6-K
GSK plc (GSK)
6-K
2020-05-19
For: 2020-05-19
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Added on
April 10, 2026
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 May 2020
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
TR-1: Standard form for notification of major holdings
| NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant<br>issuer and to the FCA in Microsoft Word format if<br>possible)i | |||||||||
|---|---|---|---|---|---|---|---|---|---|
| 1a. Identity of the issuer or the underlying issuer of existing<br>shares to which voting rights are attachedii: | GlaxoSmithKline<br>plc | ||||||||
| 1b. Please indicate if the issuer is a non-UK issuer<br>(please mark with an “X”<br>if appropriate) | |||||||||
| Non-UK issuer | |||||||||
| 2. Reason for the notification (please mark the appropriate<br>box or boxes with an “X”) | |||||||||
| An<br>acquisition or disposal of voting rights | X | ||||||||
| An<br>acquisition or disposal of financial instruments | |||||||||
| An<br>event changing the breakdown of voting rights | |||||||||
| Other<br>(please specify)iii: | |||||||||
| 3. Details of person subject to the notification<br>obligationiv | |||||||||
| Name | The Capital Group Companies, Inc. (“CGC”) | ||||||||
| City<br>and country of registered office (if applicable) | Los<br>Angeles, CA 90071, USA | ||||||||
| 4. Full name of shareholder(s) (if different from<br>3.)v | |||||||||
| Name | |||||||||
| City<br>and country of registered office (if applicable) | |||||||||
| 5. Date on which the threshold was crossed or<br>reachedvi: | 13 May<br>2020 | ||||||||
| 6. Date on which issuer notified<br>(DD/MM/YYYY): | 15 May<br>2020 | ||||||||
| 7. Total positions of person(s) subject to the notification<br>obligation | |||||||||
| % of<br>voting rights attached to shares (total of 8. A) | % of<br>voting rights through financial instruments (total of 8.B 1 + 8.B<br>2) | Total<br>of both in % (8.A + 8.B) | Total<br>number of voting rights of issuervii | ||||||
| Resulting<br>situation on the date on which threshold was crossed or<br>reached | 5.0803% | 0.0000% | 5.0803% | 5,017,091,542 | |||||
| Position<br>of previous notification (if<br><br><br>applicable) | N/A | N/A | N/A | ||||||
| 8. Notified details of the resulting situation on the date on which<br>the threshold was crossed or reachedviii | |||||||||
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| A: Voting rights attached to shares | |||||||||
| Class/type ofshares<br><br><br>ISIN<br>code (if possible) | Number of voting rightsix | % of voting rights | |||||||
| Direct<br><br><br>(Art 9<br>of Directive 2004/109/EC) (DTR5.1) | Indirect<br><br><br>(Art 10<br>of Directive 2004/109/EC) (DTR5.2.1) | Direct<br><br><br>(Art 9<br>of Directive 2004/109/EC) (DTR5.1) | Indirect<br><br><br>(Art 10<br>of Directive 2004/109/EC) (DTR5.2.1) | ||||||
| Ordinary<br>Shares (GB0009252882) | 208,357,778 | 4.1530% | |||||||
| ADRs<br>(US37733W1053) | 46,524,658 | 0.9273% | |||||||
| SUBTOTAL 8. A | 254,882,436 | 5.0803% | |||||||
| B 1: Financial Instruments according to Art. 13(1)(a) of Directive<br>2004/109/EC (DTR5.3.1.1 (a)) | |||||||||
| Type of financial instrument | Expirationdatex | Exercise/ Conversion Periodxi | Number of voting rights that may be acquired if the instrument<br>is<br><br><br>exercised/converted. | % of voting rights | |||||
| N/A | |||||||||
| SUBTOTAL 8. B 1 | |||||||||
| B 2: Financial Instruments with similar economic effect according<br>to Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1<br>(b)) | |||||||||
| Type of financial instrument | Expirationdatex | Exercise/ Conversion Period xi | Physical or cash<br><br><br>settlementxii | Number of voting rights | % of voting rights | ||||
| N/A | |||||||||
| SUBTOTAL 8.B.2 | |||||||||
| 9. Information in relation to the person subject to the<br>notification obligation (please mark the applicable box with<br>an “X”) | |||||||||
| --- | --- | --- | --- | --- | |||||
| Person<br>subject to the notification obligation is not controlled by any<br>natural person or legal entity and does not control any other<br>undertaking(s) holding directly or indirectly an interest in the<br>(underlying) issuerxiii | |||||||||
| Full<br>chain of controlled undertakings through which the voting rights<br>and/or thefinancial instruments are effectively held starting with<br>the ultimate controlling natural person or legal entityxiv (please add additional rows as<br>necessary) | X | ||||||||
| Namexv | % of voting rights if it equals or is higher than the notifiable<br>threshold | % of voting rights through financial instruments if it equals or is<br>higher than the notifiable threshold | Total of both if it equals or is higher than the notifiable<br>threshold | ||||||
| The Capital Group Companies, Inc.<br><br><br>Holdings<br>by CG Management companies are set out below: | 5.0803% | 0.0000% | 5.0803% | ||||||
| ● Capital Bank & Trust Company2 | |||||||||
| ● Capital International, Inc.1 | |||||||||
| ● Capital International Limited1 | |||||||||
| ● Capital International Sàrl1 | |||||||||
| ● Capital Research and Management Company2 | 5.0551% | 0.0000% | 5.0551% | ||||||
| 1Indirect subsidiaries of Capital Research and Management<br>Company.<br><br><br>2Subsidiary of The Capital Group Companies,<br>Inc. | |||||||||
| 10. In case of proxy voting, please identify: | |||||||||
| Name of<br>the proxy holder | |||||||||
| The<br>number and % of voting rights held | |||||||||
| The<br>date until which the voting rights will be held | |||||||||
| 11. Additional informationxvi | |||||||||
| The<br>Capital Group Companies, Inc. (“CGC”) is the parent<br>company of Capital Research and Management Company<br>(“CRMC”) and Capital Bank & Trust Company<br>(“CB&T”). CRMC is a U.S.-based investment<br>management company that serves as investment manager to the<br>American Funds family of mutual funds, other pooled investment<br>vehicles, as well as individual and institutional clients. <br>CRMC and its investment manager affiliates manage equity assets for<br>various investment companies through three divisions, Capital<br>Research Global Investors, Capital International Investors and<br>Capital World Investors. CRMC is the parent company of<br>Capital Group International, Inc. (“CGII”), which in<br>turn is the parent company of four investment management companies<br>(“CGII management companies”): Capital International,<br>Inc., Capital International Limited, Capital International<br>Sàrl and Capital International K.K. CGII management<br>companies and CB&T primarily serve as investment managers to<br>institutional and high net worth clients. CB&T is a<br>U.S.-based investment management company that is a registered<br>investment adviser and an affiliated federally chartered<br>bank.<br><br><br><br><br><br>Neither<br>CGC nor any of its affiliates own shares of your company for its<br>own account. Rather, the shares reported on this Notification<br>are owned by accounts under the discretionary investment management<br>of one or more of the investment management companies described<br>above. | |||||||||
| Place of completion | Los<br>Angeles, CA, USA | ||||||||
| --- | --- | ||||||||
| Date of completion | 14 May<br>2020 |
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.
| GlaxoSmithKline plc | |
|---|---|
| (Registrant) | |
| Date: May<br>19, 2020 | |
| By:/s/ VICTORIA<br>WHYTE<br><br><br>-------------------------- | |
| Victoria Whyte | |
| Authorised<br>Signatory for and on | |
| behalf<br>of GlaxoSmithKline plc |