GlaxoSmithKline PLC — Regulatory Filings 2021

Feb 12, 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 February 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 ')

Deferred Annual Bonus Plan Awards

On 10 February 2021, the Company granted awards to the Persons Discharging Managerial Responsibilities ('PDMRs') listed below. The awards have been granted in accordance with the rules of the GlaxoSmithKline 2017 Deferred Annual Bonus Plan ('DABP') which was approved by shareholders on 4 May 2017.

Executive Directors are required to defer 50% of any bonus earned into Ordinary Shares or American Depositary Shares ('ADSs') for a period of three years. Other members of the Corporate Executive Team are required to defer 25% of any bonus earned into Ordinary Shares or ADSs for the same period.

The awards have been granted as restricted awards over ADSs for US participants and as nil-cost options over Ordinary Shares for all other participants.

The numbers of Ordinary Shares and ADSs shown below are exclusive of dividend reinvestment that will accrue during the deferral period.

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 | Deferred Bonus Award of Ordinary Shares under the GlaxoSmithKline
2017 Deferred Annual Bonus Plan. | |
| c) | Price(s)
and volume(s) | Price(s) | Volume(s) |
| | | £12.77 | 45,779 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-02-10 | |
| f) | Place
of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them
('PCA') — Name | Mr I Mackay | |
| --- | --- | --- | --- |
| b) | Position/status | Chief Financial 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 | Deferred Bonus Award of Ordinary Shares under the GlaxoSmithKline
2017 Deferred Annual Bonus Plan. | |
| c) | Price(s)
and volume(s) | Price(s) | Volume(s) |
| | | £12.77 .. | 31,725 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-02-10 | |
| f) | Place
of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them
('PCA') — Name | Dr H Barron | |
| --- | --- | --- | --- |
| b) | Position/status | Chief Scientific Officer and President, R&D | |
| 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 | Deferred Bonus Award of ADSs under the GlaxoSmithKline 2017
Deferred Annual Bonus Plan. | |
| c) | Price(s)
and volume(s) | Price(s) | Volume(s) |
| | | $35.75 | 24,355 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-02-10 | |
| 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 | Deferred Bonus Award of Ordinary Shares under the GlaxoSmithKline
2017 Deferred Annual Bonus Plan. | |
| c) | Price(s)
and volume(s) | Price(s) | Volume(s) |
| | | £12.77 .. | 10,057 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-02-10 | |
| f) | Place
of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them
('PCA') — 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 | Deferred Bonus Award of Ordinary Shares under the GlaxoSmithKline
2017 Deferred Annual Bonus Plan. | |
| c) | Price(s)
and volume(s) | Price(s) | Volume(s) |
| | | £12.77 .. | 6,641 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-02-10 | |
| f) | Place
of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them
('PCA') — 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 | Ordinary shares of 25 pence each ('Ordinary Shares') ISIN: GB0009252882 | |
| b) | Nature
of the transaction | Deferred Bonus Award of Ordinary Shares under the GlaxoSmithKline
2017 Deferred Annual Bonus Plan. | |
| c) | Price(s)
and volume(s) | Price(s) | Volume(s) |
| | | £12.77 .. | 8,000 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-02-10 | |
| 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 | Deferred Bonus Award of Ordinary Shares under the GlaxoSmithKline
2017 Deferred Annual Bonus Plan. | |
| c) | Price(s)
and volume(s) | Price(s) | Volume(s) |
| | | £12.77 .. | 4,019 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-02-10 | |
| f) | Place
of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them
('PCA') — 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 | Deferred Bonus Award of Ordinary Shares under the GlaxoSmithKline
2017 Deferred Annual Bonus Plan. | |
| c) | Price(s)
and volume(s) | Price(s) | Volume(s) |
| | | £12.77 | 4,045 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-02-10 | |
| 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 | Deferred Bonus Award of ADSs under the GlaxoSmithKline 2017
Deferred Annual Bonus Plan. | |
| c) | Price(s)
and volume(s) | Price(s) | Volume(s) |
| | | $35.75 | 7,442 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-02-10 | |
| 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 | Deferred Bonus Award of Ordinary Shares under the GlaxoSmithKline
2017 Deferred Annual Bonus Plan. | |
| c) | Price(s)
and volume(s) | Price(s) | Volume(s) |
| | | £12.77 .. | 12,409 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-02-10 | |
| 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 | Deferred Bonus Award of Ordinary Shares under the GlaxoSmithKline
2017 Deferred Annual Bonus Plan. | |
| c) | Price(s)
and volume(s) | Price(s) | Volume(s) |
| | | £12.77 .. | 9,755 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-02-10 | |
| f) | Place
of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them
('PCA') — 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 | Deferred Bonus Award of Ordinary Shares under the GlaxoSmithKline
2017 Deferred Annual Bonus Plan. | |
| c) | Price(s)
and volume(s) | Price(s) | Volume(s) |
| | | £12.77 .. | 7,350 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-02-10 | |
| 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 | Deferred Bonus Award of ADSs under the GlaxoSmithKline 2017
Deferred Annual Bonus Plan. | |
| c) | Price(s)
and volume(s) | Price(s) | Volume(s) |
| | | $35.75 | 4,704 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-02-10 | |
| 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 | Deferred Bonus Award of Ordinary Shares under the GlaxoSmithKline
2017 Deferred Annual Bonus Plan. | |
| c) | Price(s)
and volume(s) | Price(s) | Volume(s) |
| | | £12.77 .. | 5,709 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-02-10 | |
| f) | Place
of the transaction | N/A | |

| 1. — a) | Details of PDMR/person closely associated with them
('PCA') — 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 | Deferred Bonus Award of Ordinary Shares under the GlaxoSmithKline
2017 Deferred Annual Bonus Plan. | |
| c) | Price(s)
and volume(s) | Price(s) | Volume(s) |
| | | £12.77 .. | 11,727 |
| d) | Aggregated
information | N/A (single transaction) | |
| | Aggregated
volume Price | | |
| e) | Date
of the transaction | 2021-02-10 | |
| 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: February
12, 2021
By:/s/ VICTORIA
WHYTE --------------------------
Victoria Whyte
Authorised
Signatory for and on
behalf
of GlaxoSmithKline plc

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