TR-1: Standard form for notification of major holdings
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NOTIFICATION OF MAJOR
HOLDINGS (to be sent to
the relevant issuer and to
the FCA in Microsoft Word format if possible)
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1a. Identity of the issuer or the underlying issuer of existing
shares to which voting rights are attached:
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GlaxoSmithKline
PLC
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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):
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3. Details of person subject to the notification
obligation
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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)
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Name
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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 reached:
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17/11/2020
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6. Date on which issuer notified (DD/MM/YYYY):
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19/11/2020
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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 issuer
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Resulting
situation on the date on which threshold was crossed or
reached
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4.95%
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0.00%
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4.95%
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5,017,424,632
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Position
of previous notification (if applicable)
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5.04%
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0.00%
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5.04%
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8. Notified details of the resulting situation on the date on which
the threshold was crossed or reached:
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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 rights
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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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GB0009252882 Common Stock
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200,251,814
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3.99%
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US37733W1053 Depository Receipt
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48,292,050
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0.96%
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SUBTOTAL 8.A
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248,543,864
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4.95%
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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 date
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Exercise/ Conversion Period
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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 date
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Exercise/ Conversion Period
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Physical or cash settlement
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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) issuer.
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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 entity (please add additional rows as
necessary)
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X
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Name
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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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Capital Bank and Trust Company
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Capital International, Inc.
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Capital International Sàrl
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Capital International Limited
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Total
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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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The
number and % of voting rights held
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The
date until which the voting rights will be held
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11. Additional information:
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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 four investment management companies ("CGII management
companies"): Capital International, Inc., Capital International
Limited, Capital International Sàrl and Capital International
K.K. 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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19/11/2020
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GlaxoSmithKline plc
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(Registrant)
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Date: November
19, 2020
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By:/s/ VICTORIA
WHYTE
--------------------------
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Victoria Whyte
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Authorised
Signatory for and on
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behalf
of GlaxoSmithKline plc
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