Ordinary Shares
granted in 2019 under the Company's 2017 Deferred Annual Bonus Plan and the
subsequent exercise of the nil-cost option.
c) Price(s) and volume(s) Price(s) Volume(s)
£0.00 17,927
.
d) Aggregated information N/A (single transaction)
Aggregated volume Price
e) Date of the transaction 2022-02-14
f) Place of the transaction N/A
1. Details of PDMR/person closely associated with them ('PCA')
a) Name Mr D Redfern
b) Position/status Chief Strategy Officer
c) Initial notification/ Initial notification
amendment
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 exercise of a
nil-cost option award granted in 2019 under the Company's 2017 Deferred Annual
Bonus Plan.
c) Price(s) and volume(s) Price(s) Volume(s)
£16.1271 8,447
.
d) Aggregated information N/A (single transaction)
Aggregated volume Price
e) Date of the transaction 2022-02-14
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/ Initial notification
amendment
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 an award in the form of a nil-cost option over Ordinary Shares
granted in 2019 under the Company's 2017 Deferred Annual Bonus Plan and the
subsequent exercise of the nil-cost option.
c) Price(s) and volume(s) Price(s) Volume(s)
£0.00 6,475
.
d) Aggregated information N/A (single transaction)
Aggregated volume Price
e) Date of the transaction 2022-02-14
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/ Initial notification
amendment
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 exercise of a
nil-cost option award granted in 2019 under the Company's 2017 Deferred Annual
Bonus Plan.
c) Price(s) and volume(s) Price(s) Volume(s)
£16.1210 3,054
.
d) Aggregated information N/A (single transaction)
Aggregated volume Price
e) Date of the transaction 2022-02-14
f) Place of the transaction N/A
1. Details of PDMR/person closely associated with them ('PCA')
a) Name Mr P Thomson
b) Position/status President, Global Affairs
c) Initial notification/ Initial notification
amendment
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 an award in the form of a nil-cost option over Ordinary Shares
granted in 2019 under the Company's 2017 Deferred Annual Bonus Plan and the
subsequent exercise of the nil-cost option.
c) Price(s) and volume(s) Price(s) Volume(s)
£0.00 10,486
.
d) Aggregated information N/A (single transaction)
Aggregated volume Price
e) Date of the transaction 2022-02-14
f) Place of the transaction N/A
1. Details of PDMR/person closely associated with them ('PCA')
a) Name Mr P Thomson
b) Position/status President, Global Affairs
c) Initial notification/ Initial notification
amendment
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 exercise of a
nil-cost option award granted in 2019 under the Company's 2017 Deferred Annual
Bonus Plan.
c) Price(s) and volume(s) Price(s) Volume(s)
£16.1195 4,941
.
d) Aggregated information N/A (single transaction)
Aggregated volume Price
e) Date of the transaction 2022-02-14
f) Place of the transaction N/A
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