GlaxoSmithKline PLC — Regulatory Filings 2021

Mar 2, 2021

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 March 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 ')

Vesting of Deferred Annual Bonus Plan Deferred Bonus Awards and Sale of Ordinary Shares and American Depository 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 2018 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 were comprised of a mandatory bonus deferral only. The three-year restricted period for the Deferred Bonus Awards commenced on 1 March 2018 and ended on 1 March 2021. Dividends accrued on the Awards during the restricted period.

The awards were granted in 2018 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 1 March 2021 were £12.0060 and $33.73.

Transaction notification

| 1. — a) | Details of PDMR/person closely associated with them
('PCA') — Name | Ms E Walmsley | |
| --- | --- | --- | --- |
| b) | Position/status | Chief
Executive Officer | |
| 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 an award in the form of a nil-cost option over
Ordinary Shares granted in 2018 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 | 68,716 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-03-01 | |
| f) | Place
of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them
('PCA') — Name | Ms E Walmsley | |
| --- | --- | --- | --- |
| b) | Position/status | Chief
Executive Officer | |
| 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 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) |
| | | £12.1070 | 32,346 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-03-01 | |
| f) | Place
of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them
('PCA') — Name | Mr R Connor | |
| --- | --- | --- | --- |
| b) | Position/status | President,
Global Vaccines | |
| 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 an award in the form of a nil-cost option over
Ordinary Shares granted in 2018 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 | 14,551 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-03-01 | |
| f) | Place
of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them
('PCA') — Name | Mr R Connor | |
| --- | --- | --- | --- |
| b) | Position/status | President,
Global Vaccines | |
| 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 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) |
| | | £12.1113 | 6,857 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-03-01 | |
| f) | Place
of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them
('PCA') — Name | Mr N Hirons | |
| --- | --- | --- | --- |
| b) | Position/status | SVP,
Global Ethics and Compliance | |
| 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 an award in the form of a nil-cost option over
Ordinary Shares granted in 2018 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 | 7,630 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-03-01 | |
| f) | Place
of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them
('PCA') — Name | Mr N Hirons | |
| --- | --- | --- | --- |
| b) | Position/status | SVP,
Global Ethics and Compliance | |
| 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 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) |
| | | £12.1132 | 3,599 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-03-01 | |
| f) | Place
of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them
('PCA') — Name | Mr B McNamara | |
| --- | --- | --- | --- |
| b) | Position/status | CEO,
GSK Consumer 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 | American Depositary Shares ('ADSs') ISIN: US37733W1053 | |
| b) | Nature
of the transaction | The vesting of an award granted in 2018 under the Company's 2017
Deferred Annual Bonus Plan. | |
| c) | Price(s)
and volume(s) | Price(s) | Volume(s) |
| | | $0.00 | 7,346 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-03-01 | |
| f) | Place
of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them
('PCA') — Name | Mr B McNamara | |
| --- | --- | --- | --- |
| b) | Position/status | CEO,
GSK Consumer 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 | 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 2018 under the Company's 2017 Deferred Annual
Bonus Plan. | |
| c) | Price(s)
and volume(s) | Price(s) | Volume(s) |
| | | $33.7970 | 3,756 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-03-01 | |
| f) | Place
of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them
('PCA') — Name | Mr L Miels | |
| --- | --- | --- | --- |
| b) | Position/status | President,
Global Pharmaceuticals | |
| 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 an award in the form of a nil-cost option over
Ordinary Shares granted in 2018 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 | 13,820 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-03-01 | |
| f) | Place
of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them
('PCA') — Name | Mr L Miels | |
| --- | --- | --- | --- |
| b) | Position/status | President,
Global Pharmaceuticals | |
| 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 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) |
| | | £12.0992 | 6,501 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-03-01 | |
| f) | Place
of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them
('PCA') — Name | Mr D Redfern | |
| --- | --- | --- | --- |
| b) | Position/status | Chief
Strategy Officer | |
| 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 an award in the form of a nil-cost option over
Ordinary Shares granted in 2018 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 | 14,126 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-03-01 | |
| f) | Place
of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them
('PCA') — Name | Mr D Redfern | |
| --- | --- | --- | --- |
| b) | Position/status | Chief
Strategy Officer | |
| 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 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) |
| | | £12.1093 | 6,656 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-03-01 | |
| f) | Place
of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them
('PCA') — Name | Ms K Terrell | |
| --- | --- | --- | --- |
| b) | Position/status | Chief
Digital & Technology Officer | |
| 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 an award granted in 2018 under the Company's 2017
Deferred Annual Bonus Plan. | |
| c) | Price(s)
and volume(s) | Price(s) | Volume(s) |
| | | $0.00 | 2,480 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-03-01 | |
| f) | Place
of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them
('PCA') — Name | Ms K Terrell | |
| --- | --- | --- | --- |
| b) | Position/status | Chief
Digital & Technology Officer | |
| 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 an
award granted in 2018 under the Company's 2017 Deferred Annual
Bonus Plan. | |
| c) | Price(s)
and volume(s) | Price(s) | Volume(s) |
| | | $33.7970 | 976 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-03-01 | |
| f) | Place
of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them
('PCA') — Name | Mr P Thomson | |
| --- | --- | --- | --- |
| b) | Position/status | President,
Global Affairs | |
| 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 an award in the form of a nil-cost option over
Ordinary Shares granted in 2018 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 | 9,555 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-03-01 | |
| f) | Place
of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them
('PCA') — Name | Mr P Thomson | |
| --- | --- | --- | --- |
| b) | Position/status | President,
Global Affairs | |
| 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 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) |
| | | £12.1030 | 4,507 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-03-01 | |
| 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: March
02, 2021
By:/s/ VICTORIA
WHYTE --------------------------
Victoria Whyte
Authorised
Signatory for and on
behalf
of GlaxoSmithKline plc

page break