British American Tobacco p.l.c 6-K, filed May 12, 2023
British American Tobacco p.l.c. (BTI)
6-K
2023-05-12
For: 2023-05-12
View Original
Added on
April 08, 2026
About this 6-K
British American Tobacco p.l.c filed this 6-K on May 12, 2023.
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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
May 12, 2023
Commission File Number: 001-38159
BRITISH AMERICAN TOBACCO P.L.C.
(Translation of registrant’s name into English)
Globe House
4 Temple Place
London WC2R 2PG
United Kingdom
(Address of principal executive office)
(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 ☒ Form 40-F ☐
This report includes materials as exhibits that have been published and made available by British American Tobacco p.l.c. as of May 12, 2023.
EXHIBIT INDEX
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 authorized.
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British American Tobacco p.l.c.
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By:
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/s/ Nancy Jiang
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| Name: |
Nancy Jiang | |||
| Title: |
Senior Assistant Company Secretary
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Date: May 12, 2023
Exhibit 1
British American Tobacco p.l.c.
TR-1: Notification of major holdings
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1a. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attachedii:
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British American Tobacco p.l.c.
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1b. Please indicate if the issuer is a non-UK issuer (please mark with an “X” if appropriate)
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Non-UK issuer
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2. Reason for the notification (please mark the appropriate box or boxes with an “X”)
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An acquisition or disposal of voting rights
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X
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An acquisition or disposal of financial instruments
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An event changing the breakdown of voting rights
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Other (please specify)iii:
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3. Details of person subject to the notification obligationiv
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Name
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The Capital Group Companies, Inc.
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City and country of registered office (if applicable)
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Los Angeles, USA
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4. Full name of shareholder(s) (if different from 3)v
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Name
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N/A
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City and country of registered office (if applicable)
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5. Date on which the threshold was crossed or reachedvi:
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10 May 2023
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6. Date on which issuer notified (DD/MM/YYYY):
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11 May 2023
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7. Total positions of person(s) subject to the notification obligation
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% of voting rights attached to shares (total of 8. A)
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% of voting rights through financial instruments
(total of 8.B 1 + 8.B 2)
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Total of both in % (8.A + 8.B)
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Total number of voting rights of issuervii
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Resulting situation on the date on which threshold was crossed or reached
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12.98%
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0.00%
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12.98%
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290,195,446
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Position of previous notification (if applicable)
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8. Notified details of the resulting situation on the date on which the threshold was crossed or reachedviii
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A: Voting rights attached to shares
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Class/type of
shares
ISIN code (if possible)
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Number of voting rightsix
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% of voting rights
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Direct
(Art 9 of Directive 2004/109/EC) (DTR5.1)
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Indirect
(Art 10 of Directive 2004/109/EC) (DTR5.2.1)
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Direct
(Art 9 of Directive 2004/109/EC) (DTR5.1)
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Indirect
(Art 10 of Directive 2004/109/EC) (DTR5.2.1)
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GB0002875804 Common Stock
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253,058,558
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11.32%
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US1104481072 Depository Receipt
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37,136,888
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1.66%
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SUBTOTAL 8. A
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290,195,446
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12.98%
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B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC (DTR5.3.1.1 (a))
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Type of financial instrument
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Expiration
datex
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Exercise/
Conversion Periodxi
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Number of voting rights that may be acquired if the instrument is
exercised/converted.
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% of voting rights
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N/A
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SUBTOTAL 8. B 1
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B 2: Financial Instruments with similar economic effect according to Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b))
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Type of financial instrument
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Expiration
datex
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Exercise/
Conversion Period xi
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Physical or cash
settlementxii
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Number of voting rights
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% of voting rights
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N/A
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SUBTOTAL 8.B.2
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9. Information in relation to the person subject to the notification obligation (please mark the
applicable box with an “X”)
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Person subject to the notification obligation is not controlled by any natural person or legal entity and does not control any other undertaking(s) holding directly or indirectly an interest in the (underlying)
issuerxiii
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Full chain of controlled undertakings through which the voting rights and/or the financial instruments are effectively held starting with the ultimate controlling natural person or legal entityxiv (please add additional rows as necessary)
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X
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Namexv
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% of voting rights if it equals or is higher than the notifiable threshold
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% of voting rights through financial instruments if it equals or is higher than the notifiable threshold
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Total of both if it equals or is higher than the notifiable threshold
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Capital Research and Management Company
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12.72%
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12.72%
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Capital International, Inc.
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Capital Group Private Client Services, Inc.
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Capital International Sarl
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Capital Group Investment Management Private Limited
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10. In case of proxy voting, please identify:
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Name of the proxy holder
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N/A
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The number and % of voting rights held
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N/A
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The date until which the voting rights will be held
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N/A
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11. Additional informationxvi
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The Capital Group Companies, Inc. (“CGC”) is the parent company of Capital Research and Management Company (“CRMC”) and Capital Bank & Trust Company (“CB&T”). CRMC is a U.S.-based investment management
company that serves as investment manager to the American Funds family of mutual funds, other pooled investment vehicles, as well as individual and institutional clients. CRMC and its investment manager affiliates manage equity assets for
various investment companies through three divisions, Capital Research Global Investors, Capital International Investors and Capital World Investors. CRMC is the parent company of Capital Group International, Inc. (“CGII”), which in turn is
the parent company of six investment management companies (“CGII management companies”): Capital International, Inc., Capital International Limited, Capital International Sàrl, Capital International K.K., Capital Group Private Client Services
Inc, and Capital Group Investment Management Private Limited. CGII management companies and CB&T primarily serve as investment managers to institutional and high net worth clients. CB&T is a U.S.-based investment management company
that is a registered investment adviser and an affiliated federally chartered bank. Neither CGC nor any of its affiliates own shares of the Issuer for its own account. Rather, the shares reported on this Notification are owned by accounts
under the discretionary investment management of one or more of the investment management companies described above.
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Place of completion
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Los Angeles
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Date of completion
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12 May 2023
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Name of duly authorised officer of issuer responsible for making notification:
Nancy Jiang
Senior Assistant Company Secretary
British American Tobacco p.l.c.
12 May 2023
Enquiries:
British American Tobacco Media Centre
+44 (0)20 7845 2888 (24 hours) │@BATPlc
Investor Relations
Victoria Buxton / Yetunde Ibe / John Harney:
+44 (0)20 7845 2012 / 1095 / 1263
Exhibit 2
British American Tobacco p.l.c.
Notification and public disclosure of transactions by persons discharging managerial responsibilities and persons closely associated with them
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1
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Details of the person discharging managerial responsibilities/person closely associated
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a)
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Name
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Kingsley Wheaton
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2
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Reason for the notification
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a)
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Position/status
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Chief Growth Officer
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b)
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Initial notification /Amendment
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Initial notification
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3
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Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
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a)
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Name
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British American Tobacco p.l.c.
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b)
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LEI
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213800FKA5MF17RJKT63
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4
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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 transactions have been conducted
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a)
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Description of the financial instrument, type of instrument
Identification code
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Ordinary shares of 25p each
GB0002875804
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b)
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Nature of the transaction
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Purchase of shares
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c)
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Price(s) and volume(s)
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Price(s)
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Volume(s)
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£27.03
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735
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£27.01
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73
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d)
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Aggregated information
- Aggregated volume
- Price
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808
£21,838.78
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e)
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Date of the transaction
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2023-05-12
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f)
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Place of the transaction
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London Stock Exchange (XLON)
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Name of officer of issuer responsible for making notification: Nancy Jiang
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Date of notification: 12 May 2023
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