GlaxoSmithKline PLC — Regulatory Filings 2021

Sep 22, 2021

6-K 1 a6603m.htm DIRECTOR/PDMR SHAREHOLDING Document created using Blueprint(R) - powered by Issuer Direct - www.issuerdirect.com Copyright 2021 Issuer Direct Corporation a6603m

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 September 2021

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 ')

Transaction notification

| 1. — a) | Details of PDMR/person closely associated with them ('PCA') — Name | Sir Jonathan Symonds | | | --- | --- | --- | --- | | b) | Position/status | Non-Executive Chairman | | | 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 | Acquisition of notional Ordinary Shares under the share allocation arrangements for Non-Executive Directors for the period of service from 1 July 2021 to 30 September 2021 | | | c) | Price(s) and volume(s) | Price(s) | Volume(s) | | | | £13.94 | 3,138.451 | | d) | Aggregated information | N/A (single transaction) | | | | Aggregated volume Price | | | | e) | Date of the transaction | 2021-09-20 | | | f) | Place of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them ('PCA') — Name | Mr Charles Bancroft | | | --- | --- | --- | --- | | b) | Position/status | Independent Non-Executive Director | | | 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 | Acquisition of notional ADSs under the share allocation arrangements for Non-Executive Directors for the period of service from 1 July 2021 to 30 September 2021 | | | c) | Price(s) and volume(s) | Price(s) | Volume(s) | | | | $39.09 | 1,479.486 | | d) | Aggregated information | N/A (single transaction) | | | | Aggregated volume Price | | | | e) | Date of the transaction | 2021-09-20 | | | f) | Place of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them ('PCA') — Name | Mr Vindi Banga | | | --- | --- | --- | --- | | b) | Position/status | Senior Independent Non-Executive Director | | | 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 | Acquisition of notional Ordinary Shares under the share allocation arrangements for Non-Executive Directors for the period of service from 1 July 2021 to 30 September 2021 | | | c) | Price(s) and volume(s) | Price(s) | Volume(s) | | | | £13.94 | 650.108 | | d) | Aggregated information | N/A (single transaction) | | | | Aggregated volume Price | | | | e) | Date of the transaction | 2021-09-20 | | | f) | Place of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them ('PCA') — Name | Dr Anne Beal | | | --- | --- | --- | --- | | b) | Position/status | Independent Non-Executive Director | | | 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 | Acquisition of notional ADSs under the share allocation arrangements for Non-Executive Directors for the period of service from 1 July 2021 to 30 September 2021 | | | c) | Price(s) and volume(s) | Price(s) | Volume(s) | | | | $39.09 | 200.787 | | d) | Aggregated information | N/A (single transaction) | | | | Aggregated volume Price | | | | e) | Date of the transaction | 2021-09-20 | | | f) | Place of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them ('PCA') — Name | Dr Vivienne Cox | | | --- | --- | --- | --- | | b) | Position/status | Independent Non-Executive Director | | | 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 | Acquisition of notional Ordinary Shares under the share allocation arrangements for Non-Executive Directors for the period of service from 1 July 2021 to 30 September 2021 | | | c) | Price(s) and volume(s) | Price(s) | Volume(s) | | | | £13.94 | 605.273 | | d) | Aggregated information | N/A (single transaction) | | | | Aggregated volume Price | | | | e) | Date of the transaction | 2021-09-20 | | | f) | Place of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them ('PCA') — Name | Ms Lynn Elsenhans | | | --- | --- | --- | --- | | b) | Position/status | Independent Non-Executive Director | | | 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 | Acquisition of notional ADSs under the share allocation arrangements for Non-Executive Directors for the period of service from 1 July 2021 to 30 September 2021 | | | c) | Price(s) and volume(s) | Price(s) | Volume(s) | | | | $39.09 | 285.330 | | d) | Aggregated information | N/A (single transaction) | | | | Aggregated volume Price | | | | e) | Date of the transaction | 2021-09-20 | | | f) | Place of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them ('PCA') — Name | Dr Laurie Glimcher | | | --- | --- | --- | --- | | b) | Position/status | Independent Non-Executive Director | | | 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 | Acquisition of notional ADSs under the share allocation arrangements for Non-Executive Directors for the period of service from 1 July 2021 to 30 September 2021 | | | c) | Price(s) and volume(s) | Price(s) | Volume(s) | | | | $39.09 | 1,056.776 | | d) | Aggregated information | N/A (single transaction) | | | | Aggregated volume Price | | | | e) | Date of the transaction | 2021-09-20 | | | f) | Place of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them ('PCA') — Name | Dr Jesse Goodman | | | --- | --- | --- | --- | | b) | Position/status | Independent Non-Executive Director | | | 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 | Acquisition of notional ADSs under the share allocation arrangements for Non-Executive Directors for the period of service from 1 July 2021 to 30 September 2021 | | | c) | Price(s) and volume(s) | Price(s) | Volume(s) | | | | $39.09 | 348.736 | | d) | Aggregated information | N/A (single transaction) | | | | Aggregated volume Price | | | | e) | Date of the transaction | 2021-09-20 | | | f) | Place of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them ('PCA') — Name | Mr Urs Rohner | | | --- | --- | --- | --- | | b) | Position/status | Independent Non-Executive Director | | | 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 | Acquisition of notional Ordinary Shares under the share allocation arrangements for Non-Executive Directors for the period of service from 1 July 2021 to 30 September 2021 | | | c) | Price(s) and volume(s) | Price(s) | Volume(s) | | | | £13.94 | 605.273 | | d) | Aggregated information | N/A (single transaction) | | | | Aggregated volume Price | | | | e) | Date of the transaction | 2021-09-20 | | | f) | Place of the transaction | N/A | |

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.

(Registrant)
Date: September
22, 2021
By:/s/ VICTORIA
WHYTE --------------------------
Victoria Whyte
Authorised
Signatory for and on
behalf
of GlaxoSmithKline plc